USA MUTUALS

The legacy of USA Mutuals is, and will continue to be, rooted in the satisfaction of the thousands of investors we’ve had the privilege to serve. Their expectations are our expectations. Their success is our success. Yes, it can, and should be, that simple
Our simple mandate: Create an environment in which the company’s goals and expectations are truly aligned with our investors.
Jeff Bottom

President

Mr. Bottom joined the firm in early 2018 and brings over 20 years of experience in the investment advisory business, including 15 years of experience specializing in the distribution of alternative investments. As President, Jeff will lead the company and execute the vision to expand USA Mutuals unique and dynamic product line-up. Jeff was most recently a Regional Director for an asset management firm that focused on non-market correlated, liquid alternative investments. Prior to that, he was the Director of Business Development and Investor Relations at Sylvan Road Capital, LLC, a private real estate investment firm specializing in single family residential real estate. He also served as a Managing Director at LandSmith, LP, a boutique private real estate investment firm. Prior to that, he was a Regional Vice President of Sales for ATEL Securities, an alternative investment firm specializing in global infrastructure, equipment leasing and venture debt financing. He received a BS in Water Resources Management from the University of New Hampshire and he currently resides in San Francisco. He currently holds FINRA Series 3, 6, 7, 22 and 63 securities licenses.

Ralph Allen

National Sales Manager

Ralph Allen boasts over 32 years of industry experience, professional relationships, and a proven history of success. As a Wholesale/Distribution expert, Ralph has raised billions in funds on behalf of contracted/member firms HawkPeak Distributors, Catalyst Funds, Rational Funds, Preferred Apartment Communities, Euro Pacific Funds, Merrill Lynch Wealth Management, Munder Capital, Pioneer Funds, AXA/Equitable-Equitable Distributors, Jackson National, and  GE Capital/GNA Securities et al. After earning a BS in Economics from Western Michigan University, Ralph went on to earn a CIMA® certification from the Wharton School of Business at the University of Pennsylvania and an MBA from the Ross School of Business at the University of Michigan. Leading Sales & Marketing, Ralph is an expert in long-only, fixed income, and alternative investment strategies. He also specializes in mutual funds, ETFs, managed accounts/SMA, hedge funds, annuities, and liquid alternatives, providing investment management and consulting services that focus on sales, marketing, and investment distribution. He currently holds FINRA Series 6, 7, 24, 63, 66, and 79 securities licenses.

Our Philosophy

The relationship between expectations and results

“The commitment to creating an environment in which the company’s goals and expectations are truly aligned with our investors will represent the backbone of each strategic decision and the theme of each business day.”

We aim to clearly define the fundamental expectations of each of our strategies in various types of market cycles. Transparent and accurate expectations evolve into predictable risk management tools, and predictable risk management tools are the foundation of our portfolio construction philosophy.

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In constantly monitoring all corners of the institutional investment world, our management team seeks to identify uniquely talented and undiscovered investment managers that have compiled track records of success in their respective asset classes. We believe that offering these strategies in a vehicle that emphasizes both transparency and daily liquidity is a benefit to all investors. Furthermore, in aspiring to create a suite of strategies that are largely uncorrelated to each other, we hope to provide our clients the flexibility to employ one, several, or all of our funds as portfolio tools in addressing a variety of investment goals.

Although many factors are considered throughout the due diligence process, including asset class, investment style and market outlook, the backbone of our philosophy is represented in a set of core characteristics upon which we are unwilling to compromise:

A clearly defined risk management philosophy

Low or zero leverage

A repeatable investment process

A track record of Alpha generation

A comprehensive and unyielding Code of Ethics

Low correlation to economic cycles

At USA Mutuals, we believe that truly understanding the basic expectations and behavior of any investment strategy is paramount to its proper positioning within a portfolio. It is all too common in today’s alternative investment universe to encounter poorly defined or miscategorized investment objectives, both intentionally and unintentionally. Many funds attempt to be all things to all investors. Consequently, improperly utilized strategies can lead to unexpected results. This doesn’t necessarily mean a strategy is ineffective, it may simply mean it was incorrectly positioned relative to its actual attributes rather than its perceived attributes. This is an eminently fixable problem. We aim to clearly define the fundamental expectations of each of our strategies in various types of market cycles. Transparent and accurate expectations evolve into predictable risk management tools, and predictable risk management tools are the foundation of our portfolio construction philosophy.

Our Mission

“The commitment to creating an environment in which the company’s goals and expectations are truly aligned with our investors will represent the backbone of each strategic decision and the theme of each business day.” Built on a steadfast foundation of progressive investment theory, our philosophy endeavors to meet the goals of our investors in any economic cycle. Perpetually striving to transform clearly defined expectations into successful and measurable results is the bedrock of our organization.

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INNOVATIVE INVESTMENTS. EVOLVED EXPECTATIONS.