VALUEWORKS, LLC

Advisory Business

Type of Organization	Limited Liability Company
Fiscal Year End	DECEMBER
Legal Location	Delaware, United States

Employees

Total Number of Employees	6
Investment Advisory/Research	3
Registered Broker-Dealer Representatives	0
Registered State Investment Advisers	0
Licensed Agents of an Insurance Company	0
No. of Firms/People that Solicit Clients	5

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	112	$293.3M
Non-Discretionary	0	$0
Total	112	$293.3M

Clients

Type	Number	RAUM
Individuals	41	$16.6M
HNW Individuals	21	$72.0M
Banking or thrift institutions	0	$0
Investment companies	0	$0
Business development companies	0	$0
Pooled investment vehicles	1	$162.0M
Pension and profit sharing plans	40	$27.4M
Charitable organizations	1	$5.7M
State or municipal gov entities	0	$0
Other investment advisers	0	$0
Insurance companies	0	$0
Sovereign wealth funds and foreign official institutions	0	$0
Corporations or other businesses	8	$9.5M
Other	0	$0

Type	Number
No. of Non-RAUM Clients	112
No. of Non-U.S. Clients	1

Services

Advisory Services	Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehicles
Compensation	% of AUMPerformance-based fees

Wrap Fee Program

Offers Wrap Fee Program	Yes

Acting As	RAUM
Sponsor	0
Portfolio Manager	26.5M
Both for Same	84.0M

Portfolio Manager to Program	Sponsor
GUIDED MANAGED ASSETS	WEDBUSH MORGAN SECURITIES
PRO-AM	NBC SECURITIES
MAP	AMERICAN PORTFOLIO ADVISORS
MANAGED ACCOUNT COMMAND	LOCKWOOD
GMS GROUP, L.L.C. WRAP FEE PROGRAM	VALUEWORKS LLC
TD AMERITRADE-VALUEWORKS WRAP FEE PROGRAM	VALUEWORKS LLC

Identifiers

SEC RIA File Number	801-60663
SEC ERA File Number	801-60663
SEC CIK Numbers	1282189
SEC CRD Numbers	116850
Legal Entity Identifier	None

Principal Office

ONE WORLD TRADE
SUITE 84G
NEW YORK CITY
NY
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic