Mount Yale Investment Advisors, LLC (Denver)

Name: Mount Yale Investment Advisors, LLC
Address: 1580 Lincoln Street, Denver, CO, 80203
Telephone: 303-382-2880

Mount Yale Investment Advisors, LLC is a large advisory firm based in Denver. It manages $1.29 billion of regulatory assets for 2,380 client accounts. It has been registered with the SEC as an adviser since 2005 and has operated in the jurisdictions of Arizona, California, Colorado, and 25 other states.

Mount Yale Investment Advisors provides portfolio management for individuals and small businesses, selection of other advisers, and recommendation of other investment advisers, asset allocation recommendation, monitoring of other investment advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Mount Yale Investment Advisors: assets under management

The assets under management (AUM) of Mount Yale Investment Advisors, LLC is $1.29 billion. The firm's AUM has grown by 3279% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $434.85 million in discretionary accounts and $852.2 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $550.45 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $535.97 thousand.

Investments

The firm invests in exchange traded securities the most. They account for 45% of the total AUM. The second-largest asset type is state and local bonds, which make up 20% of the firm’s portfolio. Investments in investment and business development companies form 18% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Mount Yale Investment Advisors, LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Mount Yale Investment Advisors serves?

The firm provides services to individuals, insurance companies, charitable organizations, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Mount Yale Investment Advisors is high net worth individuals with 713 clients and $1.2 billion of assets under management. Among the 9 most similar advisory firms, Mount Yale Investment Advisors has the highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $1.29 billion for 807 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Mount Yale Investment Advisors doesn't advise any private funds.

Careers at Mount Yale Investment Advisors, LLC

The company employs 24 people that are either part- or full-time employees. 42 percent of the employees work as investment advisers or researchers. 2 employees are registered as investment adviser representatives with the state securities authorities.

There are 5 people with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Greg David Anderson	Chief investment officer and managing partner	1 Aug 2005	Other	2318332
Llc Mount Yale Capital Group	Member	1 Aug 2005	75% - 100%	20-0623760
John Leonard Sabre	Chief executive officer and managing partner	1 Aug 2005	Other	1295430
Michael Joseph Sabre	Chief financial officer and chief compliance officer	1 Aug 2005	Other	2018993
Roger Craig Bowden	President and senior managing director	1 Aug 2005	Other	2096554
Daniel John Amen	General counsel	1 Aug 2014	Other	6773033
Christopher E Moran	Chief financial officer	1 Jan 2019	Other	5473008

Indirect Owners

The SEC currently registers 8 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
John Leonard Sabre	Member	1 Aug 2002	75% - 100%	1295430
Llc Dalton Capital	Member	1 Aug 2002	25% - 50%	xxx-xx-xxxx
Llc Dalton Capital	Member	1 Nov 2003	50% - 75%	01-0781861
Greg David Anderson	Member, manager	1 Nov 2003	25% - 50%	2318332
Roger Craig Bowden	Member, manager	1 Nov 2003	25% - 50%	2096554
John Leonard Sabre	Manager	1 Nov 2003	Other	1295430
John Leonard Sabre	Manager	1 Aug 2007	Other	1295430
Lynn Virginia Sabre	Member	1 Aug 2007	75% - 100%	5656167

Based in Denver

The principal office where Mount Yale Investment Advisors, LLC performs its advisory services is located at 1580 Lincoln Street, Denver, CO 80203, which is also the mailing address of the firm. An additional office of the firm is in Minneapolis, MN. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 303-382-2880 or by fax 303-382-2888. The normal business hours are 7:30-5:00pm on Monday - Friday. You can find more information about the New York firm at mtyale.com.