USA MUTUALS ADVISORS, INC.

HTTP://WWW.USAMUTUALS.COM (PORTAL TO FUND SITES) DALLAS, TX Investment Advisor How do I update this listing?

USA Mutuals Advisors is based out of Dallas. USA Mutuals Advisors is a large advisory firm with 3 clients and discretionary assets under management (AUM) of $251,610,834 (Form ADV from 2019-09-18). Their last reported 13F filing for Q3 2019 included $106,870,000 in managed 13F securities and a top 10 holdings concentration of 64.34%. USA Mutuals Advisors's largest holding is Churchill Downs Inc with shares held of 66,000. Whalewisdom has at least 35 13F filings

Download 13F Summary to Excel Create Email Alert

09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $106.87 Million
  • Prior Market Value $110.568 Million
  • New Purchases6 stocks
  • Additional Purchases2 stocks
  • Sold out of4 stocks
  • Reduced holdings in10 stocks
  • Top 10 Holdings % 64.34 %
  • Turnover % [1]:43.48%
  • Turnover Alt % [2]: 13.61 %
  • Time Held Top20:17.60 quarters
  • Time Held Top10:9.20 quarters
  • Time Held All:17.65 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-08-14

Performance for Q2 2019: -1.5%
Performance Last 4 Quarters: 0.96%
Performance Metrics
Stats are not available for the latest quarter

Refresh Advanced Export Download CSV Download Excel (.xlsx) Download TSV
Filter by:

Security Types:

Refresh
*Shares are split adjusted
Click here to report any possible errors with this listing.
13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2009-09-30 - 13F-HR (Subscription required)
  • 2009-06-30 - 13F-HR (Subscription required)
  • 2009-03-31 - 13F-HR (Subscription required)
  • 2008-12-31 - 13F-HR (Subscription required)
  • 2008-09-30 - 13F-HR (Subscription required)
  • 2008-06-30 - 13F-HR (Subscription required)
  • 2008-03-31 - 13F-HR (Subscription required)
  • 2007-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

USA MUTUALS ADVISORS, INC.
700 N. PEARL STE. 900
DALLAS TX    75201
Country: United States

Business Phone: 214-953-0066
Fax: 214-953-1545
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: TX
Number of employees: 8
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management
Amount of client funds and securities:
Total Number of Clients: 3
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

Sign in to see

Form 4 - Recent Insider Transactions

Loading...

USA MUTUALS ADVISORS, INC.

ownership team - last updated 2019-09-18
Name Title Start Date Direct/Indirect % Ownership
MUTUAL CAPITAL ALLIANCE, INC STOCKHOLDER 04/01/2004 Direct 75% or more
Fund Name Position direct/indirect start date end date
MUTUALS.COM, INC. STOCKHOLDER direct 1997-08-01
MTT FUNDCORP, INC. SHAREHOLDER direct 2002-11-01
CONNELY DOWD MANAGEMENT, INC. SHAREHOLDER direct 2002-12-01
MUTUALS ADVISORS, INC. STOCKHOLDER direct 2004-04-01
TALARICO, GUY, FRANCIS CHIEF COMPLIANCE OFFICER 02/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
KEELEY ASSET MANAGEMENT CORP CHIEF COMPLIANCE OFFICER direct 2004-09-01
KEELEY ASSET MANAGEMENT CORP COMPLIANCE OFFICER direct 2004-09-01
MIO PARTNERS, INC. CHIEF COMPLIANCE OFFICER direct 2004-09-01
MIO PARTNERS, INC. CHIEF COMPLIANCE OFFICER direct 2004-10-01
IVORY INVESTMENT MANAGEMENT, L.P. CHIEF COMPLIANCE OFFICER direct 2005-12-01
MODERN ASSET MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2006-05-01
PENNANTPARK INVESTMENT ADVISERS, LLC CHIEF COMPLIANCE OFFICER direct 2008-05-01
SOLAR CAPITAL PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2016-02-01
ALPHAMETRIX ALTERNATIVE INVESTMENT ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2010-04-01
ALPHAMETRIX, LLC CHIEF COMPLIANCE OFFICER direct 2010-04-01
EVERMORE GLOBAL ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2009-11-01
BDCA ADVISER, LLC CHIEF COMPLIANCE OFFICER direct 2016-02-01
NATIONAL FUND ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2016-02-01
BDCA ADVISER II, LLC CHIEF COMPLIANCE OFFICER direct 2016-03-01
BOTTOM, JEFFREY, LEE PRESIDENT 09/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
USA MUTUALS ADVISORS, INC. PRESIDENT direct 2019-09-01
SAPIO, RICHARD, ANDREW SHAREHOLDER MUTUAL CAPITAL ALLIANCE 06/01/1994 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
MUTUALS ADVISORS, INC. SHAREHOLDER indirect 1994-06-01
CONNELY DOWD MANAGEMENT, INC. SHAREHOLDER indirect 1994-06-01
MUTUALS.COM, INC. SHAREHOLDER indirect 1994-06-01
MTT FUNDCORP, INC. SHAREHOLDER indirect 1994-06-01
MTT FUNDCORP, INC. FINOP/ASO direct 2002-12-01
CONNELY DOWD MANAGEMENT, INC. FINOP, ASO direct 2002-12-01
MUTUALS.COM, INC. PRESIDENT, SECRETARY, TREASURER direct 1994-03-01 2002-10-01
MUTUALS.COM, INC. CEO, SECRETARY, TREASURER direct 1994-03-01 2004-02-11
MUTUALS ADVISORS, INC. SHAREHOLDER indirect 1994-06-01 2004-07-15

USA MUTUALS ADVISORS, INC.

ownership team - last updated 2019-04-02
Name Title Start Date Direct/Indirect % Ownership
