USA MUTUALS ADVISORS, INC.
Adviser information for USA MUTUALS ADVISORS, INC. last updated from Form ADV on September 6th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | JUNE |
| Legal Location | Texas, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2 | $104.2M |
| Non-Discretionary | 0 | $0 |
| Total | 2 | $104.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 2 | $104.2M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companies |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-63216 |
|---|---|
| SEC ERA File Number | 801-63216 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 131750 |
| Legal Entity Identifier | None |
Principal Office
700 N. PEARLSTE. 900
DALLAS
TX
United States
Monday - Friday, 9:00A.M. TO 5:00 P.M.
Tel: 214-953-0066, Fax: 214-953-1545
Chief Compliance Officer
ANDREW CHICA
PO BOX 847
MORRISVILLE
NC
United States
Tel:
9196464005
A********@********************M
(Full email address available in API data)
Regulatory Contact
PAUL STREHLE
PRESIDENT
700 N. PEARL
STE. 900
DALLAS
TX
United States
Tel:
2149530066
Fax:
2149531545
P*******@*************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MUTUAL CAPITAL ALLIANCE, INC | Domestic Entity | – | STOCKHOLDER | 04/2004 | > 75% |
| SAPIO, RICHARD, ANDREW | Individual | MUTUAL CAPITAL ALLIANCE | SHAREHOLDER | 06/1994 | 50-75% |
| BAKER, ROBERT, LANCE | Individual | – | CFO | 06/2020 | < 5% |
| STREHLE, PAUL, CONDE | Individual | – | PRESIDENT | 06/2021 | < 5% |
| CHICA, ANDREW, PAUL | Individual | – | CHIEF COMPLIANCE OFFICER | 08/2022 | < 5% |