CALTIUS CAPITAL MANAGEMENT, LP
Adviser information for CALTIUS CAPITAL MANAGEMENT, LP 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 | 20 |
|---|---|
| Investment Advisory/Research | 16 |
| 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 | 16 | $999.5M |
| Non-Discretionary | 0 | $0 |
| Total | 16 | $999.5M |
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 | 16 | $999.5M |
| 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 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-73869 |
|---|---|
| SEC ERA File Number | 801-73869 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 157007 |
| Legal Entity Identifier | None |
Principal Office
11766 WILSHIRE BLVDSUITE 850
LOS ANGELES
CA
United States
Monday - Friday, 8:30 AM - 5:00 PM
Tel: 310-996-9585, Fax: 310-996-9577
Chief Compliance Officer
ERIC WAUTHY
CHIEF FINANCIAL OFFICER
11766 WILSHIRE BLVD., SUITE 850
LOS ANGELES
CA
United States
Tel:
310-806-4562
Fax:
310-996-9577
E******@**********M
(Full email address available in API data)
Regulatory Contact
JAMES UPCHURCH
PRESIDENT
11766 WILSHIRE BLVD., SUITE 850
LOS ANGELES
CA
United States
Tel:
(310) 871-3083
Fax:
310-996-9577
J********@**********M
(Full email address available in API data)
Industry Affiliates
| CALTIUS GPE III, LP | Sponsor, GP, manager of pooled investment vehicles |
| CALTIUS GPE IV, LP | Sponsor, GP, manager of pooled investment vehicles |
| CALTIUS PARTNERS V (SBIC) GP, LP | Sponsor, GP, manager of pooled investment vehicles |
| CEP II, LP | Sponsor, GP, manager of pooled investment vehicles |
| CP III. LP | Sponsor, GP, manager of pooled investment vehicles |
| CP IV, LP | Sponsor, GP, manager of pooled investment vehicles |
| GPM V, LP | Sponsor, GP, manager of pooled investment vehicles |
| GPM VI (SBIC), LP | Sponsor, GP, manager of pooled investment vehicles |
| GPM VI, LP | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| CALTIUS EQUITY PARTNERS EXECUTIVE II, LP | Private Equity Fund | $0.6M | $0.1M | 25 |
| CALTIUS EQUITY PARTNERS EXECUTIVE III, LP | Private Equity Fund | $7.2M | $0.1M | 46 |
| CALTIUS EQUITY PARTNERS EXECUTIVE IV, LP | Private Equity Fund | $22.3M | $0.1M | 50 |
| CALTIUS EQUITY PARTNERS II, LP | Private Equity Fund | $21.2M | $5.0M | 29 |
| CALTIUS EQUITY PARTNERS III, LP | Private Equity Fund | $115.1M | $5.0M | 29 |
| CALTIUS EQUITY PARTNERS IV, LP | Private Equity Fund | $43.1M | $5.0M | 7 |
| CALTIUS PARTNERS EXECUTIVE III, LP | Private Equity Fund | $0.3M | $0.1M | 20 |
| CALTIUS PARTNERS EXECUTIVE IV, LP | Private Equity Fund | $1.2M | $0.1M | 26 |
| CALTIUS PARTNERS EXECUTIVE V, LP | Private Equity Fund | $3.3M | $0.1M | 26 |
| CALTIUS PARTNERS III, LP | Private Equity Fund | $33.1M | $5.0M | 51 |
| CALTIUS PARTNERS IV, LP | Private Equity Fund | $137.3M | $5.0M | 45 |
| CALTIUS PARTNERS V (SBIC), LP | Private Equity Fund | $241.9M | $2.5M | 33 |
| CALTIUS PARTNERS V-A, LP | Private Equity Fund | $25.1M | $5.0M | 4 |
| CALTIUS PARTNERS V, LP | Private Equity Fund | $68.9M | $5.0M | 8 |
| CALTIUS PARTNERS VI (SBIC), LP | Private Equity Fund | $202.3M | $2.5M | 56 |
| CALTIUS PARTNERS VI, LP | Private Equity Fund | $76.7M | $5.0M | 4 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| UPCHURCH, JAMES, BRIAN | Individual | – | PRESIDENT, CALTIUS CAPITAL MANAGEMENT, LP | 06/1997 | > 75% |
| KANE, MICHAEL, ADAM | Individual | – | MANAGING DIRECTOR, CALTIUS CAPITAL MANAGEMENT, LP | 08/1997 | 10-25% |
| HOWORTH, GREGORY, JAMES | Individual | – | MANAGING DIRECTOR, CALTIUS CAPITAL MANAGEMENT, LP | 06/1997 | < 5% |
| AHN, GARRICK, NMN | Individual | – | MANAGING DIRECTOR, CALTIUS CAPITAL MANAGEMENT, LP | 02/1999 | < 5% |
| MORGAN, MICHAEL, JOSEPH | Individual | – | MANAGING DIRECTOR, CALTIUS CAPITAL MANAGEMENT, LP | 04/1999 | < 5% |
| CALTIUS CAPITAL MANAGEMENT, LLC | Domestic Entity | – | GENERAL PARTNER, CALTIUS CAPITAL MANAGEMENT, LP | 06/1997 | < 5% |
| UPCHURCH, JAMES, BRIAN | Individual | CALTIUS CAPITAL MANAGEMENT, LLC | MANAGER | 06/1997 | > 75% |
| FREDERICK, ALISA, GAIE | Individual | – | MANAGING DIRECTOR, CALTIUS CAPITAL MANAGEMENT, LP | 09/2008 | < 5% |
| JEFFREY, HOLDSBERG, CARL | Individual | – | MANAGING DIRECTOR, CALTIUS CAPITAL MANAGEMENT, LP | 09/2008 | < 5% |
| WAUTHY, ERIC, CARL | Individual | – | CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER, CALTIUS CAPITAL MANAGEMENT, LP | 10/2020 | < 5% |