at


Investment Adviser Firm Summary

MUTUAL ADVISORS, LLC (CRD# 167658 / SEC# 801-78089)
Alternate Names: 401 FINANCIAL , ADHERENCE CAPITAL MANAGEMENT , ALL SKY WEALTH MANAGEMENT , BILTMORE ADVISORS , BILTMORE ADVISORS, INC , CATALYST PRIVATE WEALTH , CGT WEALTH ADVISORS , DCH WEALTH MANAGEMENT , DEL REY CAPITAL MANAGEMENT , DMI WEALTH MANAGEMENT SOLUTIONS , FINANCIAL JOURNEY PARTNERS , HAWTHORNE FINANCIAL , HODDER INVESTMENT ADVISORS , KIELY CONSULTING , LANDOR ADVISORS , MOLINA WEALTH MANAGEMENT , MUELLER WEALTH , MUTUAL ADVISORS, LLC , MUTUAL ADVISORS, LLC DBA SIERRA INVESTMENT ADVISORS , MYERS DEWITT , NEWPORT COAST WEALTH MANAGEMENT , ROSEHILL ASSET MANAGEMENT , SIERRA INVESTMENT ADVISORS , SONDER PRIVATE WEALTH MANAGEMENT , STONE & DOWN WEALTH MANAGEMENT , SULLIVAN WEALTH MANAGEMENT GROUP , SWAIN FINANCIAL SERVICES , THE CAPITAL GROUP, LLC , VISION WEALTH , W. MCKINLEY & ASSOCIATES , WEALTH MANAGEMENT STRATEGIES , WHITEHOUSE WEALTH MANAGEMENT , YIELD ADVISORY

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 05/26/2013

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Arizona 06/11/2013
California 05/26/2013
Colorado 06/11/2013
Florida 01/15/2014
Georgia 06/11/2013
Hawaii 01/15/2014
Idaho 01/15/2014
Illinois 11/17/2017
Louisiana 02/21/2018
Michigan 08/15/2016
Missouri 11/16/2017
Nebraska 11/11/2014
Nevada 07/25/2013
New Hampshire 07/22/2016
New Jersey 02/11/2014
New Mexico 04/12/2018
New York 10/10/2017
North Carolina 01/15/2014
Ohio 10/10/2017
Oregon 06/11/2013
Pennsylvania 05/26/2013
South Dakota 01/12/2017
Texas 06/28/2013
Utah 04/06/2015
Virginia 01/15/2014
Washington 01/15/2014
Wisconsin 05/02/2018
Wyoming 12/22/2017

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser