TOWLE & COMPANY

HTTP://WWW.TOWLEFUND.COM • DENVER, CO • Investment Advisor • Hedge Fund
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Towle & Company is based out of Denver. Towle & Company is a hedge fund with 80 clients and discretionary assets under management (AUM) of $773,407,222 (Form ADV from 2023-03-28). Their last reported 13F filing for Q1 2023 included $710,404,213 in managed 13F securities and a top 10 holdings concentration of 42.18%. Towle & Company's largest holding is PVH Corp. (Phillips Jones - Phillips Van Heusen Corp.) with shares held of 409,950. Towle & Company has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 78 13F filings, 28 13D filings, 61 13G filings, and 13 Form 4 filings

03/31/2023

13F Activity

  • Market Value $710.404 Million
  • Prior Market Value $747.998 Million
  • New Purchases9 stocks
  • Additional Purchases10 stocks
  • Sold out of12 stocks
  • Reduced holdings in42 stocks
  • Top 10 Holdings % 42.18 %
  • Turnover % [1]:34.43%
  • Turnover Alt % [2]: 17.20 %
  • Time Held Top20:2.15 quarters
  • Time Held Top10:1.20 quarters
  • Time Held All:4.75 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

03/31/2023

13F Sector Allocation Over Time

Fund Metrics

You are limited to the prior 8 quarters of 13F filings. Subscribe to WhaleWisdom to view all filing data for TOWLE & COMPANY

Portfolio Analysis

Classifications:

Q1 2023:

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Consistent Across Past 4 Quarters:

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Type of 13F Disclosure 13F Holdings Report
% of holdings ETF 0.0
% of top 20 holdings the same as top 20 most commonly held by all managers 0.0%
ALL HOLDINGS TOP-20 HOLDINGS
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Sector Allocation 0.067% (TRANSPORTS) 40.99% (CONSUMER DISCRETIONARY) 11.111% 7.296% 4.008% (FINANCE) 42.148% (CONSUMER DISCRETIONARY) 16.667% 10.562%

Risk/Reward Analysis

Portfolio Market Cap Analysis

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2023-05-15

Performance for Q1 2023: -19.74%
Performance Last 4 Quarters: -19.93%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
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Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required
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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

TOWLE & CO
Classified as Hedge Fund
50 S. STEELE STREET SUITE 1000
DENVER CO    80209
Country: United States
Business Phone: 303-731-2494
Fax: 303-647-1318
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Investment advisor to an investment company
Form of Organization: Corporation
Organized in: MO
Number of employees: 10
Other Business Activities: commodity pool operator or commodity trading advisor
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees
Amount of client funds and securities: 82,862,900
Total Number of Clients: 80
Amount of client funds and securities by related persons: 52,554,100
Total Number of clients from related persons: 1
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Insider Transactions in the past year

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TOWLE & CO

ownership team - last updated 2023-03-28
Name Title Start Date Direct/Indirect % Ownership
TOWLE, CHRISTOPHER, DALY CHIEF EXECUTIVE OFFICER; DIRECTOR; TRUSTEE OF THE WOODY TRUST 07/01/2009 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
TOWLE & CO PRESIDENT direct 2009-07-01
TOWLE & CO VICE-PRESIDENT direct 1981-09-01 2008-09-22
TOWLE & CO VICE-PRESIDENT direct 1994-10-01 2009-12-11
GILLIS, JOHN, MITCHELL HEAD OF CLIENT RELATIONS; DIRECTOR 04/01/2022 Direct less than 5%
Fund Name Position direct/indirect start date end date
TOWLE & CO HEAD OF CLIENT RELATIONS; DIRECTOR direct 2022-04-01
HOPFENSPERGER, CARI, ANN CHIEF COMPLIANCE OFFICER 10/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORY RESEARCH INC VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2009-06-01
ADVISORY RESEARCH INC CHIEF COMPLIANCE OFFICER direct 2009-06-01
SHIELDS, JAMES, MATTHEW HEAD OF PRIVATE FUNDS; SECRETARY 10/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
TOWLE & CO HEAD OF PRIVATE FUNDS direct 2021-10-01
MCMAHON, BROOKE, CONNORS HEAD OF BUSINESS OPERATIONS; TREASURER 04/01/2022 Direct less than 5%
Fund Name Position direct/indirect start date end date
TOWLE & CO HEAD OF BUSINESS OPERATIONS; TREASURER direct 2022-04-01
THE WOODY TRUST OWNERSHIP TRUST 12/01/2020 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
TOWLE & CO OWNERSHIP TRUST direct 2020-12-01
WISHWOOD, LLC OWNERSHIP ENTITY 01/01/2022 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
TOWLE & CO OWNERSHIP ENTITY direct 2022-01-01
TOWLE, CHRISTOPHER, DALY SOLE OWNER OF WISHWOOD LLC WISHWOOD, LLC 01/01/2022 Indirect 75% or more
Fund Name Position direct/indirect start date end date
TOWLE & CO PRESIDENT direct 2009-07-01
TOWLE & CO VICE-PRESIDENT direct 1981-09-01 2008-09-22
TOWLE & CO VICE-PRESIDENT direct 1994-10-01 2009-12-11

