Unclaimed Profile

Richard Andrew Sapio

USA MUTUALS ADVISORS, INC.·DALLAS, Texas

SIE, Series 7, Series 24, Series 27, Series 53, Series 63, Series 65, Series 79TO, Series 82TO4 years registeredUSA MUTUALS ADVISORS, INC.

700 N. PEARL, DALLAS, TX 75201CRD# 2091535Firm CRD# 131750

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Richard Andrew Sapio · DALLAS, TX

Registration

CRD #2091535 · USA MUTUALS ADVISORS, INC. · 4 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: USA MUTUALS ADVISORS, INC.

USA MUTUALS ADVISORS, INC.

Dec 2021 – Feb 2025

DALLAS, TX

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 27

Series 53

Series 63

Series 65

Series 79TO

Series 82TO

Registration record

First registered · December 18, 2021

Years registered · 4

Disclosure History

2007Regulatory·Final

2004Criminal·Final Disposition

2004Employment Separation After Allegations

5 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

USA MUTUALS ADVISORS, INC.

CRD 131750 · SEC 801-63216

AUM

$87M

Regulatory assets under management

Employees

2 client accounts

Services offered by USA MUTUALS ADVISORS, INC.

Per Form ADV

Portfolio management (pooled investments)

Client types served by the firm

Per Form ADV

Institutional Investors

View all advisors at USA MUTUALS ADVISORS, INC. →

Introduction

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Frequently Asked Questions

What services does Richard Andrew Sapio offer?

Richard Andrew Sapio specializes in Investment Management, Fee-Only Advisory.

What are Richard Andrew Sapio's credentials?

Richard Andrew Sapio is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Richard Andrew Sapio located?

Richard Andrew Sapio is based in DALLAS, Texas, last registered with USA MUTUALS ADVISORS, INC..

How does Richard Andrew Sapio charge for services?

Richard Andrew Sapio's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is USA MUTUALS ADVISORS, INC.?

USA MUTUALS ADVISORS, INC. has approximately 4 employees and manages $87M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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