How to View Regulatory Mailing Lists

How to View Regulatory Mailing Lists

How to View Regulatory Mailing Lists

 

Mutual Advisors, LLC (“Mutual”) has a responsibility to send certain regulatory notifications to investor clients at least annually. There is an annual requirement to send any material changes to Form ADV, Form CRS or our Privacy Policy. It is important to be able to review how your client households are set to receive these notifications to ensure that the proper mailing or email addresses are being used.

 

Reviewing Mailing Lists

  1. Launch Orion from the Power Portal

      

  1. In the left-side menu, hover over the Portfolio Audit app and select Households from the menu that comes up.


  1. In the right-side menu, choose one of the following views:

    1. “^Annual Notification Mailing List (Global)”: shows all households set to receive the annual notification (both mail and email)

    2. “^Email Annual Notification Mailing List (Global)”: shows all households set to receive the annual notification via email

    3. “^Mail Annual Notification Mailing List (Global)”: shows all households set to receive the annual notification via mail



Notes about the different views

 ^Annual Notification List (Global):

  1.  Only includes those households set to mail as their notification preference
  2. Sorted by email address so you can see which clients may have more than one household in Orion. This may be an indication that households need to be merged (See Householding in Orion).
  3. Shows the notification preference in third column for easy reference

 

^Email Annual Notification List (Global):

  1.  Only includes those households set to email as their notification preference
  2. Sorted by email address so you can see which clients may have more than one household in Orion. This may be an indication that households need to be merged (See Householding in Orion).

 

^Mail Annual Notification List (Global):

  1.  Only includes those households set to mail as their notification preference
  2. Sorted by email address so you can see which clients may have more than one household in Orion. This may be an indication that households need to be merged (See Householding in Orion).

 

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NOTE: Any requests to change the delivery preference from physical mail to email must be made in writing. Investor clients can make this request in writing via email to their advisor. The notification should indicate the email to which the client wants the regulatory notifications sent. The notification should be submitted via a case to Advisory Services in the Power Portal to ensure the preference is properly updated in the system.