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

RUTABAGA CAPITAL MANAGEMENT LLC

CRD 108727

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Search this name across graphsid dfx:ria:a55c3866-b720-0192-b83c-ee8ad93f7fe5

Data as of Jan 19, 2023 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:25 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 3
On other graphs: 1
Observed: Mar 29, 2012 to Jan 19, 2023
15 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Rutabaga Capital Management LLC

Private equity manager · shared crd

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: $69.1MItem 5.F on the latest filing (2023-01-19); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $69.1M
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: 4
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1
Individual clients: 0
High net worth clients: 0
Private funds: 1Schedule D 7.B(1)
Private fund GAV: $68.7Mgross asset value as reported per fund; never fund size
Custody, client assets: $69.1M
SEC number: 801-56233
CRD: 108727
Filings on the tape: 15
First filed: Mar 29, 2012
Latest filed: Jan 19, 2023
Organised: Limited Liability Company, 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
RUTABAGA MICRO CAP FUND L.P.	Other Private Fund	$68.7M	Jan 19, 2023	24	Mar 29, 2012	reported	n/a
RUTABAGA SMALL CAP FUND, L.P.	Other Private Fund	$45.6M	Oct 20, 2022	13	Mar 26, 2013	reported	n/a

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
SCHLIEMANN, PETER, CONKLING	MANAGING PRINCIPAL	C	yes	01/1999	Mar 29, 2012	Jan 19, 2023
GARDNER, JR., EUGENE, HERR	Principal	B	no	01/1999	Mar 29, 2012	Jan 19, 2023
NEWBOLD, NATHAN, CARTER	Principal	C	no	04/2000	Mar 29, 2012	Jan 19, 2023
SCANNELL, DENNIS, J.	Principal	C	no	04/2000	Mar 29, 2012	Jan 19, 2023

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
RUTABAGA INVESTMENTS LLC	n/a	n/a	n/a	N	yes	n/a

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
2021	Mar 9, 2022	$203M	$203M	7	5	2	2	$126M
2020	Mar 2, 2021	$183M	$183M	8	6	2	2	$113M
2019	Mar 19, 2020	$275M	$275M	8	6	2	2	$133M
2018	Mar 6, 2019	$330M	$330M	7	5	2	2	$108M
2017	Mar 13, 2018	$475M	$475M	8	6	2	2	$147M
2016	Mar 29, 2017	$638M	$638M	9	7	n/a	2	$124M
2015	Mar 24, 2016	$858M	$858M	9	7	n/a	2	$108M
2014	Mar 25, 2015	$1.1B	$1.1B	9	7	n/a	2	$123M
2013	Mar 25, 2014	$1.1B	$1.1B	9	7	n/a	2	$96.5M
2012	Mar 26, 2013	$779M	$779M	8	6	n/a	2	$45.7M
2011	Mar 29, 2012	$621M	$621M	n/a	n/a	n/a	1	$41.9M

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
2021	$69.1M	$183M	-62.3%	$330M	-40.6%	4	8	0	2

Relationships

Advises (2)

→ RUTABAGA MICRO CAP FUND L.P.Private fundOther Private Fund, IA
Mar 29, 2012 to presentfactForm ADV
→ RUTABAGA SMALL CAP FUND, L.P.Private fundOther Private Fund, IA
Mar 26, 2013 to presentfactForm ADV

Controls (1)

← SCHLIEMANN, PETER, CONKLINGOwnerMANAGING PRINCIPAL, ownership code C, individual
Mar 29, 2012 to presentfactForm ADV

Owns (3)

← NEWBOLD, NATHAN, CARTEROwnerPRINCIPAL, ownership code C, individual
Mar 29, 2012 to presentfactForm ADV
← GARDNER, JR., EUGENE, HERROwnerPRINCIPAL, ownership code B, individual
Mar 29, 2012 to presentfactForm ADV
← SCANNELL, DENNIS, J.OwnerPRINCIPAL, ownership code C, individual
Mar 29, 2012 to presentfactForm ADV

Dated events

Occurred
Jan 19, 2023
Regulatory AUM changed
Rutabaga Capital Management Llc reported RAUM $69.1M, down 66% from $203.3M (2022-10-20 to 2023-01-19)
Form ADVobserved 5 days ago
$-134M
Occurred
Mar 6, 2019
Regulatory AUM changed
Rutabaga Capital Management Llc reported RAUM $329.7M, down 31% from $475.0M (2018-03-13 to 2019-03-06)
Form ADVobserved 5 days ago
$-145M
Occurred
Mar 13, 2018
Regulatory AUM changed
Rutabaga Capital Management Llc reported RAUM $475.0M, down 26% from $637.8M (2017-03-29 to 2018-03-13)
Form ADVobserved 5 days ago
$-163M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a55c3866-b720-0192-b83c-ee8ad93f7fe5
First observed: Mar 29, 2012
Last observed: Jan 19, 2023 44 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.

RUTABAGA CAPITAL MANAGEMENT LLC

CRD 108727

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:a55c3866-b720-0192-b83c-ee8ad93f7fe5

Data as of Jan 19, 2023 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:25 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

RUTABAGA MICRO CAP FUND L.P.

Other Private Fund

$68.7M

Jan 19, 2023

Mar 29, 2012

reported

n/a

RUTABAGA SMALL CAP FUND, L.P.

Other Private Fund

$45.6M

Oct 20, 2022

Mar 26, 2013

reported

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

SCHLIEMANN, PETER, CONKLING

MANAGING PRINCIPAL

yes

01/1999

Mar 29, 2012

Jan 19, 2023

GARDNER, JR., EUGENE, HERR

Principal

01/1999

Mar 29, 2012

Jan 19, 2023

NEWBOLD, NATHAN, CARTER

Principal

04/2000

Mar 29, 2012

Jan 19, 2023

SCANNELL, DENNIS, J.

Principal

04/2000

Mar 29, 2012

Jan 19, 2023

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

RUTABAGA INVESTMENTS LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2021

Mar 9, 2022

$203M

$126M

2020

Mar 2, 2021

$183M

$113M

2019

Mar 19, 2020

$275M

$133M

2018

Mar 6, 2019

$330M

$108M

2017

Mar 13, 2018

$475M

$147M

2016

Mar 29, 2017

$638M

n/a

$124M

2015

Mar 24, 2016

$858M

n/a

$108M

2014

Mar 25, 2015

$1.1B

n/a

$123M

2013

Mar 25, 2014

$1.1B

n/a

$96.5M

2012

Mar 26, 2013

$779M

n/a

$45.7M

2011

Mar 29, 2012

$621M

n/a

$41.9M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2021

$69.1M

$183M

-62.3%

$330M

-40.6%