RUTABAGA CAPITAL MANAGEMENT LLC – investment adviser, $69.1M regulatory AUM (Form ADV)

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
Other clients	1	$69,131,438	100.0%

Filing source

Form ADV 1697954 · Jan 19, 2023 · 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

2 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.

RUTABAGA MICRO CAP FUND L.P.Other Private Fund · Last reported Jan 19, 2023$68.7MGross asset value

Fund administrator BOSTON INVESTOR SERVICES BOSTON, Massachusetts, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor LMHS, P.C. NORWELL, Massachusetts, United States

Custodian NORTHERN TRUST SECURITIES CHICAGO, Massachusetts, United States Related to adviser: No

Prime broker NORTHERN TRUST SECURITIES INC. CHICAGO, Illinois, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

LMHS, P.C.
PCAOB 3373

Fund details & source

Fund ID: 805-8360677377
Reported beneficial owners: 24
Minimum commitment: $500K

Form ADV 1697954 · Jan 19, 2023 · 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.

RUTABAGA SMALL CAP FUND, L.P.Other Private Fund · Last reported Oct 20, 2022$45.6MGross asset value

Fund administrator BOSTON INVESTOR SERVICES BOSTON, Massachusetts, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor LMHS, P.C. NORWELL, Massachusetts, United States

Custodian STATE STREET CORPORATION QUINCY, Massachusetts, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

LMHS, P.C.
PCAOB 3373

STATE STREET CORPORATION
LEI 04-1867445

Fund details & source

Fund ID: 805-9622850932
Reported beneficial owners: 13
Minimum commitment: $500K

Form ADV 1682159 · Oct 20, 2022 · 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: Jan 19, 2023. View historical filings

Reported services

Not reported in these imported fields

Compensation

Percentage of assets

Principal office

CRD 108727

Filing source

Form ADV 1697954 · Jan 19, 2023 · 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.