Princeton Fund Advisors, LLC (Denver)


Princeton Fund Advisors, LLC is a large advisory firm based in Denver. It manages $1.34 billion of regulatory assets for 10 client accounts. It has been registered with the SEC as an adviser since 2011 and has operated in the jurisdictions of Colorado and Minnesota.

Princeton Fund Advisors provides portfolio management for investment companies and portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Princeton Fund Advisors: assets under management

The assets under management (AUM) of Princeton Fund Advisors, LLC is $1.34 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 252% since the beginning of its operation, and $2.59 million of the total AUM is attributable to clients outside of the United States.

The firm manages $1.34 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $134.09 million each.
Princeton Fund Advisors has custody of $48.33 million in cash and securities for 3 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Princeton Fund Advisors, LLC for their services and products based on a percentage of assets under management and performance-based 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 Princeton Fund Advisors serves?

The firm provides services to investment companies and pooled investment vehicles. The largest group of clients of Princeton Fund Advisors is investment companies with 7 clients and $1.29 billion of assets under management. Among the 10 most similar advisory firms, Princeton Fund Advisors has the highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $1.34 billion for 10 clients. None of the firm’s clients are foreign persons or businesses.

Princeton Fund Advisors also advises several private funds. Namely, three private equity funds. The minimum investment commitment required of non-related persons ranges from $0 to $250,000.

Careers at Princeton Fund 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 isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate 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 President and manager 1 Aug 2005 Other 2318332
John Leonard Sabre Chief executive officer and manager 1 Aug 2005 Other 1295430
Michael Joseph Sabre Chief operating officer, chief compliance officer, 1 Aug 2005 Other 2018993
Llc Mount Yale Capital Group Member 1 Aug 2005 75% - 100% 20-0623760
Llc Dalton Capital Member 1 May 2011 50% - 75% 010781861
Greg David Anderson Manager, member, chief investment officer 1 May 2011 Other 2318332
Roger Craig Bowden Manager, member 1 May 2011 Other 2096554
John Leonard Sabre Manager, chief executive officer 1 May 2011 Other 1295430
Michael Joseph Sabre Chief compliance officer, chief financial officer 1 May 2011 Other 2018993
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 4 indirect owners.

Name Entity Date acquired Ownership Employer ID
Llc Dalton Capital Member 1 Nov 2003 50% - 75% 01-0781861
Greg David Anderson Member, manager 1 Nov 2003 25% - 50% 2318332
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 Princeton Fund 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 7:30am - 5:00pm on Monday - Friday. You can find more information about the New York firm at princetonfundadvisors.com.