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Mutual of America Life Insurance Company: investment adviser

Mutual of America Life Insurance Company is an investment adviser registered with the SEC (file 801-21317, CRD 15356). What it reports on Form ADV: assets and clients, fees, owners, disciplinary history and its client brochure. From the SEC's Investment Adviser Public Disclosure site; read Oct 21, 2026.

Assets managed
$434.1M
Discretionary
100%
Accounts
21
Employees
734
In advisory roles
2
Disclosures
2

SEC adviser record · Full Form ADV (PDF)

The firm reports no custody of client cash or securities.

Form ADV Part 1A, Item 5, as filed on the SEC Investment Adviser Public Disclosure site; read Oct 21, 2026.

Clients and fees

Whom the firm advises and how it is paid, from Items 5.D, 5.E and 5.G.

Client typeClientsAssetsShare
Pension and profit-sharing plans21$434.1M100.0%

How it is paid

  • Other: Refer to schedule d, miscellaneous

Services

  • Portfolio management for businesses (other than small businesses) or institutional clients (other than registered investment companies and other pooled investment vehicles)
  • Pension consulting services

Who owns it

The firm's Form ADV lists no owners of 5% or more.

Disciplinary history

What the firm disclosed under Item 11 of Form ADV. A disclosure is the firm's own report: pending matters are allegations, not findings, and many settlements are made without admitting or denying them. Text is quoted from the filing, set in sentence case.

Item 11 questions answered Yes

These questions cover the firm and its advisory affiliates.

  • Has any other federal regulatory agency, any state regulatory agency, or any foreign financial regulatory authority: ever found you or any advisory affiliate to have been involved in a violation of investment-related regulations or statutes?
  • Has any other federal regulatory agency, any state regulatory agency, or any foreign financial regulatory authority: in the past ten years, entered an order against you or any advisory affiliate in connection with an investment-related activity?

Actions about the firm (2)

  1. Jun 13, 2023
    Regulatory Action: Minnesota Department of Commerce FinalFine: $5,000 · Begun Apr 10, 2023 · Resolved Jun 13, 2023 · Order · Docket E-CASE NO. 2964

    The Minnesota commissioner of commerce and Mutual of America Life Insurance Company("life company") entered into a consent order for violations of Minnesota insurance laws regarding failing to: act reasonably promptly in response to communications about claims arising under insurance policies; provide all necessary claim forms and instructions for processing the insurance claims; and promptly reply to all communications about insurance claims that reasonably indicate a response is requested or needed.

    Mutual of America Life Insurance Company was ordered to pay a civil penalty of $5,000.

    Mutual of America Life Insurance Company agreed to an informal disposition of this matter without a hearing. Mutual of America Life Insurance Company was ordered to pay a civil penalty of $5,000 and review it's policies and procedures. No information Filed

  2. Nov 9, 2015
    Regulatory Action: New York State Department of Financial Services FinalSanctions: Civil and Administrative Penalt(ies) /Fine(s) · Fine: $41,850 · Begun Nov 5, 2015 · Resolved Nov 9, 2015 · Stipulation and Consent · Docket 2015-0092-S

    The applicant entered into a stipulation with the New York State Department of Financial Services consenting to a civil penalty for violations of New York state insurance regulations that were not the result of any conscious company policy to evade such regulations. The violations arose under 1) regulation no. 33, by deviating from an acceptable means policy reserves and liabilities method of allocation of net investment income on guaranteed investment contracts; and 2) regulation no. 60, by failing to furnish the insurer whose coverage was being replaced with certain required materials and by not ensuring that certain materials were presented to the applicant prior to signing the application.

    Civil penalty of $41,850 paid in November 2015

    The applicant entered into a stipulation with New York State Department of Financial Services which included a civil penalty of $41,850.

Form ADV Item 11 and its Disclosure Reporting Pages, via the SEC record. All adviser disciplinary records.

The brochure

No brochure text was read for this firm.

Form ADV Part 2A, via the SEC Investment Adviser Public Disclosure site.