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
TOWLE EVOLUTION MASTER FUND, LP Cayman Islands 805-7157924457 Hedge Fund 52,554,139 1,000,000 Master Fund
TOWLE CAPITAL PARTNERS, LP United States 805-1820991162 Other Private Fund POOLED FUND 82,862,855 100,000

TOWLE & CO

ownership team - last updated 2022-06-29
Name Title Start Date Direct/Indirect % Ownership
TOWLE, CHRISTOPHER, DALY CHIEF EXECUTIVE OFFICER; TRUSTEE OF THE WOODY TRUST 07/01/2009 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
TOWLE & CO PRESIDENT direct 2009-07-01
TOWLE & CO VICE-PRESIDENT direct 1981-09-01 2008-09-22
TOWLE & CO VICE-PRESIDENT direct 1994-10-01 2009-12-11
HOPFENSPERGER, CARI, ANN CHIEF COMPLIANCE OFFICER 10/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORY RESEARCH INC VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2009-06-01
ADVISORY RESEARCH INC CHIEF COMPLIANCE OFFICER direct 2009-06-01
SHIELDS, JAMES, MATTHEW HEAD OF PRIVATE FUNDS 10/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
TOWLE & CO HEAD OF PRIVATE FUNDS direct 2021-10-01
THE WOODY TRUST OWNERSHIP TRUST 12/01/2020 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
TOWLE & CO OWNERSHIP TRUST direct 2020-12-01
WISHWOOD, LLC OWNERSHIP ENTITY 01/01/2022 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
TOWLE & CO OWNERSHIP ENTITY direct 2022-01-01
TOWLE, CHRISTOPHER, DALY SOLE OWNER OF WISHWOOD LLC WISHWOOD, LLC 01/01/2022 Indirect 75% or more
Fund Name Position direct/indirect start date end date
TOWLE & CO PRESIDENT direct 2009-07-01
TOWLE & CO VICE-PRESIDENT direct 1981-09-01 2008-09-22
TOWLE & CO VICE-PRESIDENT direct 1994-10-01 2009-12-11

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
TOWLE EVOLUTION MASTER FUND, LP Cayman Islands 805-7157924457 Hedge Fund 0 1,000,000 Master Fund
TOWLE CAPITAL PARTNERS, LP United States 805-1820991162 Other Private Fund POOLED FUND 94,002,567 100,000

