Usa Mutuals Advisors, Inc

CRD#131750
Investment Advisor Firm

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Learn more about Usa Mutuals Advisors, Inc

  • Overview
  • By the Numbers
  • Fee Structure
  • Types of Clients
  • Disclosures
  • State Registrations
  • Office Locations
  • Firm Advisors

    • Overview

    Usa Mutuals Advisors, Inc is a financial advisor firm that has its headquarters in Dallas, Texas. It controls $84.8 million in total assets throughout two customer accounts. The firm has a small team, including 2 financial advisors. Usa Mutuals Advisors, Inc is not a registered broker-dealer, meaning the advisor cannot buy and sell securities for its accounts and those of its clients and instead is required to go through a broker-dealer firm to do so. Securities are defined as exchangable financial assets such as options, stocks and bonds.

    Usa Mutuals Advisors, Inc administers all of the firm's accounts on a discretionary basis. Discretionary management is a structure in which a portfolio manager has the discretion to make buy and sell judgments without requiring the client's consent. The firm manages an average of $42.4 million in assets for each customer account. The average advisor at Usa Mutuals Advisors, Inc manages about one client account, placing it among the most individualized financial advisor firms in the country.

    The firm's headquarters is at 700 N. Pearl, Dallas, Texas 75201. The firm is permitted to serve customers in the state of Texas.

    Assets Under Management

    $84.8 million

    Number of Advisors

    2

    Disclosures

    No

    Office Location

    700 N. Pearl
    Dallas, TX 75201

    Usa Mutuals Advisors, Inc by the Numbers

    Total Assets Under Management

    $84.8 million

    National Average: $8.6 billion
    Total Number of Employees

    2

    National Average: 64
    Total Number of Accounts

    2

    National Average: 375,227
    Average Account Size

    $42.4 million

    National Average: $23.0 thousand
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    Fee Structure

    Financial advisory fees vary depending on which services are offered. However, fees charged by the company typically consist of the following fee type: asset-based. The company does not participate in a wrap fee program, in which the company offers a service bundle for a comprehensive fee.

    Available

    • Offered by 69% of firms

      Percentage of Assets

      Show Explanation

      This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

    Unavailable

    • Find one of the 21% of firms that offer this fee type

      Hourly

      Show Explanation

      Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

    • Find one of the 1% of firms that offer this fee type

      Commissions

      Show Explanation

      Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

    • Find one of the 26% of firms that offer this fee type

      Performance-based

      Show Explanation

      Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

    • Find one of the 0% of firms that offer this fee type

      Subscription

      Show Explanation

      Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

    • Find one of the 32% of firms that offer this fee type

      Fixed

      Show Explanation

      Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

    • Find one of the 10% of firms that offer this fee type

      Other

      Show Explanation

      Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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    Types of Clients

    Usa Mutuals Advisors, Inc caters to investment companies. Out of its two clients, Usa Mutuals Advisors, Inc's biggest client by number of accounts is investment companies. None of its accounts are from outside of the U.S.

    • High-Net-Worth Individuals* - 0%
    • Other Individuals - 0%
    • Corporations - 100%
    • Charitable Organizations - 0%

    * The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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    Disclosures

    Usa Mutuals Advisors, Inc does not have any disclosures.

    Please visit its Form ADV for more details.

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    Financial Advisors at Usa Mutuals Advisors, Inc

    Paul Strehle
    Wayland, MA
    Richard Sapio
    Dallas, TX

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