FIRST PRINCIPLES CAPITAL MANAGEMENT, LLC
Adviser information for FIRST PRINCIPLES CAPITAL MANAGEMENT, LLC last updated from Form ADV on April 5th, 2023. 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 | 8 |
|---|---|
| Investment Advisory/Research | 2 |
| 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 | 1 | $9.1M |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $9.1M |
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 | 1 | $9.1M |
| 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 | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesADMINISTER AND SPONSOR PRIVATE FUNDS |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-64744 |
|---|---|
| SEC ERA File Number | 801-64744 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 132466 |
| Legal Entity Identifier | None |
Principal Office
28 LIBERTY STREETFLOOR 47
NEW YORK
NY
United States
Monday - Friday, 8:00AM EST TO 5:00PM EST
Tel: 212-458-6082, Fax: None
Chief Compliance Officer
MATTHEW SLOMIENSKI
28 LIBERTY STREET
FLOOR 47
NEW YORK
NY
United States
Tel:
212-458-6082
M*****************@******M
(Full email address available in API data)
Regulatory Contact
DAVID BRIGNONI
COMPLIANCE OFFICER
28 LIBERTY STREET
FLOOR 47
NEW YORK
NY
United States
Tel:
212-770-6714
D*************@******M
(Full email address available in API data)
Industry Affiliates
| AIG ASSET MANAGEMENT (EUROPE), LTD | Other investment adviser, including financial planners |
| AIG ASSET MANAGEMENT (U.S.), LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| AIG FIRST PRINCIPLES ALTERNATIVE INCOME FUND, LLC | Private Equity Fund | $9.1M | $5.0M | 4 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| AIG CAPITAL CORPORATION | Domestic Entity | – | SOLE MEMBER | 10/2021 | > 75% |
| AMERICAN INTERNATIONAL GROUP, INC. | Domestic Entity | AIG CAPITAL CORPORATION | SHAREHOLDER | 12/2002 | > 75% |
| SLOMIENSKI, MATTHEW, KENNETH | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2020 | < 5% |
| O'Neill, Kristen | Individual | – | GENERAL COUNSEL | 09/2020 | < 5% |
| Rocha, Elaine, Ann | Individual | – | CHIEF EXECUTIVE OFFICER | 03/2023 | < 5% |
| ANDERSON, CONNIE | Individual | – | MANAGING DIRECTOR | 03/2023 | < 5% |