Investment adviser · CRD 160375

DEAN CAPITAL INVESTMENTS MANAGEMENT, LLC

Investment adviser filing (IA)

VIENNA, VA, United States · Form ADV filed Mar 30, 2019

Regulatory AUM
$471M
Form ADV · Item 5.F
Client accounts
9
Accounts, not individual clients
Employees
34
Reported in this filing
Advisory professionals
17
Investment advisory functions

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client typeClientsRegulatory assetsShare of AUM
Pooled investment vehicles9$471,286,071100.0%
Filing source

Form ADV 1277711 · Mar 30, 2019 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

17 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

DEAN CAPITAL INVESTMENTS HOLDINGS, LLCHedge Fund · Last reported Mar 30, 2019$387MGross asset value

Form D fundraising filings

Dean Capital Investments Holdings, LLC

Feeder funds

  • DEAN VENTURES 20, LLC
  • DEAN VENTURES II HOLDINGS, LLC
  • DEAN VENTURES II, LLC
  • DEAN VENTURES MULTI STRATEGY FUND, L.P. SERIES A
Auditor RSM US LLP MCLEAN, Virginia, United States
Custodian UNITED BANK VIENNA, Virginia, United States Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
No
External marketing
No

RSM US LLP
PCAOB 49

UNITED BANK
LEI 549300MKOZ81ZWTNKB12

Fund details & source
Fund ID
805-1289824816
Reported beneficial owners
13
Minimum commitment
$0
Form D file number
021-248080

Form ADV 1277711 · Mar 30, 2019 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

DC INVESTMENTS EFFICIENT FUND, LLCHedge Fund · Last reported Mar 30, 2019$248MGross asset value

Form D fundraising filings

DC Investments Efficient Fund, LLC

Fund administrator MUFG FUND SERVICES (CAYMAN) LIMITED GEORGE TOWN, Cayman Islands Investor statements: No (provided to no investors) Related to adviser: No
Auditor RSM US LLP MCLEAN, Virginia, United States
Custodian BANK OF AMERICA, N.A. NEW YORK, New York, United States Related to adviser: No
Custodian GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States Related to adviser: No
Custodian GOLDMAN SACHS INTERNATIONAL NEW YORK, New York, United States Related to adviser: No
Custodian MERRILL LYNCH INTERNATIONAL NEW YORK, New York, United States Related to adviser: No
Custodian MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED NEW YORK, New York, United States Related to adviser: No
Custodian MERRILL LYNCH PROFESSIONAL CLEARING CORP. NEW YORK, New York, United States Related to adviser: No
Custodian UNITED BANK VIENNA, Virginia, United States Related to adviser: No
Prime broker GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States
Prime broker MERRILL LYNCH PROFESSIONAL CLEARING CORP. NEW YORK, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

RSM US LLP
PCAOB 49

BANK OF AMERICA, N.A.
LEI B4TYDEB6GKMZO031MB27

GOLDMAN SACHS & CO. LLC
SEC 8-129

GOLDMAN SACHS INTERNATIONAL
LEI W22LROWP2IHZNBB6K528

MERRILL LYNCH INTERNATIONAL
LEI GGDZP1UYGU9STUHRDP48

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
SEC 8-7221

MERRILL LYNCH PROFESSIONAL CLEARING CORP.
SEC 8-33359

UNITED BANK
LEI 549300MKOZ81ZWTNKB12

GOLDMAN SACHS & CO. LLC
CRD 361 · SEC 8-129

MERRILL LYNCH PROFESSIONAL CLEARING CORP.
CRD 16139 · SEC 8-33359

Fund details & source
Fund ID
805-2113727986
Reported beneficial owners
1
Minimum commitment
$0
Form D file number
021-266641

Form ADV 1277711 · Mar 30, 2019 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

DC INVESTMENTS ALPHA FUND, LLCHedge Fund · Last reported Mar 30, 2019$216MGross asset value

Form D fundraising filings

DC Investments Alpha Fund, LLC

Fund administrator MUFG FUND SERVICES (CAYMAN) LIMITED GEORGE TOWN, Cayman Islands Investor statements: No (provided to no investors) Related to adviser: No
Auditor RSM US LLP MCLEAN, Virginia, United States
Custodian BANK OF AMERICA, N.A. NEW YORK, New York, United States Related to adviser: No
Custodian GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States Related to adviser: No
Custodian GOLDMAN SACHS INTERNATIONAL NEW YORK, New York, United States Related to adviser: No
Custodian MERRILL LYNCH INTERNATIONAL NEW YORK, New York, United States Related to adviser: No
Custodian MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED NEW YORK, New York, United States Related to adviser: No
Custodian MERRILL LYNCH PROFESSIONAL CLEARING CORP. NEW YORK, New York, United States Related to adviser: No
Custodian UNITED BANK VIENNA, Virginia, United States Related to adviser: No
Prime broker GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States
Prime broker MERRILL LYNCH PROFESSIONAL CLEARING CORP. NEW YORK, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

RSM US LLP
PCAOB 49

BANK OF AMERICA, N.A.
LEI B4TYDEB6GKMZO031MB27

GOLDMAN SACHS & CO. LLC
SEC 8-129

GOLDMAN SACHS INTERNATIONAL
LEI W22LROWP2IHZNBB6K528

MERRILL LYNCH INTERNATIONAL
LEI GGDZP1UYGU9STUHRDP48

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
SEC 8-7221

MERRILL LYNCH PROFESSIONAL CLEARING CORP.
SEC 8-33359

UNITED BANK
LEI 549300MKOZ81ZWTNKB12

GOLDMAN SACHS & CO. LLC
CRD 361 · SEC 8-129

MERRILL LYNCH PROFESSIONAL CLEARING CORP.
CRD 16139 · SEC 8-33359

Fund details & source
Fund ID
805-9421111879
Reported beneficial owners
1
Minimum commitment
$0
Form D file number
021-266634

