Hedge Fund Database

MILL ROAD CAPITAL

MILL ROAD CAPITAL MANAGEMENT LLC Legal Name

Adviser information for MILL ROAD CAPITAL last updated from Form ADV on March 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

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

Employees

Total Number of Employees 13
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 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 5 $827.4M
Non-Discretionary 0 $0
Total 5 $827.4M

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 $827.4M
Pension and profit sharing plans 0 $0
Charitable organizations 0 $0
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 0 $0
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 20

Services

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

Identifiers

SEC RIA File Number 801-73642
SEC ERA File Number 801-73642
SEC CIK Numbers 1512275
SEC CRD Numbers 157095
Legal Entity Identifier None

Principal Office

334 PEMBERWICK ROAD
2ND FLOOR
GREENWICH
CT
United States
Monday - Friday, 9:00AM TO 5:00PM
Tel: 203-987-3500, Fax: 203-621-3280

Websites

www.millroadcapital.com www.linkedin.com/company/mill-road-capital

Chief Compliance Officer

LISA M. MCGOVERN
CHIEF FINANCIAL OFFICER, MANAGING DIRECTOR
328 PEMBERWICK ROAD
GREENWICH
CT
United States
Tel: 203-987-3487
Fax: 203-621-3280
(Full email address available in API data)

Regulatory Contact

ANN�MARIE�HENDRY
DIRECTOR,�FINANCE�AND�ADMINISTRATION
328 PEMBERWICK ROAD
GREENWICH
CT
United States
Tel: 203-987-3507
Fax: 203-621-3280
(Full email address available in API data)

Industry Affiliates

MILL ROAD CAPITAL GP LLC Sponsor, GP, manager of pooled investment vehicles
MILL ROAD CAPITAL II GP LLC Sponsor, GP, manager of pooled investment vehicles
MILL ROAD CAPITAL III GP LLC Sponsor, GP, manager of pooled investment vehicles

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
MILL ROAD CAPITAL II, L.P. Hedge Fund $376.0M $0.3M 75
MILL ROAD CAPITAL III, L.P. Hedge Fund $344.5M $0.3M 52
MILL ROAD CAPITAL, L.P. Hedge Fund $42.0M $0.3M 56
MRC III AIV, L.P. ALTERNATIVE INVESTMENT VEHICLE $54.9M $0.3M 11
MRC III OFFSHORE AIV, L.P. ALTERNATIVE INVESTMENT VEHICLE $10.0M $0.3M 40

Control Persons

Name Type Entity Title Since Ownership
LYNCH, THOMAS, EDWARD Individual – MANAGING MEMBER, MANAGEMENT COMMITTEE DIRECTOR AND CHAIRMAN, TAX MATTERS PERSON 10/2004 25-50%
MCGOVERN, LISA, MARIE Individual – CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER, MANAGING DIRECTOR 09/2017 < 5%
YANAGI, ERIC, TOMIO Individual – MANAGING MEMBER, MANAGEMENT COMMITTEE DIRECTOR 04/2018 10-25%
PETITO, DEVEN, HARDWICK Individual – MANAGING MEMBER, MANAGEMENT COMMITTEE DIRECTOR 11/2022 25-50%

No. Employees, Historic

20100201920202021202220232024202517 on 10/25/201915 on 3/30/202016 on 3/31/202113 on 3/31/202215 on 3/31/202315 on 4/28/202315 on 3/5/202413 on 3/29/2024

RAUM, Historic

2B1B02019202020212022202320242025842889119 on 10/25/2019819290607 on 3/30/20201035480142 on 3/31/20211046968272 on 3/31/2022834922672 on 3/31/2023834922672 on 4/28/2023834922672 on 3/5/2024827442739 on 3/29/2024

No. Clients, Historic

105020192020202120222023202420253 on 10/25/20193 on 3/30/20203 on 3/31/20215 on 3/31/20225 on 3/31/20235 on 4/28/20235 on 3/5/20245 on 3/29/2024

Holdings

From latest 13F, filed August 14th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ACCEL ENTERTAINMENT INC COM CL A1 3M 300K Mill Road Capital III GP LLC
ALLIENT INC COM 1M 50K Mill Road Capital III GP LLC
ALTA EQUIPMENT GROUP INC COMMON STOCK 29M 4M Mill Road Capital III GP LLC
CONCRETE PUMPING HLDGS INC COM 3M 544K Mill Road Capital III GP LLC
BEAZER HOMES USA INC COM NEW 5M 195K Mill Road Capital III GP LLC
BLUELINX HLDGS INC COM NEW 12M 129K Mill Road Capital III GP LLC
CENTURY CASINOS INC COM 3M 1M Mill Road Capital III GP LLC
CULP INC COM 1M 325K Mill Road Capital III GP LLC
DULUTH HLDGS INC COM CL B 2M 494K Mill Road Capital III GP LLC
KIMBELL RTY PARTNERS LP UNIT 24M 1M Mill Road Capital III GP LLC
LEGACY HOUSING CORP COM 6M 241K Mill Road Capital III GP LLC
LANDSEA HOMES CORP COM 7M 772K Mill Road Capital III GP LLC
LIFETIME BRANDS INC COM 9M 1M –
MISTRAS GROUP INC COM 13M 2M Mill Road Capital III GP LLC
NATURAL GAS SVCS GROUP INC COM 19M 922K Mill Road Capital III GP LLC
NOODLES & CO COM CL A 11M 7M Mill Road Capital III GP LLC
PERFORMANT FINL CORP COM 9M 3M –
QUINSTREET INC COM 10M 591K Mill Road Capital III GP LLC
SUPERIOR INDS INTL INC COM 14M 4M Mill Road Capital III GP LLC
TRUECAR INC COM 5M 2M Mill Road Capital III GP LLC
INOTIV INC NOTE 3.250%10/1 487K – Mill Road Capital III GP LLC