9AT: DEAN CAPITAL MANAGEMENT

Adviser Profile

As of Date	06/16/2026
Registration	SEC, Approved, 03/11/2008
ADV Location	OVERLAND PARK, KS, United States
Contact Info	913 xxxxxxx
Websites

AUM^*	1,148,942,036 1%
of that, discretionary	1,148,942,036 1%
Number of Employees	6
of those in investment advisory functions	5
Private Fund GAV^*	0
Avg Account Size	2,344,780 4%
SMA’s	Yes
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

- Investment companies
- Other investment advisers

Advisory Activities

- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for businesses

Compensation Arrangments

- A percentage of assets under your management

Accounting Firm Name	Filing Date	Form ADV-E
Accounting Firm Name ASHLAND PARTNERS & COMPANY LLP	Filing Date09/25/2025	Form ADV-E View Report
Accounting Firm Name ASHLAND PARTNERS & COMPANY LLP	Filing Date10/23/2024	Form ADV-E View Report
Accounting Firm Name ASHLAND PARTNERS & COMPANY LLP	Filing Date08/23/2023	Form ADV-E View Report

Adviser	Hedge Fund	Liquidity Fund	Private Equity Fund	Real Estate Fund	Securitized Asset Fund	Venture Capital Fund	Other Fund	Total Private Fund GAV	AUM	#Funds
Adviser BLACKSTONE ASSET BASED FINANCE ADVISORS LP	Hedge Fund328.2m	Liquidity Fund-	Private Equity Fund823.6m	Real Estate Fund17.0m	Securitized Asset Fund5.9b	Venture Capital Fund-	Other Fund-	Total Private Fund GAV7.0b	AUM70.4b	#Funds43
Adviser 55IP	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM36.7b	#Funds-
Adviser FROST INVESTMENT ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM5.4b	#Funds-
Adviser CLEARBROOK INVESTMENT CONSULTING LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM13.7b	#Funds-
Adviser MAS ADVISORS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM2.6b	#Funds-
Adviser ALASKA PERMANENT CAPITAL MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM4.4b	#Funds-
Adviser U.S. BANCORP ASSET MANAGEMENT, INC.	Hedge Fund-	Liquidity Fund5.1b	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV5.1b	AUM427.5b	#Funds1
Adviser FRANKLIN MUTUAL ADVISERS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM42.6b	#Funds-
Adviser CHARLES SCHWAB INVESTMENT MANAGEMENT, INC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1,721.0b	#Funds-
Adviser DONALD SMITH & CO., INC.	Hedge Fund308.7m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV308.7m	AUM5.6b	#Funds3

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker127203107	Stock NameCactus Inc	$ Position$3,850,234	% Position2.00%	$ Change97.00%	# Change90.00%
Stck TickerG50871105	Stock NameJazz Pharmaceuticals PLC	$ Position$3,999,542	% Position2.00%	$ Change11.00%	# Change0.00%
Stck Ticker800422107	Stock NameJohn B Sanfilippo & Son Inc	$ Position$4,287,311	% Position2.00%	$ Change28.00%	# Change14.00%
Stck Ticker74112D101	Stock NamePrestige Consumer Healthcare I	$ Position$4,018,387	% Position2.00%	$ Change59.00%	# Change66.00%
Stck Ticker423452101	Stock NameHelmerich & Payne Inc	$ Position$4,356,495	% Position2.00%	$ Change5.00%	# Change-16.00%
Stck Ticker76171L106	Stock NameReynolds Consumer Products	$ Position$3,823,752	% Position2.00%	$ Change7.00%	# Change16.00%
Stck Ticker925550105	Stock NameViavi Solutions Inc	$ Position$4,031,872	% Position2.00%	$ Change2.00%	# Change-45.00%
Stck Ticker928298108	Stock NameVishay Intertechnology Inc	$ Position$1,667,574	% Position1.00%	$ Change418.00%	# Change317.00%
Stck Ticker950755108	Stock NameWerner Enterprises Inc	$ Position$1,215,604	% Position1.00%	$ Change-25.00%	# Change-24.00%
Stck Ticker95082P105	Stock NameWesco International Inc	$ Position$2,396,090	% Position1.00%	$ Change-4.00%	# Change-14.00%

Brochure Summary

Overview

Dean Capital Management, LLC (“DCM”), a limited liability company, is an investment advisory firm registered with the SEC. The firm was founded in 2008 and is currently owned by its founding members Kevin E. Laub, Doug Leach, Patrick J. Krumm, and Steven D. Roth. Additional direct founding members who are shareholders are Stephen M. Miller, C.H. Dean, LLC (affiliates). C.H. Dean, LLC is owned by The C.H. Dean Companies, LLC (For a complete description of indirect, affiliated owners, please reference Form ADV Part 1, Schedule B.) The founding members generally have been providing advisory services for over 25 years, and their backgrounds are included in the separate Part 2B Supplements. DCM is an investment management firm that provides discretionary investment management services to its own clients and to its affiliate, Dean Investment Associates, LLC (“DIA”), pursuant to a sub-advisory agreement between the two firms. For its own clients, DCM provides investment management

services based upon the individualized needs of the client. Pursuant to its sub-advisory agreement with DIA, DCM provides discretionary investment management services for some of DIA’s separately managed relationships and for DIA’s Mid Cap Value Fund, Small Cap Value Fund and Equity Income Fund. For the separately managed client accounts, DCM provides discretionary portfolio management services in large value, mid value, small value, multi value, equity income and fixed income styles based upon the individualized needs of the DIA client. Although DCM does not sponsor or serve as a manager of a “wrap program”, DCM does function as a sub-adviser to DIA who does serve as a manager under various wrap programs sponsored by other firms. As of December 31, 2023, DCM managed approximately $1,056,594,997 on a discretionary basis. DCM currently does not manage assets on a non-discretionary basis but provides advisory services on approximately $1,047,566 in additional assets.

DEAN CAPITAL MANAGEMENT

DEAN CAPITAL MANAGEMENT

DEAN CAPITAL MANAGEMENT, LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Form ADV-E Surprise Examination Reports

Similar advisers

Top Holdings

Brochure Summary

Overview

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DEAN CAPITAL MANAGEMENT DEAN CAPITAL MANAGEMENT DEAN CAPITAL MANAGEMENT, LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Form ADV-E Surprise Examination Reports

Similar advisers

Top Holdings

Brochure Summary

Overview

DEAN CAPITAL MANAGEMENT

DEAN CAPITAL MANAGEMENT

DEAN CAPITAL MANAGEMENT, LLC