DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

MOUNT YALE ASSET MANAGEMENT, LLC

CRD 116578

DENVER, CO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2cd9830c-8f9c-9a92-161f-8b044a302164

Data as of Mar 30, 2017 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:36 AM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 0
On other graphs: 2
Observed: Mar 30, 2012 to Mar 30, 2017
16 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Mount Yale Asset Management, LLC

Private equity manager · shared crd

Private Creditidentity

MOUNT YALE ASSET MANAGEMENT, LLC

Private credit manager · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $244MItem 5.F on the latest filing (2017-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $244M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 24
Advisory employees: 14
Accounts: 308
SEC number: 801-63221
CRD: 116578
Filings on the tape: 16
First filed: Mar 30, 2012
Latest filed: Mar 30, 2017
Organised: Limited Liability Company, Delaware

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
THE OASIS FUND, LP	Hedge Fund	$3.3M	Oct 24, 2016	141	Jul 23, 2012	reported	n/a
KKR XI ACCESS FUND LP	Private Equity Fund	$1.7M	Feb 13, 2015	15	Apr 2, 2014	dropped	n/a
MOUNT YALE GUARDIAN FUND - A SEPARATE SERIES OF MOUNT YALE MASTER PORTFOLIOS, LP	Liquidity Fund	$1.1M	Feb 13, 2015	229	Jul 23, 2012	dropped	021-1351301
MYPE MEZZCO, LP	Private Equity Fund	$1.1M	Feb 13, 2015	1	Jul 23, 2012	dropped	n/a
MYPE PARTNERS, LP	Private Equity Fund	$703,421	Feb 13, 2015	50	Jul 23, 2012	dropped	021-1500748
MOUNT YALE HIGHLAND FUND	Hedge Fund	$700,185	Feb 13, 2015	5	Jul 23, 2012	dropped	021-1448530
HIGHLAND FUND OFFSHORE	Hedge Fund	$23,091	Feb 13, 2015	2	Jul 23, 2012	dropped	021-1448529
PAULSON DIRECT ACCESS FUND, LLC	Hedge Fund	$0	Mar 28, 2013	0	Jul 23, 2012	dropped	021-140103
PAULSON OFFSHORE DIRECT ACCESS FUND	Hedge Fund	$0	Mar 28, 2013	0	Jul 23, 2012	dropped	n/a

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ANDERSON, GREG, DAVID	MEMBER, MANAGER	C	yes	11/2003	Mar 30, 2012	Mar 30, 2017
ANDERSON, GREG, DAVID	PRESIDENT, MANAGING PARTNER	Na	yes	06/1999	Mar 30, 2012	Mar 30, 2017
MOUNT YALE CAPITAL GROUP, LLC	Member	E	yes	11/2003	Mar 30, 2012	Mar 30, 2017
SABRE, JOHN, LEONARD	CHIEF EXECUTIVE OFFICER, MANAGING PARTNER	Na	yes	07/2003	Mar 30, 2012	Mar 30, 2017
SABRE, JOHN, LEONARD	Manager	F	yes	11/2003	Mar 30, 2012	Mar 30, 2017
SABRE, JOHN, LEONARD	Manager	F	yes	08/2007	Mar 30, 2012	Mar 30, 2017
Amen, Daniel, John	GENERAL COUNSEL	Na	no	08/2014	Mar 30, 2017	Mar 30, 2017
DALTON CAPITAL, LLC	Member	D	no	11/2003	Mar 30, 2012	Mar 30, 2017
SABRE, LYNN, VIRGINIA	Member	E	no	08/2007	Mar 30, 2012	Mar 30, 2017
SABRE, MICHAEL, JOSEPH	CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER	Na	no	09/2004	Mar 30, 2012	Mar 30, 2017

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
MOUNT YALE INVESTMENT ADVISORS, LLC	n/a	Independent wealth	$8.3B	N	yes	n/a
PRINCETON FUND ADVISORS, LLC	n/a	Asset manager	$780M	N	yes	n/a
MOUNT YALE INTERNATIONAL, LTD.	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Evergreen	Co	United States	n/a	no
Minneapolis	Mn	United States	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Mar 30, 2017	$244M	$244M	24	14	n/a	n/a	n/a
2015	Mar 30, 2016	$324M	$324M	23	13	n/a	4	$231M
2014	Mar 30, 2015	$289M	$289M	26	11	n/a	4	$320M
2013	Apr 2, 2014	$414M	$414M	25	13	n/a	10	$327M
2012	Mar 28, 2013	$311M	$311M	24	13	n/a	11	$350M
2011	Mar 30, 2012	$410M	$410M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$244M	$324M	-24.6%	$414M	-16.2%	24	23	n/a	n/a

Relationships

Affiliated with (2)

→ ELEVATION POINT WEALTH PARTNERS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ PRINCETON FUND ADVISORS, LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV

Controls (3)

← SABRE, JOHN, LEONARDOwnerMANAGER, ownership code F, individual
Mar 30, 2012 to presentfactForm ADV
← ANDERSON, GREG, DAVIDOwnerMEMBER, MANAGER, ownership code C, individual
Mar 30, 2012 to presentfactForm ADV
← MOUNT YALE CAPITAL GROUP, LLCOwnerMEMBER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV

Owns (4)

← SABRE, MICHAEL, JOSEPHOwnerCHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← SABRE, LYNN, VIRGINIAOwnerMEMBER, ownership code E, individual
Mar 30, 2012 to presentfactForm ADV
← Amen, Daniel, JohnOwnerGENERAL COUNSEL, ownership code NA, individual
Mar 30, 2017 to presentfactForm ADV
← DALTON CAPITAL, LLCOwnerMEMBER, ownership code D, domestic entity
Mar 30, 2012 to presentfactForm ADV

