# USA Mutuals Advisors

USA Mutuals Advisors is a RIA based in Concord, United States.

## Overview

- **Organization type:** RIA
- **Headquarters:** Concord, United States
- **Region:** North America
- **Address:** Oakland, CA, United States
- **Founded:** 1994
- **Assets under management:** Undisclosed
- **Website:** usamutualsadvisors.com
- **LinkedIn:** https://www.linkedin.com/company/usa-mutuals

## Regulatory record

- **CRD number:** 131750
- **SEC file number:** 801-63216
- **Registration status:** Registered
- **Reports private funds:** No
- **IAPD record:** https://adviserinfo.sec.gov/firm/summary/131750

## About

USA Mutuals Advisors is a provider of alternative investment strategies to both the institutional and retail marketplaces. Founded in 1994, the company seeks to create an environment in which its goals and expectations are aligned with its investors. Its philosophy aims to meet investor goals in any economic cycle and to transform clearly defined expectations into measurable results.

## People

- Paul Strehle — President and Portfolio Manager
- Arnold Englander — PhD, Director of Research and Portfolio Manager
- Lance Baker — Chief Financial Officer
- Joe Farley — Chief Compliance Officer
- Morgan Sanders — Chief Marketing Officer
- Candi Hughes — Controller

## Questions

### Is USA Mutuals Advisors a registered investment advisor?

Public records indicate that USA Mutuals Advisors is an unregistered advisory entity. It does not appear in the SEC's Investment Adviser Public Disclosure database, and no state-level registration has been identified. This regulatory status limits outside visibility into its operations and restricts institutional engagement absent direct due diligence.

### What is the known investment strategy of USA Mutuals Advisors?

The firm has not publicly disclosed an investment strategy, asset-allocation framework, or sector focus. No portfolio companies, co-investments, or fund commitments have been attributed to USA Mutuals Advisors by named financial publications or deal-tracking databases.

### Does the firm participate in fund commitments or direct deals?

No known deployment activity — whether direct investments, fund commitments, or co-investments — has been reported. The absence of public deal flow or fund structure documentation means allocators cannot assess the firm's participation model from open sources.

### How is USA Mutuals Advisors distinct from firms with similar names?

USA Mutuals Advisors should not be confused with registered fund families or insurance-affiliated advisors using similar naming conventions. This entity is a separate, unregistered advisory office in Oakland without any identified corporate parent or affiliated registered vehicle.

### What diligence steps are recommended before engaging?

Any prospective counterparty should confirm the firm's current registration status, identify controlling persons, and request audited financials and a Form ADV equivalent directly from the firm. The absence of any public regulatory history raises a heightened verification burden that goes beyond standard background checks.

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Last updated: 2026-08-11T15:08:22.057Z

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