MUTUAL CAPITAL ALLIANCE, INC STOCKHOLDER 04/01/2004 Direct 75% or more
Fund Name Position direct/indirect start date end date
MUTUALS.COM, INC. STOCKHOLDER direct 1997-08-01
MTT FUNDCORP, INC. SHAREHOLDER direct 2002-11-01
CONNELY DOWD MANAGEMENT, INC. SHAREHOLDER direct 2002-12-01
MUTUALS ADVISORS, INC. STOCKHOLDER direct 2004-04-01
LOUKAS, MICHAEL, NORMAN PRESIDENT 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
USA MUTUALS ADVISORS, INC. PRESIDENT direct 2016-07-01
WAVEFRONT CAPITAL MANAGEMENT, LP MEMBER indirect 2013-07-01
Fletcher, Jordan, Lea CHIEF OPERATING OFFICER 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
USA MUTUALS ADVISORS, INC. CHIEF OPERATING OFFICER direct 2017-09-01
TALARICO, GUY, FRANCIS CHIEF COMPLIANCE OFFICER 02/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
KEELEY ASSET MANAGEMENT CORP CHIEF COMPLIANCE OFFICER direct 2004-09-01
KEELEY ASSET MANAGEMENT CORP COMPLIANCE OFFICER direct 2004-09-01
MIO PARTNERS, INC. CHIEF COMPLIANCE OFFICER direct 2004-09-01
MIO PARTNERS, INC. CHIEF COMPLIANCE OFFICER direct 2004-10-01
IVORY INVESTMENT MANAGEMENT, L.P. CHIEF COMPLIANCE OFFICER direct 2005-12-01
MODERN ASSET MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2006-05-01
PENNANTPARK INVESTMENT ADVISERS, LLC CHIEF COMPLIANCE OFFICER direct 2008-05-01
SOLAR CAPITAL PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2016-02-01
ALPHAMETRIX ALTERNATIVE INVESTMENT ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2010-04-01
ALPHAMETRIX, LLC CHIEF COMPLIANCE OFFICER direct 2010-04-01
EVERMORE GLOBAL ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2009-11-01
BDCA ADVISER, LLC CHIEF COMPLIANCE OFFICER direct 2016-02-01
NATIONAL FUND ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2016-02-01
BDCA ADVISER II, LLC CHIEF COMPLIANCE OFFICER direct 2016-03-01
SAPIO, RICHARD, ANDREW SHAREHOLDER MUTUAL CAPITAL ALLIANCE 06/01/1994 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
MUTUALS ADVISORS, INC. SHAREHOLDER indirect 1994-06-01
CONNELY DOWD MANAGEMENT, INC. SHAREHOLDER indirect 1994-06-01
MUTUALS.COM, INC. SHAREHOLDER indirect 1994-06-01
MTT FUNDCORP, INC. SHAREHOLDER indirect 1994-06-01
MTT FUNDCORP, INC. FINOP/ASO direct 2002-12-01
CONNELY DOWD MANAGEMENT, INC. FINOP, ASO direct 2002-12-01
MUTUALS.COM, INC. PRESIDENT, SECRETARY, TREASURER direct 1994-03-01 2002-10-01
MUTUALS.COM, INC. CEO, SECRETARY, TREASURER direct 1994-03-01 2004-02-11
MUTUALS ADVISORS, INC. SHAREHOLDER indirect 1994-06-01 2004-07-15