TOWLE & CO

ownership team - last updated 2022-03-31
Name Title Start Date Direct/Indirect % Ownership
TOWLE, CHRISTOPHER, DALY CHIEF EXECUTIVE OFFICER; TRUSTEE OF THE WOODY TRUST 07/01/2009 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
TOWLE & CO PRESIDENT direct 2009-07-01
TOWLE & CO VICE-PRESIDENT direct 1981-09-01 2008-09-22
TOWLE & CO VICE-PRESIDENT direct 1994-10-01 2009-12-11
HOPFENSPERGER, CARI, ANN CHIEF COMPLIANCE OFFICER 10/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORY RESEARCH INC VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2009-06-01
ADVISORY RESEARCH INC CHIEF COMPLIANCE OFFICER direct 2009-06-01
BRADLEY, JOSEPH, WRIGHT CHIEF OPERATING OFFICER AND DIRECTOR OF CLIENT RELATIONS 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
TOWLE & CO CHIEF OPERATING OFFICER AND DIRECTOR OF CLIENT RELATIONS direct 2020-01-01
SHIELDS, JAMES, MATTHEW HEAD OF PRIVATE FUNDS 10/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
TOWLE & CO HEAD OF PRIVATE FUNDS direct 2021-10-01
THE WOODY TRUST OWNERSHIP TRUST 12/01/2020 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
TOWLE & CO OWNERSHIP TRUST direct 2020-12-01
WISHWOOD, LLC OWNERSHIP ENTITY 01/01/2022 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
TOWLE & CO OWNERSHIP ENTITY direct 2022-01-01
TOWLE, CHRISTOPHER, DALY SOLE OWNER OF WISHWOOD LLC WISHWOOD, LLC 01/01/2022 Indirect 75% or more
Fund Name Position direct/indirect start date end date
TOWLE & CO PRESIDENT direct 2009-07-01
TOWLE & CO VICE-PRESIDENT direct 1981-09-01 2008-09-22
TOWLE & CO VICE-PRESIDENT direct 1994-10-01 2009-12-11

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
TOWLE EVOLUTION MASTER FUND, LP Cayman Islands 805-7157924457 Hedge Fund 0 1,000,000 Master Fund
TOWLE CAPITAL PARTNERS, LP United States 805-1820991162 Other Private Fund POOLED FUND 94,002,567 100,000

TOWLE & CO

ownership team - last updated 2021-11-19
Name Title Start Date Direct/Indirect % Ownership
TOWLE, CHRISTOPHER, DALY CHIEF EXECUTIVE OFFICER, TRUSTEE OF THE WOODY TRUST 07/01/2009 Direct 75% or more
Fund Name Position direct/indirect start date end date
TOWLE & CO PRESIDENT direct 2009-07-01
TOWLE & CO VICE-PRESIDENT direct 1981-09-01 2008-09-22
TOWLE & CO VICE-PRESIDENT direct 1994-10-01 2009-12-11
HOPFENSPERGER, CARI, ANN CHIEF COMPLIANCE OFFICER 10/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
ADVISORY RESEARCH INC VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2009-06-01
ADVISORY RESEARCH INC CHIEF COMPLIANCE OFFICER direct 2009-06-01
BRADLEY, JOSEPH, WRIGHT CHIEF OPERATING OFFICER AND DIRECTOR OF CLIENT RELATIONS 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
TOWLE & CO CHIEF OPERATING OFFICER AND DIRECTOR OF CLIENT RELATIONS direct 2020-01-01
SHIELDS, JAMES, MATTHEW HEAD OF PRIVATE FUNDS 10/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
TOWLE & CO HEAD OF PRIVATE FUNDS direct 2021-10-01
THE WOODY TRUST OWNERSHIP TRUST 12/01/2020 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
TOWLE & CO OWNERSHIP TRUST direct 2020-12-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
TOWLE CAPITAL PARTNERS, LP United States 805-1820991162 Other Private Fund POOLED FUND 85,692,746 100,000
TOWLE INSTITUTIONAL PARTNERS, LP United States 805-7294607151 Hedge Fund 382,462 0

