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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

VALUEACT SMALLCAP MANAGEMENT, L.P.

CRD 154245

SAN FRANCISCO, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:3f9e2a61-86f4-becc-d6d5-e5e7f5c498e3

Data as of Mar 27, 2013 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Mar 27, 2013
4 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $27.2MItem 5.F on the latest filing (2013-03-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $27.2M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees: 1
Accounts: 3
Private funds: 1Schedule D 7.B(1)
Private fund GAV: $27.2Mgross asset value as reported per fund; never fund size
SEC number: 801-71659
CRD: 154245
Filings on the tape: 4
First filed: Mar 30, 2012
Latest filed: Mar 27, 2013
Organised: Limited Partnership, Delaware

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
VALUEACT SMALLCAP MASTER FUND, L.P.	Hedge Fund	$27.2M	Mar 27, 2013	3	Mar 30, 2012	reported	021-103296

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BENNINGTON, ALLISON, ASCHER	GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER	Na	yes	01/2007	Mar 30, 2012	Mar 27, 2013
HAMEL, GEORGE, FELIX	ELECTED MEMBER OF THE MANAGEMENT BOARD	F	yes	11/2007	Mar 30, 2012	Mar 27, 2013
HAMEL, GEORGE, FELIX	CHIEF OPERATING OFFICER	Na	yes	01/2007	Mar 30, 2012	Mar 27, 2013
LOCKWOOD, DAVID, JAMES	MANAGING MEMBER	E	yes	01/2010	Mar 30, 2012	Mar 27, 2013
LOCKWOOD, DAVID, JAMES	MANAGING MEMBER	E	yes	01/2007	Mar 30, 2012	Mar 27, 2013
LOCKWOOD, DAVID, JAMES	MANAGING PARTNER/CHIEF INVESTMENT OFFICER	E	yes	01/2007	Mar 30, 2012	Mar 27, 2013
MORFIT, GARRISON, MASON	ELECTED MEMBER OF THE MANAGEMENT BOARD	F	yes	11/2007	Mar 30, 2012	Mar 27, 2013
SIU, CHUCK, WING	CHIEF FINANCIAL OFFICER	Na	yes	01/2007	Mar 30, 2012	Mar 27, 2013
UBBEN, JEFFREY, WILLIAMS	ELECTED MEMBER OF THE MANAGEMENT BOARD	F	yes	11/2007	Mar 30, 2012	Mar 27, 2013
VALUEACT CAPITAL MANAGEMENT, LLC	GENERAL PARTNER	F	yes	12/2004	Mar 30, 2012	Mar 27, 2013
VALUEACT CAPITAL MANAGEMENT, LP	LIMITED PARTNER	C	yes	01/2007	Mar 30, 2012	Mar 27, 2013
VALUEACT HOLDINGS GP, LLC	GENERAL PARTNER	F	yes	11/2007	Mar 30, 2012	Mar 27, 2013
VALUEACT HOLDINGS, LP	LIMITED PARTNER	E	yes	11/2007	Mar 30, 2012	Mar 27, 2013
VALUEACT HOLDINGS, LP	MANAGING MEMBER	F	yes	11/2007	Mar 30, 2012	Mar 27, 2013
VALUEACT HOLDINGS, LP	LIMITED PARTNER	C	yes	11/2007	Mar 30, 2012	Mar 27, 2013
VALUEACT SMALLCAP MANAGEMENT, LLC	GENERAL PARTNER	Na	yes	01/2007	Mar 30, 2012	Mar 27, 2013
VALUEACT SMALLCAP SLP, LLC	LIMITED PARTNER	Na	no	01/2010	Mar 30, 2012	Mar 27, 2013

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
VALUEACT CAPITAL MANAGEMENT, L.P.	n/a	Asset manager	$11B	N	yes	n/a
VA SMALLCAP PARTNERS, LLC	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2012	Mar 27, 2013	$27.2M	$27.2M	4	1	n/a	1	$27.2M
2011	Mar 30, 2012	$52.5M	$52.5M	n/a	n/a	n/a	1	$52.5M

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2012	$27.2M	$52.5M	-48.2%	n/a	n/a	4	n/a	n/a	n/a

Relationships

Affiliated with (1)

→ VALUEACT CAPITAL MANAGEMENT, L.P.Registered adviserother investment adviser, common control
factForm ADV

Advises (1)

→ VALUEACT SMALLCAP MASTER FUND, L.P.Private fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV

Controls (10)

