OLD WEST INVESTMENT MANAGEMENT, LLC

Advisory Business

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

Employees

Total Number of Employees	7
Investment Advisory/Research	7
Registered Broker-Dealer Representatives	0
Registered State Investment Advisers	2
Licensed Agents of an Insurance Company	0
No. of Firms/People that Solicit Clients	3

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	322	$394.1M
Non-Discretionary	6	$7.8M
Total	328	$401.9M

Clients

Type	Number	RAUM
Individuals	55	$6.6M
HNW Individuals	248	$129.2M
Banking or thrift institutions	0	$0
Investment companies	0	$0
Business development companies	0	$0
Pooled investment vehicles	6	$241.2M
Pension and profit sharing plans	0	$0
Charitable organizations	<5	$14.8M
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	15	$10.0M
Other	0	$0

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

Services

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

Wrap Fee Program

Offers Wrap Fee Program	Yes

Acting As	RAUM
Sponsor	0
Portfolio Manager	954,313
Both for Same	0

Portfolio Manager to Program	Sponsor
LOCKWOOD SPONSORED PROGRAM	LOCKWOOD ADVISERS, INC.

Identifiers

SEC RIA File Number	801-69604
SEC ERA File Number	801-69604
SEC CIK Numbers	1549358
SEC CRD Numbers	148343
Legal Entity Identifier	None

Principal Office

601 SOUTH FIGUEROA STREET
SUITE 1975
LOS ANGELES
CA
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic