DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Mount Yale Asset Management, LLC

Former SEC-registered adviserDenver, ColoradoCRD 116578SEC 801-63221IAPD
Latest filing Mar 30, 2017
First filing on the tape Mar 30, 2012 · 16 filings
RAUM
$244M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
24
14 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$244M as of Mar 30, 2017
Mar 30, 2012$410M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2017
Mar 28, 20130 then
Employees (5.A)24 as of Mar 30, 2017
Mar 28, 201324 then
Private funds4 as of Mar 30, 2016
Mar 28, 201311 then
RAUM -25% over the last fiscal year-16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2017; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$792,831derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
-25%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
308reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
9 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
The Oasis Fund, LPHedge Fund$3.3M141Jul 23, 2012
Kkr Xi Access Fund LPno longer reportedPrivate Equity Fund$1.7M15Apr 2, 2014
Mount Yale Guardian Fund - A Separate Series Of Mount Yale Master Portfolios, LPno longer reportedLiquidity Fund$1.1M229Jul 23, 2012
Mype Mezzco, LPno longer reportedPrivate Equity Fund$1.1M1Jul 23, 2012
Mype Partners, LPno longer reportedPrivate Equity Fund$703,42150Jul 23, 2012
Mount Yale Highland Fundno longer reportedHedge Fund$700,1855Jul 23, 2012
Highland Fund Offshoreno longer reportedHedge Fund$23,0912Jul 23, 2012
Paulson Direct Access Fund, LLCno longer reportedHedge Fund$00Jul 23, 2012
Paulson Offshore Direct Access Fundno longer reportedHedge Fund$00Jul 23, 2012
Owners and control persons
Schedule A and B, latest filing
  • David Greg Anderson · President, Managing Partnercontrol
    since 06/1999 · owns less than 5%
  • Leonard John Sabre · Chief Executive Officer, Managing Partnercontrol
    since 07/2003 · owns less than 5%
  • David Greg Anderson · Member, Managercontrol
    since 11/2003 · owns 25% to 50% of Mount Yale Capital Group, LLC
  • Leonard John Sabre · Managercontrol
    since 08/2007 · owns F of Dalton Capital, LLC
  • Leonard John Sabre · Managercontrol
    since 11/2003 · owns F of Mount Yale Capital Group, LLC
  • John Daniel Amen · General Counsel
    since 08/2014 · owns less than 5%
  • Joseph Michael Sabre · Chief Financial Officer And Chief Compliance Officer
    since 09/2004 · owns less than 5%
  • Virginia Lynn Sabre · Member
    since 08/2007 · owns 75% or more of Dalton Capital, LLC
Entity owners
  • Mount Yale Capital Group, LLC · Member
    direct · owns 75% or more
  • Dalton Capital, LLC · Member
    indirect · owns 50% to 75% of Mount Yale Capital Group, LLC
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
  • Evergreen, CO
  • Minneapolis, MN
What changed
consecutive filings, newest first
  • Accounts · 509 to 308
    Oct 24, 2016 to Mar 30, 2017
  • Advisory employees · 13 to 14
    Oct 24, 2016 to Mar 30, 2017
  • Advisory activities · 3 to 2
    Oct 24, 2016 to Mar 30, 2017
  • Assets in custody · 323991823.0 to unset
    Oct 24, 2016 to Mar 30, 2017
  • Custody of client assets · true to false
    Oct 24, 2016 to Mar 30, 2017
  • Employees · 23 to 24
    Oct 24, 2016 to Mar 30, 2017
  • Financial planning clients · unset to 0
    Oct 24, 2016 to Mar 30, 2017
  • Private funds · 4 to unset
    Oct 24, 2016 to Mar 30, 2017
  • Discretionary RAUM · $324M to $244M
    Oct 24, 2016 to Mar 30, 2017
  • RAUM · $324M to $244M
    Oct 24, 2016 to Mar 30, 2017
  • Accounts · 508 to 509
    Sep 10, 2015 to Mar 30, 2016
  • Advisory employees · 11 to 13
    Sep 10, 2015 to Mar 30, 2016
  • BD registered reps · 13 to 0
    Sep 10, 2015 to Mar 30, 2016
  • Assets in custody · unset to 323991823.0
    Sep 10, 2015 to Mar 30, 2016
  • Custody of client assets · false to true
    Sep 10, 2015 to Mar 30, 2016
  • Employees · 26 to 23
    Sep 10, 2015 to Mar 30, 2016
  • Discretionary RAUM · $289M to $324M
    Sep 10, 2015 to Mar 30, 2016
  • RAUM · $289M to $324M
    Sep 10, 2015 to Mar 30, 2016
  • Related broker-dealer · true to false
    Sep 10, 2015 to Mar 30, 2016
  • Accounts · 165 to 508
    Feb 13, 2015 to Mar 30, 2015
  • Advisory employees · 13 to 11
    Feb 13, 2015 to Mar 30, 2015
  • Advisory activities · 2 to 3
    Feb 13, 2015 to Mar 30, 2015
  • BD registered reps · 12 to 13
    Feb 13, 2015 to Mar 30, 2015
  • Employees · 25 to 26
    Feb 13, 2015 to Mar 30, 2015
  • Private funds · 10 to 4
    Feb 13, 2015 to Mar 30, 2015
  • Discretionary RAUM · $414M to $289M
    Feb 13, 2015 to Mar 30, 2015
  • RAUM · $414M to $289M
    Feb 13, 2015 to Mar 30, 2015
  • Accounts · 267 to 165
    Mar 28, 2013 to Apr 2, 2014
  • Advisory activities · 3 to 2
    Mar 28, 2013 to Apr 2, 2014
  • Employees · 24 to 25
    Mar 28, 2013 to Apr 2, 2014
  • Financial planning clients · 0 to unset
    Mar 28, 2013 to Apr 2, 2014
  • Private funds · 11 to 10
    Mar 28, 2013 to Apr 2, 2014
  • Discretionary RAUM · $311M to $414M
    Mar 28, 2013 to Apr 2, 2014
  • RAUM · $311M to $414M
    Mar 28, 2013 to Apr 2, 2014
  • Related bank · false to true
    Mar 28, 2013 to Apr 2, 2014
  • Accounts · 254 to 267
    Jul 23, 2012 to Mar 28, 2013
  • Advisory employees · unset to 13.0
    Jul 23, 2012 to Mar 28, 2013
  • BD registered reps · unset to 12.0
    Jul 23, 2012 to Mar 28, 2013
  • Assets in custody · 409695573.0 to unset
    Jul 23, 2012 to Mar 28, 2013
  • Employees · unset to 24.0
    Jul 23, 2012 to Mar 28, 2013
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026