Dean Capital Investments Management, LLC (Vienna)

Name: Dean Capital Investments Management, LLC
Address: 8065 Leesburg Pike, Vienna, VA, 22182
Telephone: 703-760-4400

Dean Capital Investments Management, LLC is a large advisory firm based in Vienna. It manages $471.29 million of regulatory assets for 9 client accounts. It has been registered with the SEC as an adviser since 2015 and has operated in the jurisdiction of Virginia.

Dean Capital Investments Management provides 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.

Dean Capital Investments Management: assets under management

The assets under management (AUM) of Dean Capital Investments Management, LLC is $471.29 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 41% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $471.29 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $52.37 million each.

Dean Capital Investments Management has custody of $471.29 million in cash and securities for 9 clients in total but doesn’t act as a qualified custodian.

What kind of clients Dean Capital Investments Management serves?

The only and largest group of clients of Dean Capital Investments Management is pooled investment vehicles with 9 clients and $471.29 million of assets under management. Among the 14 most similar advisory firms, Dean Capital Investments Management has the 3rd highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $471.29 million for 9 clients. None of the firm’s clients are foreign persons or businesses.

Dean Capital Investments Management also advises several private funds. Namely, nine hedge funds. The minimum investment commitment required of non-related persons ranges from $0 to $5,000.

Careers at Dean Capital Investments Management, LLC

The company employs 34 people that are either part- or full-time employees. 50 percent of the employees work as investment advisers or researchers. No 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
Dean Leonard Wilde	Elected manager (managing board member), managing director and chief executive officer	1 Nov 2011	Other	6017292
James Phillip Smist	Elected manager (managing board member), managing director, president	1 Nov 2011	Other	6017294
Joelle Kay Ogg	Chief compliance officer and general counsel	1 Jan 2012	Other	6014700
Mark Timothy Allen	Managing director	1 Jan 2012	Other	6017318
Neil Robert Blake	Chief financial officer	1 Feb 2013	Other	6174252
Llc Dc Funds	Member	1 Mar 2015	50% - 75%	26-2563170
Llc Tonawanda Funds	Member	1 Mar 2015	25% - 50%	46-4330923
Lp Dc Funds	Member	1 Mar 2015	50% - 75%	26-2563170

Indirect Owners

The SEC currently registers 8 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Dean Leonard Wilde	Trustee of dean wilde ii revocable trust	1 Oct 2007	Other	6017292
Cecile Jeanne Lucie Wilde	Trustee of dean l. wilde ii revocable trust	1 Oct 2007	Other	6494377
James Phillip Smist	Trustee of james p. smist revocable trust	1 Oct 2008	Other	6017294
Dean L. Wilde Ii Revocable Trust	Member (class c is the relevant asset class)	1 Nov 2009	75% - 100%	xxx-xx-xxxx
Ii Revocable Trust Dean Leonard Wilde	Limited partner (class c is the relevant asset class)	1 Nov 2009	75% - 100%	xxx-xx-xxxx
James P. Smist Revocable Trust	Member	1 Dec 2013	75% - 100%	xxx-xx-xxxx
Llc Dcf Multi Strategy	General partner of dc funds, lp	1 Jan 2018	Other	82-3896307
Dlwii Gp Revocable Trust	Member of dcf multi strategy, llc	1 Jan 2018	Other	xxx-xx-xxxx

Based in Vienna

The principal office where Dean Capital Investments Management, LLC performs its advisory services is located at 8065 Leesburg Pike, Vienna, VA 22182, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 703-760-4400 or by fax 703-506-3905. The normal business hours are 9am-6pm on Monday - Friday. You can find more information about the New York firm at deanventures.com.