Form ADV 1277711 · Mar 30, 2019 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

DEAN VENTURES XV, LLCHedge Fund · Last reported Mar 30, 2019$71.2KGross asset value
Custodian MERRILL LYNCH PROFESSIONAL CLEARING CORP. NEW YORK, New York, United States Related to adviser: No
Custodian UNITED BANK VIENNA, Virginia, United States Related to adviser: No
Prime broker MERRILL LYNCH PROFESSIONAL CLEARING CORP. NEW YORK, New York, United States
Provider details
Annual audit
No
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
No
External marketing
No

MERRILL LYNCH PROFESSIONAL CLEARING CORP.
SEC 8-33359

UNITED BANK
LEI 549300MKO281ZWTNKB12

MERRILL LYNCH PROFESSIONAL CLEARING CORP.
CRD 16139 · SEC 8-33359

Fund details & source
Fund ID
805-8797060868
Reported beneficial owners
1
Minimum commitment
$0

Form ADV 1277711 · Mar 30, 2019 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

DEAN VENTURES 150, LLCHedge Fund · Last reported Mar 30, 2019$44.1KGross asset value
Custodian MERRILL LYNCH PROFESSIONAL CLEARING CORP. NEW YORK, New York, United States Related to adviser: No
Custodian UNITED BANK VIENNA, Virginia, United States Related to adviser: No
Prime broker MERRILL LYNCH PROFESSIONAL CLEARING CORP. NEW YORK, New York, United States
Provider details
Annual audit
No
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
No
External marketing
No

MERRILL LYNCH PROFESSIONAL CLEARING CORP.
SEC 8-33359

UNITED BANK
LEI 549300MKOZ81ZWTNKB12

MERRILL LYNCH PROFESSIONAL CLEARING CORP.
CRD 16139 · SEC 8-33359

Fund details & source
Fund ID
805-7976028492
Reported beneficial owners
1
Minimum commitment
$0

Form ADV 1277711 · Mar 30, 2019 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

DEAN VENTURES XII, LLCHedge Fund · Last reported Apr 1, 2013$114MGross asset value
Custodian CREDIT SUISSE SECURITIES (USA) LLC NEW YORK, New York, United States Related to adviser: No
Custodian UBS SECURITIES LLC NEW YORK, New York, United States Related to adviser: No
Custodian VIRGINIA COMMERCE BANK VIENNA, Virginia, United States Related to adviser: No
Prime broker CREDIT SUISSE SECURITIES (USA) LLC NEW YORK, New York, United States
Prime broker UBS SECURITIES LLC NEW YORK, New York, United States
Provider details
Annual audit
No
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
No
External marketing
No

CREDIT SUISSE SECURITIES (USA) LLC
SEC 8-422

UBS SECURITIES LLC
SEC 8-22651

UBS SECURITIES LLC
CRD 7654 · SEC 8-22651

Fund details & source
Fund ID
805-5477645162
Reported beneficial owners
1
Minimum commitment
$0

Form ADV 708443 · Apr 1, 2013 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

DC INVESTMENTS NEUTRAL FUND, LLCHedge Fund · Last reported Jan 10, 2019$112MGross asset value

Form D fundraising filings

DC Investments Neutral Fund, LLC

Fund administrator MUFG FUND SERVICES (CAYMAN) LIMITED GEORGE TOWN, Cayman Islands Investor statements: No (provided to no investors) Related to adviser: No
Auditor RSM US LLP MCLEAN, Virginia, United States
Custodian BANK OF AMERICA, N.A. NEW YORK, New York, United States Related to adviser: No
Custodian GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States Related to adviser: No
Custodian GOLDMAN SACHS INTERNATIONAL NEW YORK, New York, United States Related to adviser: No
Custodian MERRILL LYNCH INTERNATIONAL NEW YORK, New York, United States Related to adviser: No
Custodian MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED NEW YORK, New York, United States Related to adviser: No
Custodian MERRILL LYNCH PROFESSIONAL CLEARING CORP. NEW YORK, New York, United States Related to adviser: No
Custodian UNITED BANK VIENNA, Virginia, United States Related to adviser: No
Prime broker GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States
Prime broker MERRILL LYNCH PROFESSIONAL CLEARING CORP. NEW YORK, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

RSM US LLP
PCAOB 49

BANK OF AMERICA, N.A.
LEI B4TYDEB6GKMZO031MB27

GOLDMAN SACHS & CO. LLC
SEC 8-129

GOLDMAN SACHS INTERNATIONAL
LEI W22LROWP2IHZNBB6K528

MERRILL LYNCH INTERNATIONAL
LEI GGDZP1UYGU9STUHRDP48

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
SEC 8-7221

MERRILL LYNCH PROFESSIONAL CLEARING CORP.
SEC 8-33359

UNITED BANK
LEI 549300MKOZ81ZWTNKB12

GOLDMAN SACHS & CO. LLC
CRD 361 · SEC 8-129

MERRILL LYNCH PROFESSIONAL CLEARING CORP.
CRD 16139 · SEC 8-33359

Fund details & source
Fund ID
805-6303665176
Reported beneficial owners
1
Minimum commitment
$0
Form D file number
021-261023

Form ADV 1262969 · Jan 10, 2019 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Mar 30, 2019. View historical filings

Reported services

Pooled investment vehicle management

Compensation

Not reported in these imported fields

Principal office

8065 LEESBURG PIKE, FIFTH FLOOR
VIENNA, VA, 22182, United States

CRD 160375

Filing source

Form ADV 1277711 · Mar 30, 2019 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.