Policies
Alternative Investment Policy Guidance
Definitions Alternative Investments: These are non-publicly traded financial assets that are typically illiquid and less regulated. Examples include private equity, hedge funds, real estate, commodities, and collectibles. Accredited Investors: ...
Advisor Aggregate Billing Value Policy Guidance
Definitions Aggregate Billing Value (“ABV”): Every household in Orion has an ABV that is calculated based on the value of accounts within the household, as long as they are set to be included in the ABV calculation. This calculation is used to ...
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 ...
Advisors' Code of Ethics
Mutual Advisors, LLC Code of Ethics
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 ...
Mutual Advisors' Wrap Addendum
MALLC Appendix 1 (Wrap Addendum) Material Changes since 3/31/2025: [NONE]
Mutual Advisors' ADV 2A
Mutual Advisors, LLC ADV Part 2A Material Changes since 3/31/2025: [NONE]
Advisors' Compliance Policies & Procedures
Summary of policies that have been updated since January 1, 2024: Cryptocurrency Policy Summary Prohibited: MALLC prohibits IARs from providing advisory advice on: Crypto-currency investments (e.g., Bitcoin) Initial Coin Offerings (ICOs) Other ...
Advisors' Advertising and Marketing Policy
Mutual Advisors, LLC Advertising and Marketing Policy
Advisors' Promoter's Policy & Procedures Manual
Mutual Advisors, LLC Promoter's Policy & Procedures Manual (previously known as: Solicitor's Policy)