{ "crd_number": 121364, "slug": "mutual-trust-asset-mgmt-inc-tampa-fl-121364", "primary_business_name": "MUTUAL TRUST ASSET MGMT., INC.", "legal_name": "MUTUAL TRUST ASSET MGMT., INC.", "dbas": [], "city": "Tampa", "state": "FL", "country": "United States", "cbsa_code": "45300", "metro": { "cbsa_code": "45300", "common_name": "Tampa", "msa_name": "Tampa-St. Petersburg-Clearwater, FL", "path": "/advisors/fl/tampa" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2017-08-29", "years_registered": 9, "period": "2026-10-01", "filing_date": "2026-08-06", "carried_forward": false, "raum_total": 58355433.0, "raum_discretionary": 58355433.0, "raum_non_discretionary": 0.0, "raum_band": "25m_100m", "raum_band_label": "$25 million to $100 million", "total_employees": 4, "advisory_employees": 4, "client_count_bucket": null, "clients_by_type": { "individuals": { "raum": 30353769.0, "count": 112 }, "high_net_worth_individuals": { "raum": 28001664.0, "count": 8 } }, "compensation_types": [ "fixed", "other", "percentage_of_aum" ], "advisory_activities": [ "financial_planning", "other", "portfolio_management_individuals", "selection_of_other_advisers" ], "wrap_fee_participant": false, "disclosure_yes_count": 3, "states_registered": [ "FL", "TN" ], "websites": [], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/121364", "disclosure_items": [ { "item": "11.C(2)", "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?" }, { "item": "11.C(4)", "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?" }, { "item": "11.C(5)", "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?" } ], "city_as_filed": "TAMPA", "url": "https://advisorcensus.com/firm/mutual-trust-asset-mgmt-inc-tampa-fl-121364", "display_name": "Mutual Trust Asset MGMT., Inc.", "summary": "Mutual Trust Asset MGMT., Inc. is an SEC-registered investment advisory firm in Tampa, FL, registered since 2017, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated August 6, 2026.", "citation": "AdvisorCensus. Mutual Trust Asset MGMT., Inc. (CRD 121364): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Fixed fees (other than subscription fees)", "Other" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses", "Selection of other advisers (including private fund managers)", "Other" ], "quick_answers": [ { "q": "How is Mutual Trust Asset MGMT., Inc. compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Mutual Trust Asset MGMT., Inc. reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees); other." }, { "q": "How much does Mutual Trust Asset MGMT., Inc. charge?", "a": "Its Form ADV Part 2A brochure dated March 31, 2026 states: Asset-based fee: 1% to 2.5% a year (a range, as the brochure states it). Fees can differ by service and may be negotiable; the brochure is the complete statement." }, { "q": "Where is Mutual Trust Asset MGMT., Inc. located?", "a": "Mutual Trust Asset MGMT., Inc.'s principal office is in Tampa, FL, according to its Form ADV; the September 2026 filing also lists 3 other offices (Schedule D, Section 1.F)." }, { "q": "Is Mutual Trust Asset MGMT., Inc. registered with the SEC or a state?", "a": "Mutual Trust Asset MGMT., Inc. is an SEC-registered investment advisory firm, registered since 2017. Status as filed: Approved. CRD 121364." }, { "q": "How much does Mutual Trust Asset MGMT., Inc. manage?", "a": "Mutual Trust Asset MGMT., Inc. reports $58,355,433 in regulatory assets under management in its Form ADV filing dated August 6, 2026 (100% discretionary)." }, { "q": "How have Mutual Trust Asset MGMT., Inc.'s assets and staff changed since 2021?", "a": "In the Form ADV data for Mutual Trust Asset MGMT., Inc.: Regulatory assets under management: $195,265,338 in the October 2021 data and $58,355,433 in the October 2026 data, down 70%. Total employees: 8 in October 2021 and 4 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Mutual Trust Asset MGMT., Inc. serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (112); high net worth individuals (8)." }, { "q": "Which custodians does Mutual Trust Asset MGMT., Inc. use?", "a": "Mutual Trust Asset MGMT., Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Hilltop Securities Inc. as custodians holding 10% or more of its separately managed account assets." }, { "q": "Does Mutual Trust Asset MGMT., Inc. report any disciplinary disclosures?", "a": "Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), and 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/121364" }, { "q": "What changed in Mutual Trust Asset MGMT., Inc.'s recent Form ADV filings?", "a": "In the June 2026 filing data: Item 11 disclosure answers changed: 3 yes answers, previously 5 (now no: 11.E(2), 11.E(4))." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 195265338.0, "total_employees": 8, "filing_date": "2021-09-30" }, { "period": "2022-10-01", "regulatory_assets_under_management": 248833708.0, "total_employees": 9, "filing_date": "2022-06-08" }, { "period": "2023-10-01", "regulatory_assets_under_management": 218558283.0, "total_employees": 10, "filing_date": "2023-01-12" }, { "period": "2024-10-01", "regulatory_assets_under_management": 241372086.0, "total_employees": 9, "filing_date": "2024-05-15" }, { "period": "2025-10-01", "regulatory_assets_under_management": 57396568.0, "total_employees": 7, "filing_date": "2025-05-14" }, { "period": "2026-10-01", "regulatory_assets_under_management": 58355433.0, "total_employees": 4, "filing_date": "2026-08-06" } ], "recent_changes": [ { "period": "2026-06-01", "period_label": "June 2026", "notes": [ "Item 11 disclosure answers changed: 3 yes answers, previously 5 (now no: 11.E(2), 11.E(4))." ] }, { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Changed its office addresses in St. Petersburg, FL.", "Added an office in Clearwater, FL.", "Added an office in West Palm Beach, FL.", "No longer lists an office in Ocala, FL.", "Registered or notice-filed in TN.", "Updated its list of owners and control persons (Schedule A)." ] }, { "period": "2026-01-01", "period_label": "January 2026", "notes": [ "No longer registered or notice-filed in AZ, CA, MA, TX." ] } ], "fees_from_brochure": { "source": "Form ADV Part 2A brochure dated March 31, 2026", "provided_by_the_firm": false, "tiers": [], "flat_rate": null, "stated_range": "1% to 2.5% a year", "stated_maximum": null, "account_minimum": null, "account_minimum_may_be_waived": false, "minimum_annual_fee": null, "planning_fees": [], "figures": [ { "label": "Asset-based fee", "statements": [ "Asset-based fee: 1% to 2.5% a year (a range, as the brochure states it)" ], "quotes": [ "Fees are negotiable based on the client’s circumstances and requirements and range from 1% to 2.5%, depending upon the services rendered." ] } ], "values": { "tiers": [], "range_pct": [ 1.0, 2.5 ], "max_pct": null, "account_minimum": null, "minimum_annual_fee": null, "planning": [] }, "quotes": [ "Fees are negotiable based on the client’s circumstances and requirements and range from 1% to 2.5%, depending upon the services rendered." ], "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable." }, "custodians": [ { "name": "Charles Schwab & Co., Inc.", "name_as_filed": "CHARLES SCHWAB & CO., INC.", "affiliated": false }, { "name": "Hilltop Securities Inc.", "name_as_filed": "HILLTOP SECURITIES INC.", "affiliated": false } ], "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.", "markdown_url": "https://advisorcensus.com/firm/mutual-trust-asset-mgmt-inc-tampa-fl-121364.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 112, "fewer_than_5": false, "raum": 30353769.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 8, "fewer_than_5": false, "raum": 28001664.0 } ], "disclosure_line": "Reports 3 disclosure items on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/121364", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }