Hedge Fund Database

FIRST TRUST CAPITAL MANAGEMENT L.P.

Adviser information for FIRST TRUST CAPITAL MANAGEMENT L.P. last updated from Form ADV on March 28th, 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 Partnership
Fiscal Year End DECEMBER
Legal Location Delaware, United States

Employees

Total Number of Employees 34
Investment Advisory/Research 16
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 3
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 50 $6.2B
Non-Discretionary 1 $122.0M
Total 51 $6.4B

Clients

Type Number RAUM
Individuals 0 $0
HNW Individuals 0 $0
Banking or thrift institutions 0 $0
Investment companies 11 $4.1B
Business development companies 0 $0
Pooled investment vehicles 11 $2.3B
Pension and profit sharing plans 0 $0
Charitable organizations 0 $0
State or municipal gov entities 0 $0
Other investment advisers <5 $5.0M
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 4

Services

Advisory Services Portfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)
Compensation % of AUMFixed feesPerformance-based fees
Other Business Activities Commodity pool operator or commodity trading advisorOWNS PROPRIETARY ALTERNATIVE INVESTMENT TECHNOLOGY

Identifiers

SEC RIA File Number 801-122924
SEC ERA File Number 801-122924
SEC CIK Numbers 1604488
SEC CRD Numbers 317825
Legal Entity Identifier 254900F17D83LYP3CD32

Principal Office

225 W. WACKER DRIVE
SUITE 2160
CHICAGO
IL
United States
Monday - Friday, 8:00 - 5:00
Tel: 773.828.6700, Fax: 847.386.2910

Websites

www.linkedin.com/company/first-trust-capital-management www.firsttrustcapital.com

Chief Compliance Officer

MARC BASSEWITZ
CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL
225 WEST WACKER
SUITE 2160
CHICAGO
IL
United States
Tel: 312.604.1998
Fax: 847.386.2910
(Full email address available in API data)

Regulatory Contact

CHAD EISENBERG
CHIEF OPERATING OFFICER
225 WEST WACKER
SUITE 2160
CHICAGO
IL
United States
Tel: 773.828.6700
Fax: 847.386.2910
(Full email address available in API data)

Industry Affiliates

FIRST TRUST ADVISORS LP Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
FIRST TRUST DIRECT INDEXING Other investment adviser, including financial planners
FIRST TRUST GLOBAL PORTFOLIOS LTD. Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
FIRST TRUST GLOBAL PORTFOLIOS MANAGEMENT LIMITED Sponsor, GP, manager of pooled investment vehicles
FIRST TRUST PORTFOLIOS L.P. Broker-dealer, municipal securities dealer, or gov securities broker or dealerSponsor, GP, manager of pooled investment vehicles
FTCS OFFSHORE FUND GP LLC Sponsor, GP, manager of pooled investment vehicles
VCM GP LLC Sponsor, GP, manager of pooled investment vehicles
VEST FINANCIAL LLC Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
VIVALDI CAPITAL MANAGEMENT LP Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
CP SPECIAL ASSETS FUND LLC MULTI CLASS VEHICLE WITH BOTH HEDGE FUND AND PRIVATE EQUITY CLASSES $0.0M $0.0M 0
DESTINY ALTERNATIVE FUND II LLC MULTI CLASS VEHICLE WITH BOTH HEDGE FUND AND PRIVATE EQUITY CLASSES $71.7M $0.1M 58
DESTINY TARGET OUTCOME FUND 2024-1 LLC Hedge Fund $0.0M $0.1M 0
FT ALTERNATIVE PLATFORM I LLC Hedge Fund $331.7M $0.1M 445
FT OFFSHORE I LP Hedge Fund $139.6M $0.1M 216
FT PRIVATE INVESTMENT PLATFORM I LLC Private Equity Fund $921.0M $0.1M 1495
FT REAL ESTATE PLATFORM I LLC Real Estate Fund $236.8M $0.1M 484
FT VEST HEDGED EQUITY ENHANCED INCOME FUND LLC Hedge Fund $0.0M $0.0M 0
HIGHLAND CAPITAL MANAGEMENT INSTITUTIONAL FUND II LLC Hedge Fund $11.3M $0.3M 11
PARK SHORE MULTI ASSET STRATEGY FUND LLC MULTI CLASS VEHICLE WITH BOTH HEDGE FUND AND PRIVATE EQUITY CLASSES $8.3M $0.0M 14
VCM CORE OPPORTUNITIES FUND LLC Private Equity Fund $122.6M $0.1M 394

Control Persons

Name Type Entity Title Since Ownership
PECK, MICHAEL, DILLON Individual – CEO/CO-CIO 11/2021 < 5%
EISENBERG, CHAD, SAMUAL Individual – CHIEF OPERATING OFFICER 11/2021 < 5%
BASSEWITZ, MARC, D Individual – CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL 11/2021 < 5%
FIRST TRUST CAPITAL SOLUTIONS L.P. Domestic Entity – LIMITED PARTNER 11/2021 > 75%
VFT HOLDINGS II LP Domestic Entity FIRST TRUST CAPITAL SOLUTIONS L.P. LIMITED PARTNER 11/2021 25-50%
FTCS SUB GP LLC Domestic Entity – GENERAL PARTNER 11/2021 < 5%
FTCS GP LLC Domestic Entity FIRST TRUST CAPITAL SOLUTIONS L.P. GENERAL PARTNER 11/2021
FIRST TRUST CAPITAL PARTNERS LLC Domestic Entity FIRST TRUST CAPITAL SOLUTIONS L.P. LIMITED PARTNER 11/2021 25-50%
GRACE PARTNERS OF DUPAGE L.P. Domestic Entity FIRST TRUST CAPITAL PARTNERS LLC SHAREHOLDER 08/2006 > 75%
THE CHARGER CORPORATION Domestic Entity GRACE PARTNERS OF DUPAGE L.P. GENERAL PARTNER 08/1991
AJM VENTURES LLC Domestic Entity THE CHARGER CORPORATION SHAREHOLDER 10/2010 > 75%
BOWEN, JAMES, ALLEN Individual AJM VENTURES LLC SHAREHOLDER 10/2010 > 75%
VFT HOLDINGS LP Domestic Entity VFT HOLDINGS II LP LIMITED PARTNER 11/2021 > 75%
VFT & VCM GP I LLC Domestic Entity VFT HOLDINGS II LP GENERAL PARTNER 11/2021
VFT HOLDINGS GP LLC Domestic Entity VFT HOLDINGS LP GENERAL PARTNER 11/2021
AAJ VENTURES INC Domestic Entity VFT HOLDINGS LP LIMITED PARTNER 12/2014 25-50%
STERNBERG, DAVID, ALAN Individual AAJ VENTURES INC OWNER 12/2011 > 75%
AAJ VENTURES INC Domestic Entity VFT HOLDINGS GP LLC MEMBER 11/2021 25-50%
STERNBERG, DAVID, ALAN Individual VFT HOLDINGS GP LLC MANAGER 11/2021
PECK, MICHAEL, DILLON Individual VFT HOLDINGS GP LLC MEMBER 11/2021 25-50%
Guzman, Yadira Individual – CFO 01/2022 < 5%
PECK, MICHAEL, DILLON Individual VFT HOLDINGS LP LIMITED PARTNER 12/2022 25-50%
FIRST TRUST CAPITAL SOLUTIONS L.P. Domestic Entity FTCS SUB GP LLC MEMBER 11/2021 > 75%
EISENBERG, CHAD, SAMUAL Individual FTCS GP LLC MEMBER 11/2021 25-50%
PECK, MICHAEL, DILLON Individual FTCS GP LLC MEMBER 11/2021 25-50%
FIRST TRUST CAPITAL PARTNERS LLC Domestic Entity FTCS GP LLC MEMBER 11/2021 50-75%
FTCS GP LLC Domestic Entity FTCS SUB GP LLC MANAGER 11/2021
VFT HOLDINGS LP Domestic Entity VFT & VCM GP I LLC MEMBER 11/2021 > 75%

No. Employees, Historic

402002021202220232024202523 on 11/23/202123 on 12/3/202127 on 3/31/202227 on 9/15/202231 on 3/31/202334 on 3/28/2024

RAUM, Historic

7B4B0202120222023202420251919622474 on 11/23/20211919622474 on 12/3/20212743981692 on 3/31/20222743981692 on 9/15/20225221381701 on 3/31/20236362876820 on 3/28/2024

No. Clients, Historic

301502021202220232024202513 on 11/23/202113 on 12/3/202114 on 3/31/202214 on 9/15/202219 on 3/31/202322 on 3/28/2024

Holdings

From latest 13F, filed August 14th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
EQUITRANS MIDSTREAM CORP Equity 38M 3M –
CHURCHILL CAPITAL CORP VII Equity 28M 3M –
RIGEL RESOURCE ACQ CORP Equity 28M 3M –
POWERSCHOOL HOLDINGS INC Equity 45M 2M –
SPRING VALLEY ACQUISTN CORP Equity 22M 2M –
ARES ACQUISITION CORP II Equity 20M 2M –
U S SILICA HLDGS INC Equity 26M 2M –
NABORS ENERGY TRANSITION COR Equity 17M 2M –
CARTESIAN GROWTH CORP II Equity 18M 2M –
OVERSEAS SHIPHOLDING GROUP I Equity 13M 2M –
ENDEAVOR GROUP HLDGS INC Equity 40M 1M –
INVESTCORP INDIA ACQUISTN CO Equity 17M 1M –
KEEN VISION ACQUISITION CORP Equity 15M 1M –
HASHICORP INC Equity 43M 1M –
INFLECTION PT ACQUISITN CRP Equity 13M 1M –
AP ACQUISITION CORP Equity 13M 1M –
PROJECT ENERGY REIMAGINED AC Equity 12M 1M –
HAYMAKER ACQUISITION CORP IV Equity 11M 1M –
NUVEI CORPORATION Equity 33M 1M –
PATRIA LATIN AMRCN OPPRNTY A Equity 11M 970K –
ISRAEL ACQUISITIONS CORP Equity 10M 950K –
PALMER SQUARE CAPITAL BDC IN Equity 15M 912K –
PYROPHYTE ACQUISITION CORP Equity 10M 890K –
MELAR ACQUISITION CORP. I Equity 9M 874K –
LEARN CW INVESTMENT COR Equity 9M 840K –
ASSETMARK FINL HLDGS INC Equity 28M 820K –
ALPHA STAR ACQUISITION CORP Equity 9M 769K –
MOUNTAIN & CO I ACQUISITN CO Equity 8M 710K –
INFINT ACQUISITION CORP Equity 8M 693K –
AIMEI HEALTH TECHNOLOGY CO L Equity 7M 680K –
BLACK HAWK ACQUISITION CORP Equity 7M 670K –
SILK RD MED INC Equity 17M 645K –
AVANGRID INC Equity 22M 631K –
BOWEN ACQUISITION CORP Equity 7M 621K –
DT CLOUD ACQUISITION CORP Equity 6M 621K –
EVE MOBILITY ACQUISITION COR Equity 7M 609K –
MARATHON OIL CORP Equity 17M 607K –
COMPASS DIGITAL ACQUISITN CO Equity 6M 579K –
OAK WOODS ACQUISITION CORP Equity 6M 570K –
BAYVIEW ACQUISITION CORP Equity 6M 565K –
ALPHAVEST ACQUISITION CORP Equity 6M 557K –
COLOMBIER ACQUISITION CORP I Equity 6M 555K –
APX ACQUISITION CORP I Equity 6M 554K –
WALKME LTD Equity 8M 550K –
GLOBAL LIGHTS ACQUISITION CO Equity 6M 550K –
AI TRANSN ACQUISITION CORP Equity 6M 540K –
BUKIT JALIL GBL ACQUISITION Equity 6M 535K –
BURTECH ACQUISITION CORP Equity 6M 530K –
HORIZON SPACE ACQUSTN I CORP Equity 6M 527K –
JVSPAC ACQUISITION CORP Equity 5M 518K –
INVESTCORP EUROPE ACQUISITIO Equity 6M 506K –
CHENGHE ACQUISITION II CO Equity 5M 500K –
ENCORE WIRE CORP Equity 142M 490K –
EMBRACE CHANGE ACQUISITN COR Equity 5M 461K –
ALCHEMY INVTS ACQUISITN CORP Equity 5M 450K –
KENSINGTON CAPITAL ACQUISITI Equity 5M 448K –
INTEGRATED WELLNESS ACQ CORP Equity 5M 430K –
ALPHATIME ACQUISITION CORP Equity 5M 427K –
COLISEUM ACQUISITION CORP Equity 5M 424K –
WESTROCK CO Equity 21M 420K –