← UBBEN, JEFFREY, WILLIAMSOwnerELECTED MEMBER OF THE MANAGEMENT BOARD, ownership code F, individual
Mar 30, 2012 to presentfactForm ADV
← HAMEL, GEORGE, FELIXOwnerELECTED MEMBER OF THE MANAGEMENT BOARD, ownership code F, individual
Mar 30, 2012 to presentfactForm ADV
← LOCKWOOD, DAVID, JAMESOwnerMANAGING MEMBER, ownership code E, individual
Mar 30, 2012 to presentfactForm ADV
← MORFIT, GARRISON, MASONOwnerELECTED MEMBER OF THE MANAGEMENT BOARD, ownership code F, individual
Mar 30, 2012 to presentfactForm ADV
← BENNINGTON, ALLISON, ASCHEROwnerGENERAL COUNSEL/CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← SIU, CHUCK, WINGOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← VALUEACT CAPITAL MANAGEMENT, LLCOwnerGENERAL PARTNER, ownership code F, domestic entity
Mar 30, 2012 to presentfactForm ADV
← VALUEACT HOLDINGS GP, LLCOwnerGENERAL PARTNER, ownership code F, domestic entity
Mar 30, 2012 to presentfactForm ADV
← VALUEACT HOLDINGS, LPOwnerLIMITED PARTNER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← VALUEACT SMALLCAP MANAGEMENT, LLCOwnerGENERAL PARTNER, ownership code NA, domestic entity
Mar 30, 2012 to presentfactForm ADV

Owns (1)

← VALUEACT SMALLCAP SLP, LLCOwnerLIMITED PARTNER, ownership code NA, domestic entity
Mar 30, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3f9e2a61-86f4-becc-d6d5-e5e7f5c498e3
First observed: Mar 30, 2012
Last observed: Mar 27, 2013 164 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

VALUEACT SMALLCAP MANAGEMENT, L.P.

CRD 154245

SAN FRANCISCO, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:3f9e2a61-86f4-becc-d6d5-e5e7f5c498e3

Data as of Mar 27, 2013 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:33 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

VALUEACT SMALLCAP MASTER FUND, L.P.

Hedge Fund

$27.2M

Mar 27, 2013

Mar 30, 2012

reported

021-103296

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BENNINGTON, ALLISON, ASCHER

GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER

yes

01/2007

Mar 30, 2012

Mar 27, 2013

HAMEL, GEORGE, FELIX

ELECTED MEMBER OF THE MANAGEMENT BOARD

yes

11/2007

Mar 30, 2012

Mar 27, 2013

HAMEL, GEORGE, FELIX

CHIEF OPERATING OFFICER

yes

01/2007

Mar 30, 2012

Mar 27, 2013

LOCKWOOD, DAVID, JAMES

MANAGING MEMBER

yes

01/2010

Mar 30, 2012

Mar 27, 2013

LOCKWOOD, DAVID, JAMES

MANAGING MEMBER

yes

01/2007

Mar 30, 2012

Mar 27, 2013

LOCKWOOD, DAVID, JAMES

MANAGING PARTNER/CHIEF INVESTMENT OFFICER

yes

01/2007

Mar 30, 2012

Mar 27, 2013

MORFIT, GARRISON, MASON

ELECTED MEMBER OF THE MANAGEMENT BOARD

yes

11/2007

Mar 30, 2012

Mar 27, 2013

SIU, CHUCK, WING

CHIEF FINANCIAL OFFICER

yes

01/2007

Mar 30, 2012

Mar 27, 2013

UBBEN, JEFFREY, WILLIAMS

ELECTED MEMBER OF THE MANAGEMENT BOARD

yes

11/2007

Mar 30, 2012

Mar 27, 2013

VALUEACT CAPITAL MANAGEMENT, LLC

GENERAL PARTNER

yes

12/2004

Mar 30, 2012

Mar 27, 2013

VALUEACT CAPITAL MANAGEMENT, LP

LIMITED PARTNER

yes

01/2007

Mar 30, 2012

Mar 27, 2013

VALUEACT HOLDINGS GP, LLC

GENERAL PARTNER

yes

11/2007

Mar 30, 2012

Mar 27, 2013

VALUEACT HOLDINGS, LP

LIMITED PARTNER

yes

11/2007

Mar 30, 2012

Mar 27, 2013

VALUEACT HOLDINGS, LP

MANAGING MEMBER

yes

11/2007

Mar 30, 2012

Mar 27, 2013

VALUEACT HOLDINGS, LP

LIMITED PARTNER

yes

11/2007

Mar 30, 2012

Mar 27, 2013

VALUEACT SMALLCAP MANAGEMENT, LLC

GENERAL PARTNER

yes

01/2007

Mar 30, 2012

Mar 27, 2013

VALUEACT SMALLCAP SLP, LLC

LIMITED PARTNER

01/2010

Mar 30, 2012

Mar 27, 2013

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

VALUEACT CAPITAL MANAGEMENT, L.P.

n/a

Asset manager

$11B

yes

n/a

VA SMALLCAP PARTNERS, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2012

Mar 27, 2013

$27.2M

n/a

$27.2M

2011

Mar 30, 2012

$52.5M

n/a

$52.5M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2012

$27.2M

$52.5M

-48.2%

n/a