Asset manager · Concord, MA
USA Mutuals Advisors, Inc.
SEC-registered investment adviser · CRD 131750 · SEC 801-63216
At a glance
USA Mutuals Advisors, Inc. is an SEC-registered investment adviser based in Concord, Massachusetts, with $62 million in regulatory assets under management as of its Form ADV filed September 24, 2026. Its largest client group by assets is investment companies. By Form ADV it is a asset manager, ranked 2,405th of 3,218 asset managers and 15,786th of 17,210 SEC-registered advisers by assets.
Main office 312-714-5596LinkedInAs filed on Form ADV
- Regulatory AUM
- $62M
- Rank among asset managers
- #2,405 of 3,218
- Rank among all SEC RIAs
- #15,786 of 17,210
- Rank in Massachusetts
- #598 of 627
- Clients
- 2
- Accounts
- 2
- Discretionary
- 100% of AUM
- Employees
- 2
- Advisory staff
- 2
- Offices
- 1
Owners and executives on its Form ADV
- Robert L. BakerCFO
- Paul C. StrehlePresident (06/2021), Owner (02/2025)
- Joseph L. FarleyChief Compliance Officer
Custody and brokerage
Custodian
USA Mutuals Advisors, Inc.’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Investment companies | 2 | $62M | 100% |
Disciplinary disclosures
USA Mutuals Advisors, Inc. reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for investment companies
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗
AtlasMembers
The full record on USA Mutuals Advisors, Inc.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 365 peers of its type and size
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- Owners and executives, with titles and stakes
- 3 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Background
Questions
How much does USA Mutuals Advisors, Inc. manage?
USA Mutuals Advisors, Inc. reports $62 million in regulatory assets under management across 2 accounts, 100% of it on a discretionary basis, on its Form ADV filed September 24, 2026.
What kind of firm is USA Mutuals Advisors, Inc.?
USA Mutuals Advisors, Inc. is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.
Who are USA Mutuals Advisors, Inc.’s clients?
By assets, its largest client types are investment companies ($62 million, 2 clients).
Does USA Mutuals Advisors, Inc. have any disciplinary history?
USA Mutuals Advisors, Inc. reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is USA Mutuals Advisors, Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-24), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →