Fund Research for Tocqueville Small Cap (TSCVX)

  • Fund Overview

    Fund Inception Date: Aug 01, 1994
    Category: Small Blend
    Overall Risk: Above Average
    Fund Family: Tocqueville
    Return Since Inception: 8.70%
    YTD Return: 25.28%
    Yield (TTM): 0.09%
    Net Assets: 30.5 M
    Morningstar Rating:
    2 of 5

    The investment seeks long-term capital appreciation. The fund normally invests at least 80% of total assets in common stocks of companies located in the U.S. that have market values of less than $3 billion. It seeks to invest in companies that management has identified as out of favor or undervalued.

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    Size
    Average Market Cap $1,009 M
    Market Capitalization Portfolio
    Giant 0.00%
    Large 0.00%
    Medium 21.38%
    Small 60.10%
    Micro 18.53%
    Morningstar Rating as of 10/31/2009
    YTD Returns as of 11/23/2009    		 Style Box Detail calculations do not include the fund's short positions (if any)

  • Fund Performance

    10 year Growth Chart
    Growth of $10,000 from 12/31/1998 to 10/31/2009
    Mouseover the chart to see values for each month.

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    Total Annualized Returns

    YTD 1 year 3 year 5 year 10 year Since Inception
    Fund 25.28% 53.19% -7.54% -2.91% 5.19% 8.70%
    +/- Category -0.49% -1.03% 0.26% -3.11% -1.07% —
    +/- S&P 500 TR 1.76% 4.39% -1.64% -3.59% -0.95% —

    Standardized Annual Returns

    YTD 1 year 3 year 5 year 10 year Since Inception
    Month (as of 10/31/2009) 19.93% 11.68% -8.22% -2.12% 5.19% 8.70%
    Quarter (as of 09/30/2009) 26.95% -6.56% -4.82% -1.57% 5.49% 9.15%
    Fund and Category YTD, 1yr, 3yr and 5yr Returns as of 11/23/2009
    Index YTD,1yr, 3ys and 5yr Returns as of 11/23/2009 10 yr and Since Inception Returns as of 10/31/2009
    Inception Date: 08/01/1994
    Ratings are based on risk-adjusted performance.
    View Total Returns

  • Fund Portfolio Profile

    Sector Breakdown

    Stocks
    Information 33.12%
    Service 35.93%
    Manufacturing 30.96%

    Asset Allocation

    Short Long Net Assets
    Cash — 0.00% 0.00%
    Stocks — 100.00% 100.00%
    Bonds — 0.00% 0.00%
    Other — 0.00% 0.00%
    Foreign Stocks
    (as a % of assets)    		 — 0.00% 0.00%
    Data as of 09/30/2009 Data as of 09/30/2009 View Fund Portfolio

    Top 10 Holdings

    Sector P/E Return as of 10/31/2009 Net Assets
    - ULTRATECH INC (UTEK) Hardware 68.00 7.86% 3.98%
    - ENERGYSOLUTIONS INC (ES) Business Services 24.43 55.66% 3.85%
    - TIBCO SOFTWARE INC (TIBX) Software 24.58 71.48% 3.73%
    - ALLSCRIPT MISYS HEALTCAR SOL (MDRX) Software 84.04 100.00% 3.56%
    - HAIN CELESTIAL GROUP INC (HAIN) Consumer Goods — -7.81% 3.56%
    + WEBSENSE INC (WBSN) Telecom — 4.21% 3.52%
    + UNIT CORP (UNT) Energy — 50.60% 3.11%
    - CARBO CERAMICS INC (CRR) Energy 22.91 79.14% 3.10%
    - FAIR ISAAC CORP (FICO) Business Services 14.49 20.70% 3.08%
    - WRIGHT MED GROUP INC (WMGI) Healthcare 97.21 -16.01% 3.07%
    + Increase - Decrease = No change * New since last portfolio
    Top 10 holdings account for the fund's short positions (if any). Net short positions appear shaded.
    P/E as of 11/24/2009
    All other data as of 09/30/2009
    View Fund Portfolio

  • Sales Information

    Sales Charge %

    Initial —
    Deferred —
    Taken from prospectus dated 03/02/2009
    Expense Ratio (based on net assets) 1.35%
    Taken from annual report dated 10/31/2008

  • Fund Management

    Drew Rankin
    Start Date: 01/02/2008
    Jean-Pierre Conreur (1937) Portfolio Manager of The Tocqueville Small Cap Value Fund; BA, Lycee Chanzy 1954; Research Analyst, Smith Barney 1956-76; VP, Tucker Anthony 1976-83; VP-Foreign Department 1983-90; Tocqueville 1990-present; 46 years experience, 12 with Tocqueville
    Allen Huang
    Start Date: 01/02/2008
    Huang has nine years of investment experience including five Manager with Tocqueville. Prior to joining Tocqueville, he spent three years as an Analyst and Corporate Controller overseeing venture capital investments in broadband infrastructure entities at Lotus Pacific, Inc. He is Chartered Financial Analyst holder.
    Doug Adams
    Start Date: 01/02/2008
    Adams is managing director and co-manager. He has 30 years of investment experience and joined Tocqueville in 2004. Prior to joining Tocqueville, he spent eight years at Davenport as Director of National Research and also served as a healthcare analyst and a member of Davenport's Investment Policy Committee.