RK CAPITAL MANAGEMENT, LLC

Advisory Business

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

Employees

Total Number of Employees	11
Investment Advisory/Research	6
Registered Broker-Dealer Representatives	0
Registered State Investment Advisers	0
Licensed Agents of an Insurance Company	0
No. of Firms/People that Solicit Clients	1

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	6	$549.0M
Non-Discretionary	0	$0
Total	6	$549.0M

Clients

Type	Number	RAUM
Individuals	0	$0
HNW Individuals	0	$0
Banking or thrift institutions	0	$0
Investment companies	0	$0
Business development companies	0	$0
Pooled investment vehicles	5	$347.2M
Pension and profit sharing plans	0	$0
Charitable organizations	0	$0
State or municipal gov entities	<5	$201.9M
Other investment advisers	0	$0
Insurance companies	0	$0
Sovereign wealth funds and foreign official institutions	0	$0
Corporations or other businesses	0	$0
Other	0	$0

Type	Number
No. of Non-RAUM Clients	0
No. of Non-U.S. Clients	33

Services

Advisory Services	Portfolio management for pooled investment vehicles
Compensation	% of AUMPerformance-based fees

Identifiers

SEC RIA File Number	801-67544
SEC ERA File Number	801-67544
SEC CIK Numbers	1426266
SEC CRD Numbers	132464
Legal Entity Identifier	254900SGE2IOVSMB0C20

Principal Office

3033 EAST FIRST AVE.
SUITE 401
DENVER
CO
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic