FIRST ANALYSIS CAPITAL MANAGEMENT LLC
Adviser information for FIRST ANALYSIS CAPITAL MANAGEMENT LLC 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 Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 25 |
|---|---|
| Investment Advisory/Research | 9 |
| Registered Broker-Dealer Representatives | 25 |
| 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 | 12 | $199.5M |
| Non-Discretionary | 0 | $0 |
| Total | 12 | $199.5M |
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 | 12 | $199.5M |
| 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 | 33 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-74366 |
|---|---|
| SEC ERA File Number | 801-74366 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 161373 |
| Legal Entity Identifier | None |
Principal Office
ONE SOUTH WACKER - 39TH FLOORCHICAGO
IL
United States
Monday - Friday, 9:00 A.M. - 5:00 P.M.
Tel: 312-258-1400, Fax: None
Chief Compliance Officer
DAVID LESHUK
ONE SOUTH WACKER - 39TH FLOOR
CHICAGO
IL
United States
Tel:
312-258-7131
D******@****************M
(Full email address available in API data)
Industry Affiliates
| FIRST ANALYSIS SECURITIES CORPORATION | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| FA PRIVATE EQUITY FUND IV GMBH & CO. BETEILIGUNGS KG | Private Equity Fund | $0.4M | $3.0M | 2 |
| FA PRIVATE EQUITY FUND IV, L.P. | Private Equity Fund | $10.0M | $1.0M | 25 |
| FIRST ANALYSIS FUND XII+ (CAYMAN), L.P. | Venture Capital Fund | $7.8M | $3.0M | 2 |
| FIRST ANALYSIS FUND XII+, L.P. | Venture Capital Fund | $82.1M | $3.0M | 63 |
| FIRST ANALYSIS FUND XIV (CAYMAN), L.P. | Venture Capital Fund | $0.6M | $3.0M | 2 |
| FIRST ANALYSIS FUND XIV-A, L.P. | Venture Capital Fund | $2.8M | $3.0M | 43 |
| FIRST ANALYSIS FUND XIV, L.P. | Venture Capital Fund | $0.9M | $3.0M | 10 |
| FIRST ANALYSIS PRIVATE EQUITY FUND V-A, L.P. | Private Equity Fund | $67.5M | $1.0M | 22 |
| FIRST ANALYSIS PRIVATE EQUITY FUND V-C, L.P. | Private Equity Fund | $6.0M | $1.0M | 2 |
| FIRST ANALYSIS PRIVATE EQUITY FUND V, L.P. | Private Equity Fund | $21.4M | $1.0M | 6 |
| THE PRODUCTIVITY FUND IV ADVISORS FUND, L.P. | Private Equity Fund | $0.0M | $0.1M | 36 |
| THE PRODUCTIVITY FUND IV, L.P. | Private Equity Fund | $0.0M | $3.0M | 48 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| NICKLIN, FRANCIS, OLIVER | Individual | FIRST ANALYSIS VENTURE OPERATIONS AND RESEARCH, L.L.C. | CHAIRMAN | 02/1999 | 25-50% |
| LESHUK, DAVID, JOHN | Individual | – | CHIEF COMPLIANCE OFFICER | 11/2021 | < 5% |
| FIRST ANALYSIS VENTURE OPERATIONS AND RESEARCH, L.L.C. | Domestic Entity | – | MANAGER | 08/2023 | > 75% |