TOWLE & CO

ownership team - last updated 2021-07-26
Name Title Start Date Direct/Indirect % Ownership
HARDIN, MATTHEW, STEPHEN CHIEF COMPLIANCE OFFICER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
GREEN EAGLE CAPITAL LLC CHIEF COMPLIANCE OFFICER direct 2010-04-01
SOUTHOCEAN INVESTMENT PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2016-10-01
ALPINE PRIVATE CAPITAL, LLC CHIEF COMPLIANCE OFFICER direct 2017-01-01
OSMOSIS INVESTMENT MANAGEMENT US LLC CHIEF COMPLIANCE OFFICER direct 2016-02-01
SOUTHOCEAN CAPITAL PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2014-04-01
LAKEWATER CAPITAL LLC CHIEF COMPLIANCE OFFICER direct 2013-11-01
FOREFRONT CAPITAL ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2017-06-01
FAIRFAX GLOBAL MARKETS LLC CCO direct 2012-06-01
HAWKEYE CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2012-02-01
C2P CAPITAL ADVISORY GROUP, LLC CHIEF COMPLIANCE OFFICER direct 2015-02-01
LC ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2017-04-01
STONECASTLE CASH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2009-03-01
GC ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2009-06-01
KINGSTOWN CAPITAL MANAGEMENT L.P. CHIEF COMPLIANCE OFFICER direct 2010-07-01
PENNANTPARK INVESTMENT ADVISERS, LLC CHIEF COMPLIANCE OFFICER direct 2007-06-01
J.J.B. HILLIARD, W.L. LYONS, INC GENERAL COUNSEL direct 2004-01-01
SEMAPHORE MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2010-08-01
VALHALLA CAPITAL PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2006-05-01
STONEBRIDGE ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2006-05-01
STEWART CAPITAL ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2016-09-01
STONECASTLE ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2007-05-01
PNC INVESTMENTS LLC SECRETARY direct 2004-06-01
FOUNDATION WEALTH MANAGEMENT, LLC PRINCIPAL/CHIEF COMPLIANCE OFFICER direct 2007-01-01
FOUNDATION WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2007-01-01
PRIVATE WEALTH ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2016-10-01
ABSOLUTE CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2011-09-01
ALPINE INVESTMENT MANAGEMENT,LLC CHIEF COMPLIANCE OFFICER direct 2016-10-01
PROFIT INVESTMENT MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2014-10-01
FOXHALL CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2012-04-01
H.L. ZEVE ASSOCIATES, INC. CHIEF COMPLIANCE OFFICER direct 2008-03-01
TOWLE, CHRISTOPHER, DALY CHIEF EXECUTIVE OFFICER; TRUSTEE OF THE WOODY TRUST 07/01/2009 Direct 75% or more
Fund Name Position direct/indirect start date end date
TOWLE & CO PRESIDENT direct 2009-07-01
TOWLE & CO VICE-PRESIDENT direct 1981-09-01 2008-09-22
TOWLE & CO VICE-PRESIDENT direct 1994-10-01 2009-12-11
TOWLE, JOSEPH, ELLWOOD CHAIRMAN 07/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
TOWLE & CO CHIEF EXECUTIVE OFFICER direct 2009-07-01
TOWLE & CO PRESIDENT direct 1981-09-01 2009-12-11
BRADLEY, JOSEPH, WRIGHT CHIEF OPERATING OFFICER AND DIRECTOR OF CLIENT RELATIONS 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
TOWLE & CO CHIEF OPERATING OFFICER AND DIRECTOR OF CLIENT RELATIONS direct 2020-01-01
THE WOODY TRUST OWNERSHIP TRUST 12/01/2020 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
TOWLE & CO OWNERSHIP TRUST direct 2020-12-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
TOWLE CAPITAL PARTNERS, LP United States 805-1820991162 Other Private Fund POOLED FUND 85,692,746 100,000
TOWLE INSTITUTIONAL PARTNERS, LP United States 805-7294607151 Hedge Fund 382,462 0