USA MUTUALS ADVISORS, INC.

ownership team - last updated 2019-02-04
Name Title Start Date Direct/Indirect % Ownership
MUTUAL CAPITAL ALLIANCE, INC STOCKHOLDER 04/01/2004 Direct 75% or more
Fund Name Position direct/indirect start date end date
MUTUALS.COM, INC. STOCKHOLDER direct 1997-08-01
MTT FUNDCORP, INC. SHAREHOLDER direct 2002-11-01
CONNELY DOWD MANAGEMENT, INC. SHAREHOLDER direct 2002-12-01
MUTUALS ADVISORS, INC. STOCKHOLDER direct 2004-04-01
LOUKAS, MICHAEL, NORMAN PRESIDENT 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
USA MUTUALS ADVISORS, INC. PRESIDENT direct 2016-07-01
WAVEFRONT CAPITAL MANAGEMENT, LP MEMBER indirect 2013-07-01
SWANSON, ANN MARIE CHIEF COMPLIANCE OFFICER 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
THOMASPARTNERS, INC. CHIEF COMPLIANCE OFFICER direct 2013-05-01
ALETHEIA RESEARCH AND MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2010-09-01
ALETHEIA RESEARCH AND MANAGEMENT INC SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2010-09-01
TRANSAMERICA INVESTMENT MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2003-01-01
TRANSAMERICA INVESTMENT MANAGEMENT, LLC VICE PRESIDENT, GENERAL COUNSEL direct 2008-04-01
TRANSAMERICA INVESTMENT MANAGEMENT, LLC VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2008-09-01
TRANSAMERICA INVESTMENT MANAGEMENT, LLC VICE PRESIDENT, GENERAL COUNSEL, SECRETARY, CHIEF COMPLIANCE OFFICER direct 2008-11-01
POST ADVISORY GROUP, LLC CHIEF COMPLIANCE OFFICER direct 2004-03-01
BROADMARK ASSET MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2016-02-01
USA MUTUALS ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2017-01-01
F-SQUARED INVESTMENTS, INC CHIEF COMPLIANCE OFFICER direct 2015-07-01
TRANSAMERICA INVESTMENT SERVICES, INC. VICE PRESIDENT, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER, SECRETARY direct 2009-01-01
F-SQUARED INSTITUTIONAL ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2015-07-01
SWBC INVESTMENT ADVISORY SERVICES LLC CHIEF COMPLIANCE OFFICER direct 2017-02-01
F-SQUARED RETIREMENT SOLUTIONS, LLC CHIEF COMPLIANCE OFFICER direct 2015-07-01
F-SQUARED ALTERNATIVE INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2015-07-01
EMPYREAL INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2012-04-01
F-SQUARED CAPITAL, LLC CHIEF COMPLIANCE OFFICER direct 2015-07-01
DSF ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2017-05-01
ACTIVE ALTS INC. CHIEF COMPLIANCE OFFICER direct 2015-05-01
ACTIVE ALTS INC. CHIEF COMPLIANCE OFFICER direct 2015-05-01
CANYON BRIDGE MANAGEMENT CORP. CHIEF COMPLIANCE OFFICER direct 2016-12-01
CANYON BRIDGE MANAGEMENT CONSULTING (BEIJING) CO LTD CHIEF COMPLIANCE OFFICER direct 2016-12-01
CANYON BRIDGE CAPITAL PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2016-12-01
CANYON BRIDGE MANAGEMENT (HONG KONG) LIMITED CHIEF COMPLIANCE OFFICER direct 2016-12-01
Fletcher, Jordan, Lea CHIEF OPERATING OFFICER 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
USA MUTUALS ADVISORS, INC. CHIEF OPERATING OFFICER direct 2017-09-01
SAPIO, RICHARD, ANDREW SHAREHOLDER MUTUAL CAPITAL ALLIANCE 06/01/1994 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
MUTUALS ADVISORS, INC. SHAREHOLDER indirect 1994-06-01
CONNELY DOWD MANAGEMENT, INC. SHAREHOLDER indirect 1994-06-01
MUTUALS.COM, INC. SHAREHOLDER indirect 1994-06-01
MTT FUNDCORP, INC. SHAREHOLDER indirect 1994-06-01
MTT FUNDCORP, INC. FINOP/ASO direct 2002-12-01
CONNELY DOWD MANAGEMENT, INC. FINOP, ASO direct 2002-12-01
MUTUALS.COM, INC. PRESIDENT, SECRETARY, TREASURER direct 1994-03-01 2002-10-01
MUTUALS.COM, INC. CEO, SECRETARY, TREASURER direct 1994-03-01 2004-02-11
MUTUALS ADVISORS, INC. SHAREHOLDER indirect 1994-06-01 2004-07-15

USA MUTUALS ADVISORS, INC.

ownership team - last updated 2018-10-29
Name Title Start Date Direct/Indirect % Ownership
MUTUAL CAPITAL ALLIANCE, INC STOCKHOLDER 04/01/2004 Direct 75% or more
Fund Name Position direct/indirect start date end date
MUTUALS.COM, INC. STOCKHOLDER direct 1997-08-01
MTT FUNDCORP, INC. SHAREHOLDER direct 2002-11-01
CONNELY DOWD MANAGEMENT, INC. SHAREHOLDER direct 2002-12-01
MUTUALS ADVISORS, INC. STOCKHOLDER direct 2004-04-01
LOUKAS, MICHAEL, NORMAN PRESIDENT 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
USA MUTUALS ADVISORS, INC. PRESIDENT direct 2016-07-01
WAVEFRONT CAPITAL MANAGEMENT, LP MEMBER indirect 2013-07-01
SWANSON, ANN MARIE CHIEF COMPLIANCE OFFICER 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
THOMASPARTNERS, INC. CHIEF COMPLIANCE OFFICER direct 2013-05-01
ALETHEIA RESEARCH AND MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2010-09-01
ALETHEIA RESEARCH AND MANAGEMENT INC SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2010-09-01
TRANSAMERICA INVESTMENT MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2003-01-01
TRANSAMERICA INVESTMENT MANAGEMENT, LLC VICE PRESIDENT, GENERAL COUNSEL direct 2008-04-01
TRANSAMERICA INVESTMENT MANAGEMENT, LLC VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2008-09-01
TRANSAMERICA INVESTMENT MANAGEMENT, LLC VICE PRESIDENT, GENERAL COUNSEL, SECRETARY, CHIEF COMPLIANCE OFFICER direct 2008-11-01
POST ADVISORY GROUP, LLC CHIEF COMPLIANCE OFFICER direct 2004-03-01
BROADMARK ASSET MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2016-02-01
USA MUTUALS ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2017-01-01
F-SQUARED INVESTMENTS, INC CHIEF COMPLIANCE OFFICER direct 2015-07-01
TRANSAMERICA INVESTMENT SERVICES, INC. VICE PRESIDENT, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER, SECRETARY direct 2009-01-01
F-SQUARED INSTITUTIONAL ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2015-07-01
SWBC INVESTMENT ADVISORY SERVICES LLC CHIEF COMPLIANCE OFFICER direct 2017-02-01
F-SQUARED RETIREMENT SOLUTIONS, LLC CHIEF COMPLIANCE OFFICER direct 2015-07-01
F-SQUARED ALTERNATIVE INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2015-07-01
EMPYREAL INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2012-04-01
F-SQUARED CAPITAL, LLC CHIEF COMPLIANCE OFFICER direct 2015-07-01
DSF ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2017-05-01
ACTIVE ALTS INC. CHIEF COMPLIANCE OFFICER direct 2015-05-01
ACTIVE ALTS INC. CHIEF COMPLIANCE OFFICER direct 2015-05-01
CANYON BRIDGE MANAGEMENT CORP. CHIEF COMPLIANCE OFFICER direct 2016-12-01
CANYON BRIDGE MANAGEMENT CONSULTING (BEIJING) CO LTD CHIEF COMPLIANCE OFFICER direct 2016-12-01
CANYON BRIDGE CAPITAL PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2016-12-01
CANYON BRIDGE MANAGEMENT (HONG KONG) LIMITED CHIEF COMPLIANCE OFFICER direct 2016-12-01
Fletcher, Jordan, Lea CHIEF OPERATING OFFICER 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
USA MUTUALS ADVISORS, INC. CHIEF OPERATING OFFICER direct 2017-09-01
SAPIO, RICHARD, ANDREW SHAREHOLDER MUTUAL CAPITAL ALLIANCE 06/01/1994 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
MUTUALS ADVISORS, INC. SHAREHOLDER indirect 1994-06-01
CONNELY DOWD MANAGEMENT, INC. SHAREHOLDER indirect 1994-06-01
MUTUALS.COM, INC. SHAREHOLDER indirect 1994-06-01
MTT FUNDCORP, INC. SHAREHOLDER indirect 1994-06-01
MTT FUNDCORP, INC. FINOP/ASO direct 2002-12-01
CONNELY DOWD MANAGEMENT, INC. FINOP, ASO direct 2002-12-01
MUTUALS.COM, INC. PRESIDENT, SECRETARY, TREASURER direct 1994-03-01 2002-10-01
MUTUALS.COM, INC. CEO, SECRETARY, TREASURER direct 1994-03-01 2004-02-11
MUTUALS ADVISORS, INC. SHAREHOLDER indirect 1994-06-01 2004-07-15

USA MUTUALS ADVISORS, INC.

