PRINCETON FUND ADVISORS, LLC
Adviser information for PRINCETON FUND ADVISORS, LLC last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 35 |
|---|---|
| Investment Advisory/Research | 20 |
| Registered Broker-Dealer Representatives | 8 |
| Registered State Investment Advisers | 8 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 9 | $929.6M |
| Non-Discretionary | 0 | $0 |
| Total | 9 | $929.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 6 | $920.0M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 3 | $9.6M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-72525 |
|---|---|
| SEC ERA File Number | 801-72525 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 157821 |
| Legal Entity Identifier | None |
Principal Office
1580 LINCOLN STREETSUITE 680
DENVER
CO
United States
Monday - Friday, 7:30AM - 5:00PM
Tel: 303-382-2880, Fax: 303-382-2888
Chief Compliance Officer
MICHAEL J SABRE
CHIEF OPERATING OFFICER
8500 NORMANDALE LAKE BLVD.
SUITE 1900
MINNEAPOLIS
MN
United States
Tel:
952-897-5395
Fax:
952-897-5391
M************@*********M
(Full email address available in API data)
Regulatory Contact
CHRISTOPHER NELSON
SR COMPLIANCE OFFICER
8500 NORMANDALE LAKE BLVD.
SUITE 1900
MINNEAPOLIS
MN
United States
Tel:
952-897-5363
Fax:
952-897-5391
C***********@*********M
(Full email address available in API data)
Industry Affiliates
| MOUNT YALE INTERNATIONAL LTD | Sponsor, GP, manager of pooled investment vehicles |
| MOUNT YALE INVESTMENT ADVISORS, LLC | Other investment adviser, including financial planners |
| MOUNT YALE PRIVATE EQUITY PARTNERS LLC | Sponsor, GP, manager of pooled investment vehicles |
| MY PRIVATE EQUITY GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| MOUNT YALE PRIVATE EQUITY FUND, LP | Private Equity Fund | $7.0M | $0.3M | 189 |
| MOUNT YALE PRIVATE EQUITY OFFSHORE FUND, LP | Private Equity Fund | $2.5M | $0.3M | 17 |
| MYPE INVESTMENT PARTNERS, LP | Private Equity Fund | $9.6M | $0.0M | 205 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ANDERSON, GREG, DAVID | Individual | – | PRESIDENT AND MANAGER | 08/2005 | < 5% |
| SABRE, JOHN, LEONARD | Individual | – | CHIEF EXECUTIVE OFFICER AND MANAGER | 08/2005 | < 5% |
| SABRE, MICHAEL, JOSEPH | Individual | – | CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, | 08/2005 | < 5% |
| SABRE, JOHN, LEONARD | Individual | DALTON - MYCG, LLC | MANAGER | 08/2007 | |
| SABRE, LYNN, VIRGINIA | Individual | DALTON - MYCG, LLC | MEMBER | 08/2007 | > 75% |
| MOUNT YALE CAPITAL GROUP, LLC | Domestic Entity | – | MEMBER | 08/2005 | > 75% |
| DALTON - MYCG, LLC | Domestic Entity | MOUNT YALE CAPITAL GROUP, LLC | MEMBER | 11/2003 | 50-75% |
| ANDERSON, GREG, DAVID | Individual | MOUNT YALE CAPITAL GROUP, LLC | MEMBER, MANAGER | 11/2003 | 25-50% |
| SABRE, JOHN, LEONARD | Individual | MOUNT YALE CAPITAL GROUP, LLC | MANAGER | 08/2007 | |
| MORAN, CHRISTOPHER, E | Individual | – | CHIEF FINANCIAL OFFICER | 01/2019 | < 5% |