EVERGREEN CORPORATION Equity 5M 420K –
FINNOVATE ACQUISITION CORP Equity 5M 410K –
99 ACQUISITION GROUP INC Equity 4M 400K –
PERFICIENT INC Equity 28M 376K –
CHENGHE ACQUISITION I CO Equity 4M 367K –
SLAM CORP Equity 4M 367K –
BLUE OCEAN ACQUISITION CORP Equity 4M 344K –
IX ACQUISITION CORP Equity 4M 334K –
BATTERY FUTURE ACQUISITION C Equity 4M 331K –
CF ACQUISITION CORP VII Equity 4M 329K –
TLGY ACQUISITION CORPORATION Equity 3M 303K –
LIONHEART HOLDINGS Equity 3M 300K –
AGRICULTURE & NAT SOL ACQ CO Equity 3M 298K –
SPARK I ACQUISITION CORP Equity 3M 291K –
BLUE WORLD ACQUISITION CORP Equity 3M 276K –
LEGATO MERGER CORP III Equity 3M 254K –
CARTICA ACQUISITION CORP Equity 3M 243K –
CEREVEL THERAPEUTICS HLDNG I Equity 9M 226K –
SDCL EDGE ACQUISITION CORP Equity 2M 207K –
HIBBETT INC Equity 18M 206K –
TMT ACQUISITION CORP Equity 2M 151K –
SWIFTMERGE ACQUISITION CORP Equity 2M 145K –
STERICYCLE INC Equity 7M 127K –
CACTUS ACQUISITION CORP 1 LT Equity 1M 113K –
BYNORDIC ACQUISITION CORP Equity 1M 96K –
VIZIO HLDG CORP Equity 1M 94K FIRST TRUST ADVISORS LP
ALBERTSONS COS INC Equity 2M 86K FIRST TRUST ADVISORS LP
EQUITRANS MIDSTREAM CORP Equity 971K 75K FIRST TRUST ADVISORS LP
METAL SKY STAR ACQUISITION C Equity 721K 64K –
ENDEAVOR GROUP HLDGS INC Equity 2M 59K FIRST TRUST ADVISORS LP
TARGET GLOBAL ACQUISI I CORP Equity 665K 58K –
NUVEI CORPORATION Equity 1M 43K FIRST TRUST ADVISORS LP
HASHICORP INC Equity 1M 37K FIRST TRUST ADVISORS LP
ASSETMARK FINL HLDGS INC Equity 1M 36K FIRST TRUST ADVISORS LP
UNITED STATES STL CORP NEW Equity 1M 33K FIRST TRUST ADVISORS LP
JUNIPER NETWORKS INC Equity 1M 33K FIRST TRUST ADVISORS LP
CHAMPIONX CORPORATION Equity 975K 29K FIRST TRUST ADVISORS LP
HEARTLAND FINL USA INC Equity 1M 27K FIRST TRUST ADVISORS LP
CEREVEL THERAPEUTICS HLDNG I Equity 1M 25K FIRST TRUST ADVISORS LP
AXONICS INC Equity 1M 21K FIRST TRUST ADVISORS LP
CATALENT INC Equity 1M 18K FIRST TRUST ADVISORS LP
AMEDISYS INC Equity 2M 17K FIRST TRUST ADVISORS LP
CAPRI HOLDINGS LIMITED Equity 473K 14K FIRST TRUST ADVISORS LP
ENERGY TRANSFER L P Equity 450K 28K –
PERFICIENT INC Equity 876K 12K FIRST TRUST ADVISORS LP
PLAINS ALL AMERN PIPELINE L Equity 454K 26K –
AMEDISYS INC Equity 588K 6K –
ALBERTSONS COS INC Equity 52K 3K –
AXONICS INC Equity 42K 623 –
UNITED STATES STL CORP NEW Equity 37K 986 –
JUNIPER NETWORKS INC Equity 36K 992 –
ANSYS INC Equity 35K 110 –
DISCOVER FINL SVCS Equity 34K 259 –
HESS CORP Equity 32K 216 –
NATIONAL WESTN LIFE GROUP IN Equity 32K 64 –
CATALENT INC Equity 32K 561 –
VIZIO HLDG CORP Equity 31K 3K –
CAPRI HOLDINGS LIMITED Equity 23K 690 –
FIRST TR EXCH TRADED FD III Equity 385K 22K –