9AT: DEAN CAPITAL MANAGEMENT

DEAN CAPITAL MANAGEMENT

other names

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Adviser Profile

As of Date	03/26/2025
Adviser Type - Large advisory firm
Number of Employees	6
of those in investment advisory functions	5
Registration	SEC, Approved, 03/11/2008

AUM^*	1,133,464,465 34.00%
of that, discretionary	1,133,464,465 34.00%
Private Fund GAV^*	0
Avg Account Size	2,257,897 47.07%
SMA’s	Yes
Private Funds	0
Contact Info	913 xxxxxxx
Websites

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

Reported AUM

1B 889M 741M 593M 444M 296M 148M

2015 2016 2017 2018 2019 2020 2021 2022 2023

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Top Holdings

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker011311107	Stock NameAlamo Group Inc	$ Position$3,458,343	% Position2.00%	$ Change18.00%	# Change23.00%
Stck Ticker577933104	Stock NameMaximus Inc	$ Position$3,612,161	% Position2.00%	$ Change22.00%	# Change34.00%
Stck Ticker595017104	Stock NameMicrochip Technology Inc	$ Position$1,359,208	% Position1.00%	$ Change1.00%	# Change20.00%
Stck Ticker603158106	Stock NameMinerals Technologies Inc	$ Position$1,540,110	% Position1.00%	$ Change-44.00%	# Change-33.00%
Stck Ticker60855R100	Stock NameMolina Healthcare Inc	$ Position$1,753,672	% Position1.00%	$ Change17.00%	# Change3.00%
Stck Ticker499049104	Stock NameKnight Transportation Inc	$ Position$1,282,912	% Position1.00%	$ Change-16.00%	# Change2.00%
Stck Ticker502431109	Stock NameL3Harris Technologies Inc	$ Position$2,008,539	% Position1.00%	$ Change11.00%	# Change11.00%
Stck Ticker536797103	Stock NameLithia Motors Inc-Cl A	$ Position$1,273,670	% Position1.00%	$ Change-16.00%	# Change2.00%
Stck Ticker537008104	Stock NameLittelfuse Inc	$ Position$1,537,720	% Position1.00%	$ Change1.00%	# Change22.00%
Stck Ticker670837103	Stock NameOGE Energy Corp	$ Position$1,930,917	% Position1.00%	$ Change-12.00%	# Change-21.00%

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.