Mutuals Advisors, Inc. (Dallas)


Mutuals Advisors, Inc. is a large advisory firm based in Dallas. It manages $165.08 million of regulatory assets for 3 client accounts. It has been registered with the SEC as an adviser since 2004 and has operated in the jurisdiction of Texas.

Mutuals Advisors provides portfolio management for investment companies. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Mutuals Advisors: assets under management

The assets under management (AUM) of Mutuals Advisors, Inc. is $165.08 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 92% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $165.08 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $55.03 million each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Mutuals Advisors, Inc. for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Mutuals Advisors, Inc.

Daniel Stuart Ahrens has been acting as President since 1 Apr 2004. William Steven Mcnish joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Mutuals Holdings Corp Stockholder 1 Apr 2004 75% - 100% 75-2545550
Daniel Stuart Ahrens President 1 Apr 2004 Other 2000128
Mutual Capital Alliance Stockholder 1 Apr 2004 75% - 100% 75-2545550
Inc Mutual Capital Alliance Stockholder 1 Apr 2004 75% - 100% 75-2545550
Michael James Henry Cco 1 Sep 2005 Other 4592472
Charles Louis Norton Vice president/portfolio mgr 1 Sep 2005 Other 2780934
David Edward Scott Chief compliance officer 1 Sep 2006 Other 5221545
Laurie Patriece Robertscheatham President & coo 1 Jan 2007 Other 2492833
Eric Sol Lansky President & coo 1 Dec 2008 Other 2184607
Jeffery Brent Middleswart Chief investment manager 1 Feb 2010 Other 2409617
Jerry John Szilagyi President & coo 1 Apr 2011 Other 1156349
William Steven Mcnish Chief compliance officer 1 Sep 2013 Other 5907999

Indirect Owners

The SEC currently registers 1 indirect owner.

Name Entity Date acquired Ownership Employer ID
Richard Andrew Sapio Shareholder 1 Jun 1994 50% - 75% 2091535

Based in Dallas

The principal office where Mutuals Advisors, Inc. performs its advisory services is located at 700 N. Pearl, Dallas, TX 75201, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 214-953-0066 or by fax 214-953-1545. The normal business hours are 9:00a.m. to 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at www.mutuals.com.