Advises (9)

→ THE OASIS FUND, LPPrivate fundHedge Fund, IA
Jul 23, 2012 to presentfactForm ADV
→ HIGHLAND FUND OFFSHOREPrivate fundHedge Fund, IA, no longer reported
Jul 23, 2012 to Feb 13, 2015factForm ADV
→ MOUNT YALE HIGHLAND FUNDPrivate fundHedge Fund, IA, no longer reported
Jul 23, 2012 to Feb 13, 2015factForm ADV
→ MYPE MEZZCO, LPPrivate fundPrivate Equity Fund, IA, no longer reported
Jul 23, 2012 to Feb 13, 2015factForm ADV
→ KKR XI ACCESS FUND LPPrivate fundPrivate Equity Fund, IA, no longer reported
Apr 2, 2014 to Feb 13, 2015factForm ADV
→ MYPE PARTNERS, LPPrivate fundPrivate Equity Fund, IA, no longer reported
Jul 23, 2012 to Feb 13, 2015factForm ADV
→ MOUNT YALE GUARDIAN FUND - A SEPARATE SERIES OF MOUNT YALE MASTER PORTFOLIOS, LPPrivate fundLiquidity Fund, IA, no longer reported
Jul 23, 2012 to Feb 13, 2015factForm ADV
→ PAULSON DIRECT ACCESS FUND, LLCPrivate fundHedge Fund, IA, no longer reported
Jul 23, 2012 to Mar 28, 2013factForm ADV
→ PAULSON OFFSHORE DIRECT ACCESS FUNDPrivate fundHedge Fund, IA, no longer reported
Jul 23, 2012 to Mar 28, 2013factForm ADV

Registered with (1)

← ROGER CRAIG BOWDENAdvisorregistration: previous registration
Oct 8, 1999 to Apr 8, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2cd9830c-8f9c-9a92-161f-8b044a302164
First observed: Mar 30, 2012
Last observed: Mar 30, 2017 115 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

MOUNT YALE ASSET MANAGEMENT, LLC

CRD 116578

DENVER, CO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2cd9830c-8f9c-9a92-161f-8b044a302164

Data as of Mar 30, 2017 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:36 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

THE OASIS FUND, LP

Hedge Fund

$3.3M

Oct 24, 2016

141

Jul 23, 2012

reported

n/a

KKR XI ACCESS FUND LP

Private Equity Fund

$1.7M

Feb 13, 2015

Apr 2, 2014

dropped

n/a

MOUNT YALE GUARDIAN FUND - A SEPARATE SERIES OF MOUNT YALE MASTER PORTFOLIOS, LP

Liquidity Fund

$1.1M

Feb 13, 2015

229

Jul 23, 2012

dropped

021-1351301

MYPE MEZZCO, LP

Private Equity Fund

$1.1M

Feb 13, 2015

Jul 23, 2012

dropped

n/a

MYPE PARTNERS, LP

Private Equity Fund

$703,421

Feb 13, 2015

Jul 23, 2012

dropped

021-1500748

MOUNT YALE HIGHLAND FUND

Hedge Fund

$700,185

Feb 13, 2015

Jul 23, 2012

dropped

021-1448530

HIGHLAND FUND OFFSHORE

Hedge Fund

$23,091

Feb 13, 2015

Jul 23, 2012

dropped

021-1448529

PAULSON DIRECT ACCESS FUND, LLC

Hedge Fund

Mar 28, 2013

Jul 23, 2012

dropped

021-140103

PAULSON OFFSHORE DIRECT ACCESS FUND

Hedge Fund

Mar 28, 2013

Jul 23, 2012

dropped

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ANDERSON, GREG, DAVID

MEMBER, MANAGER

yes

11/2003

Mar 30, 2012

Mar 30, 2017

ANDERSON, GREG, DAVID

PRESIDENT, MANAGING PARTNER

yes

06/1999

Mar 30, 2012

Mar 30, 2017

MOUNT YALE CAPITAL GROUP, LLC

Member

yes

11/2003

Mar 30, 2012

Mar 30, 2017

SABRE, JOHN, LEONARD

CHIEF EXECUTIVE OFFICER, MANAGING PARTNER

yes

07/2003

Mar 30, 2012

Mar 30, 2017

SABRE, JOHN, LEONARD

Manager

yes

11/2003

Mar 30, 2012

Mar 30, 2017

SABRE, JOHN, LEONARD

Manager

yes

08/2007

Mar 30, 2012

Mar 30, 2017

Amen, Daniel, John

GENERAL COUNSEL

08/2014

Mar 30, 2017

DALTON CAPITAL, LLC

Member

11/2003

Mar 30, 2012

Mar 30, 2017

SABRE, LYNN, VIRGINIA

Member

08/2007

Mar 30, 2012

Mar 30, 2017

SABRE, MICHAEL, JOSEPH

CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER

09/2004

Mar 30, 2012

Mar 30, 2017

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

MOUNT YALE INVESTMENT ADVISORS, LLC

n/a

Independent wealth

$8.3B

yes

n/a

PRINCETON FUND ADVISORS, LLC

n/a

Asset manager

$780M

yes

n/a

MOUNT YALE INTERNATIONAL, LTD.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Evergreen

United States

n/a

Minneapolis

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 30, 2017

$244M

n/a

2015

Mar 30, 2016

$324M

n/a

$231M

2014

Mar 30, 2015

$289M

n/a

$320M

2013

Apr 2, 2014

$414M

n/a

$327M

2012

Mar 28, 2013

$311M

n/a

$350M

2011

Mar 30, 2012

$410M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$244M

$324M

-24.6%

$414M

-16.2%

n/a