Usa Mutuals Advisors, Inc.
- Regulatory AUM
- $73.7M
- Discretionary
- $73.7M
- Clients
- 2
- Avg AUM / client
- $36.9M
- Accounts
- 2
- Employees
- 2
AUM over time
Annual snapshots from Form ADV filings · as of Feb 10, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Investment companies | 2 | $73.7M | 100.0% |
People (4)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Sapio, Richard, Andrew | Shareholder | Jun 1994 (32y) | 50% – 75% of Mutual Capital Alliance (indirect) | |
| Baker, Robert, Lance | Cfo | Jun 2020 (6y) | Less than 5% | |
| Paul Conde Strehle | President | Sep 2020 (6y) | 10% – 25% | |
| Chica, Andrew, Paul | Chief Compliance Officer | Aug 2022 (4y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Mutual Capital Alliance, Inc | Stockholder | Apr 2004 | A | 75% or more |
Undisclosed: 0% – 15% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 02/10/2026 | 903 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for investment companies
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Feb 10, 2026.
View current Form ADV (SEC/IAPD) ↗