ownership team - last updated 2017-11-09
Name Title Start Date Direct/Indirect % Ownership
MUTUAL CAPITAL ALLIANCE, INC STOCKHOLDER 04/01/2004 Direct 75% or more
Fund Name Position direct/indirect start date end date
MUTUALS.COM, INC. STOCKHOLDER direct 1997-08-01
MTT FUNDCORP, INC. SHAREHOLDER direct 2002-11-01
CONNELY DOWD MANAGEMENT, INC. SHAREHOLDER direct 2002-12-01
MUTUALS ADVISORS, INC. STOCKHOLDER direct 2004-04-01
LOUKAS, MICHAEL, NORMAN PRESIDENT 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
USA MUTUALS ADVISORS, INC. PRESIDENT direct 2016-07-01
WAVEFRONT CAPITAL MANAGEMENT, LP MEMBER indirect 2013-07-01
SWANSON, ANN MARIE CHIEF COMPLIANCE OFFICER 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
THOMASPARTNERS, INC. CHIEF COMPLIANCE OFFICER direct 2013-05-01
ALETHEIA RESEARCH AND MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2010-09-01
ALETHEIA RESEARCH AND MANAGEMENT INC SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2010-09-01
TRANSAMERICA INVESTMENT MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2003-01-01
TRANSAMERICA INVESTMENT MANAGEMENT, LLC VICE PRESIDENT, GENERAL COUNSEL direct 2008-04-01
TRANSAMERICA INVESTMENT MANAGEMENT, LLC VICE PRESIDENT, GENERAL COUNSEL, SECRETARY direct 2008-09-01
TRANSAMERICA INVESTMENT MANAGEMENT, LLC VICE PRESIDENT, GENERAL COUNSEL, SECRETARY, CHIEF COMPLIANCE OFFICER direct 2008-11-01
POST ADVISORY GROUP, LLC CHIEF COMPLIANCE OFFICER direct 2004-03-01
BROADMARK ASSET MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2016-02-01
USA MUTUALS ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2017-01-01
F-SQUARED INVESTMENTS, INC CHIEF COMPLIANCE OFFICER direct 2015-07-01
TRANSAMERICA INVESTMENT SERVICES, INC. VICE PRESIDENT, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER, SECRETARY direct 2009-01-01
F-SQUARED INSTITUTIONAL ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2015-07-01
SWBC INVESTMENT ADVISORY SERVICES LLC CHIEF COMPLIANCE OFFICER direct 2017-02-01
F-SQUARED RETIREMENT SOLUTIONS, LLC CHIEF COMPLIANCE OFFICER direct 2015-07-01
F-SQUARED ALTERNATIVE INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2015-07-01
EMPYREAL INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2012-04-01
F-SQUARED CAPITAL, LLC CHIEF COMPLIANCE OFFICER direct 2015-07-01
DSF ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2017-05-01
ACTIVE ALTS INC. CHIEF COMPLIANCE OFFICER direct 2015-05-01
ACTIVE ALTS INC. CHIEF COMPLIANCE OFFICER direct 2015-05-01
CANYON BRIDGE MANAGEMENT CORP. CHIEF COMPLIANCE OFFICER direct 2016-12-01
CANYON BRIDGE MANAGEMENT CONSULTING (BEIJING) CO LTD CHIEF COMPLIANCE OFFICER direct 2016-12-01
CANYON BRIDGE CAPITAL PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2016-12-01
CANYON BRIDGE MANAGEMENT (HONG KONG) LIMITED CHIEF COMPLIANCE OFFICER direct 2016-12-01
Fletcher, Jordan, Lea CHIEF OPERATING OFFICER 09/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
USA MUTUALS ADVISORS, INC. CHIEF OPERATING OFFICER direct 2017-09-01
SAPIO, RICHARD, ANDREW SHAREHOLDER MUTUAL CAPITAL ALLIANCE 06/01/1994 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
MUTUALS ADVISORS, INC. SHAREHOLDER indirect 1994-06-01
CONNELY DOWD MANAGEMENT, INC. SHAREHOLDER indirect 1994-06-01
MUTUALS.COM, INC. SHAREHOLDER indirect 1994-06-01
MTT FUNDCORP, INC. SHAREHOLDER indirect 1994-06-01
MTT FUNDCORP, INC. FINOP/ASO direct 2002-12-01
CONNELY DOWD MANAGEMENT, INC. FINOP, ASO direct 2002-12-01
MUTUALS.COM, INC. PRESIDENT, SECRETARY, TREASURER direct 1994-03-01 2002-10-01
MUTUALS.COM, INC. CEO, SECRETARY, TREASURER direct 1994-03-01 2004-02-11
MUTUALS ADVISORS, INC. SHAREHOLDER indirect 1994-06-01 2004-07-15

WhaleScore history for USA MUTUALS ADVISORS, INC.

You must have a subscription to view WhaleScore histories

Elevate your investments