TOWLE & CO

ownership team - last updated 2021-03-31
Name Title Start Date Direct/Indirect % Ownership
HARDIN, MATTHEW, STEPHEN CHIEF COMPLIANCE OFFICER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
GREEN EAGLE CAPITAL LLC CHIEF COMPLIANCE OFFICER direct 2010-04-01
SOUTHOCEAN INVESTMENT PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2016-10-01
ALPINE PRIVATE CAPITAL, LLC CHIEF COMPLIANCE OFFICER direct 2017-01-01
OSMOSIS INVESTMENT MANAGEMENT US LLC CHIEF COMPLIANCE OFFICER direct 2016-02-01
SOUTHOCEAN CAPITAL PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2014-04-01
LAKEWATER CAPITAL LLC CHIEF COMPLIANCE OFFICER direct 2013-11-01
FOREFRONT CAPITAL ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2017-06-01
FAIRFAX GLOBAL MARKETS LLC CCO direct 2012-06-01
HAWKEYE CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2012-02-01
C2P CAPITAL ADVISORY GROUP, LLC CHIEF COMPLIANCE OFFICER direct 2015-02-01
LC ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2017-04-01
STONECASTLE CASH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2009-03-01
GC ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2009-06-01
KINGSTOWN CAPITAL MANAGEMENT L.P. CHIEF COMPLIANCE OFFICER direct 2010-07-01
PENNANTPARK INVESTMENT ADVISERS, LLC CHIEF COMPLIANCE OFFICER direct 2007-06-01
J.J.B. HILLIARD, W.L. LYONS, INC GENERAL COUNSEL direct 2004-01-01
SEMAPHORE MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2010-08-01
VALHALLA CAPITAL PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2006-05-01
STONEBRIDGE ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2006-05-01
STEWART CAPITAL ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2016-09-01
STONECASTLE ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2007-05-01
PNC INVESTMENTS LLC SECRETARY direct 2004-06-01
FOUNDATION WEALTH MANAGEMENT, LLC PRINCIPAL/CHIEF COMPLIANCE OFFICER direct 2007-01-01
FOUNDATION WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2007-01-01
PRIVATE WEALTH ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2016-10-01
ABSOLUTE CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2011-09-01
ALPINE INVESTMENT MANAGEMENT,LLC CHIEF COMPLIANCE OFFICER direct 2016-10-01
PROFIT INVESTMENT MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2014-10-01
FOXHALL CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2012-04-01
H.L. ZEVE ASSOCIATES, INC. CHIEF COMPLIANCE OFFICER direct 2008-03-01
TOWLE, CHRISTOPHER, DALY CHIEF EXECUTIVE OFFICER; TRUSTEE OF THE WOODY TRUST 07/01/2009 Direct 75% or more
Fund Name Position direct/indirect start date end date
TOWLE & CO PRESIDENT direct 2009-07-01
TOWLE & CO VICE-PRESIDENT direct 1981-09-01 2008-09-22
TOWLE & CO VICE-PRESIDENT direct 1994-10-01 2009-12-11
TOWLE, JOSEPH, ELLWOOD CHAIRMAN 07/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
TOWLE & CO CHIEF EXECUTIVE OFFICER direct 2009-07-01
TOWLE & CO PRESIDENT direct 1981-09-01 2009-12-11
BRADLEY, JOSEPH, WRIGHT CHIEF OPERATING OFFICER AND DIRECTOR OF CLIENT RELATIONS 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
TOWLE & CO CHIEF OPERATING OFFICER AND DIRECTOR OF CLIENT RELATIONS direct 2020-01-01
THE WOODY TRUST OWNERSHIP TRUST 12/01/2020 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
TOWLE & CO OWNERSHIP TRUST direct 2020-12-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
TOWLE CAPITAL PARTNERS, LP United States 805-1820991162 Other Private Fund POOLED FUND 85,692,746 100,000
TOWLE INSTITUTIONAL PARTNERS, LP United States 805-7294607151 Hedge Fund 382,462 0

TOWLE & CO

ownership team - last updated 2020-05-21
Name Title Start Date Direct/Indirect % Ownership
HARDIN, MATTHEW, STEPHEN CHIEF COMPLIANCE OFFICER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
GREEN EAGLE CAPITAL LLC CHIEF COMPLIANCE OFFICER direct 2010-04-01
SOUTHOCEAN INVESTMENT PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2016-10-01
ALPINE PRIVATE CAPITAL, LLC CHIEF COMPLIANCE OFFICER direct 2017-01-01
OSMOSIS INVESTMENT MANAGEMENT US LLC CHIEF COMPLIANCE OFFICER direct 2016-02-01
SOUTHOCEAN CAPITAL PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2014-04-01
LAKEWATER CAPITAL LLC CHIEF COMPLIANCE OFFICER direct 2013-11-01
FOREFRONT CAPITAL ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2017-06-01
FAIRFAX GLOBAL MARKETS LLC CCO direct 2012-06-01
HAWKEYE CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2012-02-01
C2P CAPITAL ADVISORY GROUP, LLC CHIEF COMPLIANCE OFFICER direct 2015-02-01
LC ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2017-04-01
STONECASTLE CASH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2009-03-01
GC ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2009-06-01
KINGSTOWN CAPITAL MANAGEMENT L.P. CHIEF COMPLIANCE OFFICER direct 2010-07-01
PENNANTPARK INVESTMENT ADVISERS, LLC CHIEF COMPLIANCE OFFICER direct 2007-06-01
J.J.B. HILLIARD, W.L. LYONS, INC GENERAL COUNSEL direct 2004-01-01
SEMAPHORE MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2010-08-01
VALHALLA CAPITAL PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2006-05-01
STONEBRIDGE ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2006-05-01
STEWART CAPITAL ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2016-09-01
STONECASTLE ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2007-05-01
PNC INVESTMENTS LLC SECRETARY direct 2004-06-01
FOUNDATION WEALTH MANAGEMENT, LLC PRINCIPAL/CHIEF COMPLIANCE OFFICER direct 2007-01-01
FOUNDATION WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2007-01-01
PRIVATE WEALTH ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2016-10-01
ABSOLUTE CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2011-09-01
ALPINE INVESTMENT MANAGEMENT,LLC CHIEF COMPLIANCE OFFICER direct 2016-10-01
PROFIT INVESTMENT MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2014-10-01
FOXHALL CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2012-04-01
H.L. ZEVE ASSOCIATES, INC. CHIEF COMPLIANCE OFFICER direct 2008-03-01
TOWLE, CHRISTOPHER, DALY CHIEF EXECUTIVE OFFICER 07/01/2009 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
TOWLE & CO PRESIDENT direct 2009-07-01
TOWLE & CO VICE-PRESIDENT direct 1981-09-01 2008-09-22
TOWLE & CO VICE-PRESIDENT direct 1994-10-01 2009-12-11
TOWLE, JOSEPH, ELLWOOD CHAIRMAN 07/01/2009 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
TOWLE & CO CHIEF EXECUTIVE OFFICER direct 2009-07-01
TOWLE & CO PRESIDENT direct 1981-09-01 2009-12-11
BRADLEY, JOSEPH, WRIGHT CHIEF OPERATING OFFICER AND DIRECTOR OF CLIENT RELATIONS 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
TOWLE & CO CHIEF OPERATING OFFICER AND DIRECTOR OF CLIENT RELATIONS direct 2020-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
TOWLE CAPITAL PARTNERS, LP United States 805-1820991162 Other Private Fund POOLED FUND 87,711,345 100,000
TOWLE INSTITUTIONAL PARTNERS, LP United States 805-7294607151 Hedge Fund 402,796 0

TOWLE & CO

ownership team - last updated 2020-03-26
Name Title Start Date Direct/Indirect % Ownership

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
TOWLE CAPITAL PARTNERS, LP United States 805-1820991162 Other Private Fund POOLED FUND 87,711,345 100,000
TOWLE INSTITUTIONAL PARTNERS, LP United States 805-7294607151 Hedge Fund 402,796 0

TOWLE & CO

ownership team - last updated 2019-07-30
Name Title Start Date Direct/Indirect % Ownership
HARDIN, MATTHEW, STEPHEN CHIEF COMPLIANCE OFFICER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
GREEN EAGLE CAPITAL LLC CHIEF COMPLIANCE OFFICER direct 2010-04-01
SOUTHOCEAN INVESTMENT PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2016-10-01
ALPINE PRIVATE CAPITAL, LLC CHIEF COMPLIANCE OFFICER direct 2017-01-01
OSMOSIS INVESTMENT MANAGEMENT US LLC CHIEF COMPLIANCE OFFICER direct 2016-02-01
SOUTHOCEAN CAPITAL PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2014-04-01
LAKEWATER CAPITAL LLC CHIEF COMPLIANCE OFFICER direct 2013-11-01
FOREFRONT CAPITAL ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2017-06-01
FAIRFAX GLOBAL MARKETS LLC CCO direct 2012-06-01
HAWKEYE CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2012-02-01
C2P CAPITAL ADVISORY GROUP, LLC CHIEF COMPLIANCE OFFICER direct 2015-02-01
LC ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2017-04-01
STONECASTLE CASH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2009-03-01
GC ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2009-06-01
KINGSTOWN CAPITAL MANAGEMENT L.P. CHIEF COMPLIANCE OFFICER direct 2010-07-01
PENNANTPARK INVESTMENT ADVISERS, LLC CHIEF COMPLIANCE OFFICER direct 2007-06-01
J.J.B. HILLIARD, W.L. LYONS, INC GENERAL COUNSEL direct 2004-01-01
SEMAPHORE MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2010-08-01
VALHALLA CAPITAL PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2006-05-01
STONEBRIDGE ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2006-05-01
STEWART CAPITAL ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2016-09-01
STONECASTLE ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2007-05-01
PNC INVESTMENTS LLC SECRETARY direct 2004-06-01
FOUNDATION WEALTH MANAGEMENT, LLC PRINCIPAL/CHIEF COMPLIANCE OFFICER direct 2007-01-01
FOUNDATION WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2007-01-01
PRIVATE WEALTH ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2016-10-01
ABSOLUTE CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2011-09-01
ALPINE INVESTMENT MANAGEMENT,LLC CHIEF COMPLIANCE OFFICER direct 2016-10-01
PROFIT INVESTMENT MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2014-10-01
FOXHALL CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2012-04-01
H.L. ZEVE ASSOCIATES, INC. CHIEF COMPLIANCE OFFICER direct 2008-03-01
TOWLE, CHRISTOPHER, DALY CHIEF EXECUTIVE OFFICER 07/01/2009 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
TOWLE & CO PRESIDENT direct 2009-07-01
TOWLE & CO VICE-PRESIDENT direct 1981-09-01 2008-09-22
TOWLE & CO VICE-PRESIDENT direct 1994-10-01 2009-12-11
TOWLE, JOSEPH, ELLWOOD CHAIRMAN 07/01/2009 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
TOWLE & CO CHIEF EXECUTIVE OFFICER direct 2009-07-01
TOWLE & CO PRESIDENT direct 1981-09-01 2009-12-11

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
TOWLE CAPITAL PARTNERS, LP United States 805-1820991162 Other Private Fund POOLED FUND 76,170,155 100,000
TOWLE INSTITUTIONAL PARTNERS, LP United States 805-7294607151 Hedge Fund 350,637 0

TOWLE & CO

ownership team - last updated 2019-03-27
Name Title Start Date Direct/Indirect % Ownership
HARDIN, MATTHEW, STEPHEN CHIEF COMPLIANCE OFFICER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
GREEN EAGLE CAPITAL LLC CHIEF COMPLIANCE OFFICER direct 2010-04-01
SOUTHOCEAN INVESTMENT PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2016-10-01
ALPINE PRIVATE CAPITAL, LLC CHIEF COMPLIANCE OFFICER direct 2017-01-01
OSMOSIS INVESTMENT MANAGEMENT US LLC CHIEF COMPLIANCE OFFICER direct 2016-02-01
SOUTHOCEAN CAPITAL PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2014-04-01
LAKEWATER CAPITAL LLC CHIEF COMPLIANCE OFFICER direct 2013-11-01
FOREFRONT CAPITAL ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2017-06-01
FAIRFAX GLOBAL MARKETS LLC CCO direct 2012-06-01
HAWKEYE CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2012-02-01
C2P CAPITAL ADVISORY GROUP, LLC CHIEF COMPLIANCE OFFICER direct 2015-02-01
LC ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2017-04-01
STONECASTLE CASH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2009-03-01
GC ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2009-06-01
KINGSTOWN CAPITAL MANAGEMENT L.P. CHIEF COMPLIANCE OFFICER direct 2010-07-01
PENNANTPARK INVESTMENT ADVISERS, LLC CHIEF COMPLIANCE OFFICER direct 2007-06-01
J.J.B. HILLIARD, W.L. LYONS, INC GENERAL COUNSEL direct 2004-01-01
SEMAPHORE MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2010-08-01
VALHALLA CAPITAL PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2006-05-01
STONEBRIDGE ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2006-05-01
STEWART CAPITAL ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2016-09-01
STONECASTLE ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2007-05-01
PNC INVESTMENTS LLC SECRETARY direct 2004-06-01
FOUNDATION WEALTH MANAGEMENT, LLC PRINCIPAL/CHIEF COMPLIANCE OFFICER direct 2007-01-01
FOUNDATION WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2007-01-01
PRIVATE WEALTH ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2016-10-01
ABSOLUTE CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2011-09-01
ALPINE INVESTMENT MANAGEMENT,LLC CHIEF COMPLIANCE OFFICER direct 2016-10-01
PROFIT INVESTMENT MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2014-10-01
FOXHALL CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2012-04-01
H.L. ZEVE ASSOCIATES, INC. CHIEF COMPLIANCE OFFICER direct 2008-03-01
TOWLE, CHRISTOPHER, DALY CHIEF EXECUTIVE OFFICER 07/01/2009 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
TOWLE & CO PRESIDENT direct 2009-07-01
TOWLE & CO VICE-PRESIDENT direct 1981-09-01 2008-09-22
TOWLE & CO VICE-PRESIDENT direct 1994-10-01 2009-12-11
TOWLE, JOSEPH, ELLWOOD CHAIRMAN 07/01/2009 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
TOWLE & CO CHIEF EXECUTIVE OFFICER direct 2009-07-01
TOWLE & CO PRESIDENT direct 1981-09-01 2009-12-11

