Knowledge Base
Mutual Group
The KB for Mutual Group.
Recent Articles
Permissible Activities for Assistants
This guide clarifies the scope of permissible activities for non-licensed administrative and marketing assistants versus their licensed counterparts. Adherence to these guidelines is mandatory to ensure compliance with FINRA and SEC regulations and ...2Q2026 Billing and Advisor Compensation and Reporting Timeline
Attached is the Billing and Advisor Compensation Timeline for advisors on quarterly fee billing schedules. This timeline details the events will take place: Investor Client Forecasting Reports publishing dates Revenue and Expense Statement publishing ...Steps to Take When a Client Dies
As advisors, our relationships with clients often span decades, seeing them through life's most significant milestones. Two of the most challenging events we must be prepared to handle are a client's death or a decline in their capacity to make sound ...ADVISOR - Revenue & Expense Statements: Navigating to My Files
Revenue and Expense statements are no longer available in Nexus. To view your new Revenue and Expense statements, please go to the Mutual Power Portal. Below are two routes to get there: Via the Power Portal Click on My Files from the banner. Use the ...Evolve4Advisor Team Information
Evolve4Advisor Web Portal: power.mutual.group Company Website: https://www.mutual.group/ Orion: Login (orionadvisor.com) OR clicking the rocketship under the Evolve Portal Email: DirectBusiness@mutual.group Evolve Hotline: 805-702-7222 Tech Number: ...
Popular Articles
Advisors' Compliance Policies & Procedures
Summary of policies that have been updated since January 1, 2025: Death of a Client This policy outlines the procedure for managing a client's account after their death to protect their assets and ensure a proper transition. Immediate Restriction: ...Advisor Non-Traditional ETF Policy and Guidance
Policy Leveraged and Inverse ETFs (collectively “Non-Traditional ETFs”) are designed to deliver multiples and/or the inverse of the index or benchmark they track over a single trading day. These ETFs have unique risks if held for more than a single ...YouTube Usage Guidance
YouTube Usage Guidance Video messaging, including video blogs (“vlogs”) are becoming increasingly popular across all industries, including financial services. How we have to treat those videos depends greatly on how you wish to use them. If you are ...Risk Monitor Policy Guidance
Risk Monitor Policy Guidance What is the Risk Monitor Policy? Mutual Advisors, LLC (“Mutual”) requires that every client be taken through a Risk Assessment Questionnaire (“RAQ”). The RAQ is designed to assess a client’s emotional response to risk, ...SEC Registered Crypto Assets
SEC Registered Crypto Assets On January 10, 2024 the SEC approved the registration of several Spot Bitcoin ETFs. Although the SEC has approved the registration of these new products, they have indicated that they still view the cryptocurrency market ...