Dean Capital Investments Management LLC

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Dean Capital Investments Management LLC
CRD #160375
SEC #801-73534
CIK #0001565951, 0001880984, 0001455468, 0001647948
AUM
Employees 32 (41% Investors, 0% Brokers)
Fees
Minimum
Phone703-760-4400
Address8065 Leesburg Pike
Vienna, VA 22182
Source [IAPD] [EDGAR] [Website] [LinkedIn]
Total AUM ($M)
110088066044022002009201420192025
Fees and Compensation — Form ADV Part 2A (3/30/2019) [Brochure]
FEES AND COMPENSATION

    A. Advisory Fees and Compensation.

        At this time, the Investment Adviser is compensated by the Funds through a
 reimbursement or payment of the Investment Adviser's expenses related to managing
 the applicable Fund, providing administrative support to such Fund, and investing such
 Fund's assets (the "Expense Reimbursement"). The Investment Adviser has discretion
 to waive, reduce or calculate differently the Expense Reimbursement. The Investment
 Adviser has agreed to cap the Expense Reimbursement for certain investors and has
 waived portions of the Expense Reimbursement for certain investors.

    B. Payment of Fees.

     The Investment Adviser deducts the Expense Reimbursement directly from the
applicable Fund generally on a quarterly basis.

    C. Additional Fees and Expenses.
         The Funds bear their own indirect and direct operating and other expenses and,
 when determined by the Investment Adviser, also bear up to a proportionate share of
 the expenses of any Fund in which it invests. Fund expenses include the Fund's own
 expenses, the Fund's wholly-owned and partially-owned subsidiaries' expenses, or
 expenses incurred by or charged to the Investment Adviser or its affiliates associated
 with managing, supporting or operating the Fund, the other Funds in which it directly
 or indirectly invests or associated with the Investment Adviser advising the Fund or the
 other Funds in which it directly or indirectly invests.

         A Fund's expense reimbursements can include but are not limited to the
 following general categories and types of expenses: (1) internal and external expenses
 related to salary (which shall include but not be limited to bonuses), overhead (which
 shall include but not be limited to employee benefits), and profit distribution to
 employees, directors, or officers of the Investment Adviser or its affiliates; (2) office
 space rent, overhead, and related expenses; (3) depreciation expenses; (4) property
 taxes; (5) insurance expenses; (6) consulting, temporary staffing, investment banking
 and any other professional fees or compensation; (7) travel, lodging and travel-related
 expenses; (8) internal and external research and research-related expenses, (including,
 without limitation, quotation equipment and services); (9) fees and expenses relating to
 software, hardware, infrastructure, telephones, telecommunications, data feeds,
 networks, servers, systems, cyber and other security, archives, email, internet, website,
 and other technology tools, programs, equipment, licenses, or services; (10) internal
 and external research, news and market data, systems and services (including any
 computer hardware and telephone and data lines incorporated into the cost of obtaining
 such research and market data); (11) expenses related to internal and external risk
 management and risk measurement; (12) expenses related to internal and external

valuation services; (13) external and internal legal and legal-related expenses; (14)
expenses related to internal and external accounting, financial and other reporting,
bookkeeping, recordkeeping, data management, and record/data storage; (15) internal
and external compliance and compliance-related expenses; (16) internal and external
investment, legal, accounting, regulatory and compliance conferences, meetings,
trainings and related attendance, registration or sponsorship expenses; (17) internal and
external expenses related to domestic and international regulatory, SEC (such as
private offering), FTC, CFTC, National Futures Association (the "NFA"), and
counterparty filings and reports; (18) internal and external expenses relating to the
offer and sale of Fund interests, and know your customer, privacy, anti- money
laundering and similar requirements or policies; (19) internal and external expenses
related to the establishment and maintenance of registered office(s), corporate
licensing, state licensing, and organizational requirements; (20) internal and external
expenses related to the actual or potential structure and set-up of the Fund, the Fund's
subsidiaries, the Investment Adviser, and investors; (21) organization and other
membership costs, donations and related expenses; (22) postage and courier expenses;
(23) bank and credit card fees; (24) internal and external administrative, recruiting,
support staff, general office (such as copying, faxes, scanning, supplies), and operating
expenses; (25) employee support and morale boosting expenses (such as holiday
parties, meals, food and drink supplies, employee social events, etc.); (26) internal
expenses related to potential or actual investigations, regulatory audits, arbitration,
settlements or litigation; (27) NFA, FATCA, unique legal entity identifier, regulatory
or similar or related fees or charges; (28) extraordinary expenses related to the Fund or
the other Funds in which it directly or indirectly invests or the Investment Adviser;
(29) investment-related or trading- related expenses and charges (e.g., broker, FCM,
clearing member, swap party or similar fees or minimum charges; brokerage
commissions; transaction costs; ticket fees; clearing, settlement or similar fees or
charges; custodial fees; entity-specific bank account and wire fees; third-party
administrator fees; third-party adviser or management fees (which, if applicable,
include incentive/performance fees and management fees)); (30) interest or similar fees
or expense; (31) external legal and other related external expenses, costs and charges
related to or resulting from arbitrations, regulatory investigations, settlements, or
litigation involving the Fund, the Investee Funds or the Investment Adviser; (32)
financial audit preparation expenses; (33) tax preparation expenses; (34) foreign tax
withholdings; and (35) entity-level taxes. These expenses can include expenses related
to actual investments as well as to potential investments, whether or not consummated.
...
Account Minimums and Types of Clients — Form ADV Part 2A (3/30/2019) [Brochure]
TYPES OF CLIENTS