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
TOWLE CAPITAL PARTNERS, LP United States 805-1820991162 Other Private Fund POOLED FUND 76,170,155 100,000
TOWLE INSTITUTIONAL PARTNERS, LP United States 805-7294607151 Hedge Fund 350,637 0

TOWLE & CO

ownership team - last updated 2018-06-12
Name Title Start Date Direct/Indirect % Ownership
HARDIN, MATTHEW, STEPHEN CHIEF COMPLIANCE OFFICER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
GREEN EAGLE CAPITAL LLC CHIEF COMPLIANCE OFFICER direct 2010-04-01
SOUTHOCEAN INVESTMENT PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2016-10-01
ALPINE PRIVATE CAPITAL, LLC CHIEF COMPLIANCE OFFICER direct 2017-01-01
OSMOSIS INVESTMENT MANAGEMENT US LLC CHIEF COMPLIANCE OFFICER direct 2016-02-01
SOUTHOCEAN CAPITAL PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2014-04-01
LAKEWATER CAPITAL LLC CHIEF COMPLIANCE OFFICER direct 2013-11-01
FOREFRONT CAPITAL ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2017-06-01
FAIRFAX GLOBAL MARKETS LLC CCO direct 2012-06-01
HAWKEYE CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2012-02-01
C2P CAPITAL ADVISORY GROUP, LLC CHIEF COMPLIANCE OFFICER direct 2015-02-01
LC ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2017-04-01
STONECASTLE CASH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2009-03-01
GC ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2009-06-01
KINGSTOWN CAPITAL MANAGEMENT L.P. CHIEF COMPLIANCE OFFICER direct 2010-07-01
PENNANTPARK INVESTMENT ADVISERS, LLC CHIEF COMPLIANCE OFFICER direct 2007-06-01
J.J.B. HILLIARD, W.L. LYONS, INC GENERAL COUNSEL direct 2004-01-01
SEMAPHORE MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2010-08-01
VALHALLA CAPITAL PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2006-05-01
STONEBRIDGE ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2006-05-01
STEWART CAPITAL ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2016-09-01
STONECASTLE ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2007-05-01
PNC INVESTMENTS LLC SECRETARY direct 2004-06-01
FOUNDATION WEALTH MANAGEMENT, LLC PRINCIPAL/CHIEF COMPLIANCE OFFICER direct 2007-01-01
FOUNDATION WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2007-01-01
PRIVATE WEALTH ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2016-10-01
ABSOLUTE CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2011-09-01
ALPINE INVESTMENT MANAGEMENT,LLC CHIEF COMPLIANCE OFFICER direct 2016-10-01
PROFIT INVESTMENT MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2014-10-01
FOXHALL CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2012-04-01
H.L. ZEVE ASSOCIATES, INC. CHIEF COMPLIANCE OFFICER direct 2008-03-01
TOWLE, CHRISTOPHER, DALY CHIEF EXECUTIVE OFFICER 07/01/2009 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
TOWLE & CO PRESIDENT direct 2009-07-01
TOWLE & CO VICE-PRESIDENT direct 1981-09-01 2008-09-22
TOWLE & CO VICE-PRESIDENT direct 1994-10-01 2009-12-11
TOWLE, JOSEPH, ELLWOOD CHAIRMAN 07/01/2009 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
TOWLE & CO CHIEF EXECUTIVE OFFICER direct 2009-07-01
TOWLE & CO PRESIDENT direct 1981-09-01 2009-12-11

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
TOWLE CAPITAL PARTNERS, LP United States 805-1820991162 Other Private Fund POOLED FUND 122,031,354 100,000

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