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- Custodian
- Charles Schwab & Company
- Clients
- Retail
- Platforms
- --
- Established Date
- 07-08-1999
- Office Locations
- 1
Office Locations
About Financial Spectrum Inc.
Financial Spectrum Inc. provides concierge-style wealth management for clients with substantial assets, handling transactions, bill pay (with designated trustee third-party compliance), and tax planning/preparation. The firm also negotiates major purchases (e.g., real estate, refinancing, insurance) and supports complex family situations such as divorce mediation. Public filings indicate portfolios often use U.S. government/agency bonds and equity ETFs, with custody at Charles Schwab.
Team overview
Insights
Asset Classes
Client Personas
Investment Themes
Investment Vehicles
Services
Owner & Executives
WAYNE ROBERT GIFFORD
President
- CRD
- #3166987
- Ownership
- 75% or more
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No AUM history available
| Category | Assets | AVG. Account size |
|---|---|---|
| Discretionary | $0 | -- |
| Non-Discretionary | $5,632,287 | -- |
| Total | $5,632,287 | -- |
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Separately Managed Accounts
Total SMA Asset: $5,632,287
| Asset class | Assets | Assets % |
|---|---|---|
| U.S. Government/Agency | $154,049,586 | 18.2% |
| Equity - Exchange | $176,056,669 | 20.8% |
| Equity - OTC | $209,067,295 | 24.7% |
| Cash | $133,735,354 | 15.8% |
| Other | $173,517,390 | 20.5% |
| Total | $846,426,294 | 100.0% |