        The Investment Adviser provides investment advice to the Funds as described
above. The clients are pooled investment vehicles (i.e., the Funds). Except for DVMSF,
there is no minimum investment required. For DVMSF, there is a $5,000 minimum
investment.
Sector Form 13F Holdings Value ($M)
Knot Offshore Partners LP 5.1
Littelfuse Inc /DE 4.5
Helmerich & Payne Inc 4.4
Sanfilippo John B & Son Inc 4.3
JDS Uniphase Corp /CA/ 4.0
Prestige Brands Holdings Inc 4.0
Jazz Pharmaceuticals Inc 4.0
Cactus Inc 3.9
Reynolds Consumer Products Inc 3.8
Portland General Electric Co /OR/ 3.6
View All
Holdings by Sector ($M)
3002401801206002011201620212027
Type Form D Funds Date Sold AUM
HF DC Investments Alpha Fund LLC [2017-03-31] 416.4 M 155.2 M
Filed 2023-02-28 (D/A) · Exemption 506(b), 3(c), 3(c)(1), 3(c)(7) · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose
HF DC Investments Efficient Fund LLC [2017-03-31] 311.2 M 269.5 M
Filed 2020-03-04 (D/A) · Exemption 506(b), 3(c), 3(c)(1) · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose
HF DC Investments Neutral Fund LLC [2017-03-31] 158.2 M 112.1 M
Filed 2017-08-29 (D/A) · Exemption 506(b), 3(c), 3(c)(1) · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose
HF Dean Capital Investments Holdings LLC [2016-03-30] 588.6 M 390.6 M
Filed 2023-07-27 (D/A) · Exemption 506(b), 3(c), 3(c)(1) · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose
HF Dean Capital Investments Micro LLC [2016-03-30] 148.0 M 34.9 M
Filed 2018-03-08 (D/A) · Exemption 506(b), 3(c), 3(c)(1) · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose
HF Dean Ventures 150 LLC 2014-03-31 0.0 M
HF Dean Ventures 160 LLC 2014-03-31
HF Dean Ventures 20 LLC 2014-03-31 136.8 M
HF Dean Ventures 30 LLC 2014-03-31
HF Dean Ventures 50 LLC 2014-03-31
HF Dean Ventures 90 LLC 2014-03-31
HF Dean Ventures II Holdings LLC 2014-03-31 247.0 M
HF Dean Ventures XVI LLC 2014-03-31
HF Dean Ventures III LLC 2013-04-01
HF Dean Ventures Multi Strategy Fund LP Series A 2013-04-01 11.5 M
HF Dean Ventures V LLC 2013-04-01
HF Dean Ventures II LLC 2012-02-13 254.0 M
HF Dean Ventures IX LLC 2012-02-13
HF Dean Ventures Multi Strategy Fund LLC 2012-02-13
HF Dean Ventures XII LLC 2012-02-13 138.0 M
HF Dean Ventures XV LLC 2012-02-13 0.1 M
AUM Breakdown Accounts AUM ($M)
By Client Type
(a) Individuals (other than high net worth individuals) 0 0.0
(b) Individuals (high net worth individuals) 0 0.0
(c) Banking or thrift institutions 0 0.0
(d) Investment companies 0 0.0
(e) Business development companies 0 0.0
(f) Pooled investment vehicles 11 576.4
(g) Pension and profit sharing plans 0 0.0
(h) Charitable organizations 0 0.0
(i) State or municipal government entities 0 0.0
(j) Other investment advisers 0 0.0
(k) Insurance companies 0 0.0
(l) Sovereign wealth funds and foreign official institutions 0 0.0
(m) Corporations or other businesses not listed above 0 0.0
(n) Other 0 0.0
Total 11 576.4
By Discretionary
Discretionary 11 576.4
Non-Discretionary 0 0.0
Total 11 576.4
By Non-United States Persons
Non-United States Persons 0.0
United States Persons 576.4
Total 11 576.4
Form D Directors Role # Filings # Firms 2011 - 2026
James Smist Director, Executive Officer 22 2
Audrey Wilde Director 16 2
Dean Wilde II Director, Executive Officer 11 2
Dean Capital Investments Management LLC Executive Officer 9 2
DC Investments Management LLC Director, Executive Officer 5 2
EDGAR Form CIK 2011 - 2026
13F-HR [0001455468]
13F-HR [0001565951]
D [0001647948]
D [0001880984]
Firm Profile (Form ADV)
Discretionary AUM$0.3B
ServesInstitutional
Fund TypesHedge Fund
LEI549300CUEI0EJI5X5N39
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