{"url":"https://nivawealth.com/firms/first-trust-capital-management-317825","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/317825","regulatoryAum":12657989489,"crd":"317825","secFileNumber":"801-122924","legalName":"First Trust Capital Management L.P.","displayName":"First Trust Capital Management","website":"https://www.FirstTrustCapital.com","linkedinUrl":"https://www.linkedin.com/company/first-trust-capital-management","founded":null,"organization":"Delaware limited partnership","fiscalYearEnd":"December","headquarters":{"street":"225 W. Wacker Drive, Suite 2160","city":"Chicago","state":"IL","stateName":"Illinois","country":"United States","postalCode":"60606"},"tradeNames":["First Trust Alternative Investment Research","First Trust Innovative Technologies L.P. (relying Adviser)"],"registration":{"secApproved":"3 January 2022","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":62,"advisory":24,"brokerDealerReps":1,"insuranceAgents":0,"promoters":0},"aum":{"discretionary":11689580880,"discretionaryAccounts":23,"nonDiscretionary":968408609,"nonDiscretionaryAccounts":17,"wrapProgram":null,"nonUsClientsPct":3,"nonAumClients":0},"clientTypes":[{"label":"Investment companies","clients":25,"regulatoryAum":7724812789},{"label":"Pooled investment vehicles","clients":15,"regulatoryAum":4933176700}],"fees":[],"feeNotes":[],"custodians":[],"custodyNote":"First Trust Capital Management has custody of $3.89B for 15 clients.","otherCustodians":[],"leadership":[{"name":"Thomas Reckley","title":"President","crd":"7250907"},{"name":"Chad Eisenberg","title":"Chief Operating Officer","crd":"6310581"},{"name":"Charles Winek","title":"Public Funds - Chief Operating Officer","crd":"6507738"},{"name":"Jennifer Kenny","title":"Chief Compliance Officer","crd":"5801464"},{"name":"Marc Bassewitz","title":"General Counsel","crd":"5715569"},{"name":"Yadira Guzman","title":"CFO","crd":"7710070"},{"name":"Michael Peck","title":"CEO/Co-CIO","crd":"6241227"}],"ownership":[{"label":"First Trust Capital Solutions L.P.","detail":"Limited partner in the 75% or more ownership band and a control person, since November 2021. Also a member of FTCS Sub GP LLC in the 75% or more band and a control person, since November 2021."},{"label":"FTCS GP LLC","detail":"Indirect owner: general partner of First Trust Capital Solutions L.P. and a control person, since November 2021. Also manager of FTCS Sub GP LLC and a control person, since November 2021.","parent":"First Trust Capital Solutions L.P."},{"label":"First Trust Capital Partners LLC","detail":"Indirect owner: a limited partner of First Trust Capital Solutions L.P. in the 25% to 50% band and a control person, since November 2021. Also a member of FTCS GP LLC in the 50% to 75% band and a control person, since November 2021.","parent":"First Trust Capital Solutions L.P."},{"label":"VFT Holdings II LP","detail":"Indirect owner: a limited partner of First Trust Capital Solutions L.P. in the 25% to 50% band and a control person, since November 2021.","parent":"First Trust Capital Solutions L.P."},{"label":"Grace Partners of Dupage L.P.","detail":"Indirect owner: a shareholder of First Trust Capital Partners LLC in the 75% or more band and a control person, since August 2006.","parent":"First Trust Capital Partners LLC"},{"label":"The Charger Corporation","detail":"Indirect owner: general partner of Grace Partners of Dupage L.P. and a control person, since August 1991.","parent":"Grace Partners of Dupage L.P."},{"label":"Ajm Ventures LLC","detail":"Indirect owner: a shareholder of The Charger Corporation in the 75% or more band and a control person, since October 2010.","parent":"The Charger Corporation"},{"label":"James Bowen","detail":"Indirect owner: a shareholder of Ajm Ventures LLC in the 75% or more band and a control person, since October 2010.","parent":"Ajm Ventures LLC"},{"label":"VFT Holdings LP","detail":"Indirect owner: a limited partner of VFT Holdings II LP in the 75% or more band and a control person, since November 2021. Also a member of VFT & VCM GP I LLC in the 75% or more band and a control person, since November 2021. Also manager of VFT & VCM GP I LLC and a control person, since November 2021.","parent":"VFT Holdings II LP"},{"label":"VFT & VCM GP I LLC","detail":"Indirect owner: general partner of VFT Holdings II LP and a control person, since November 2021.","parent":"VFT Holdings II LP"},{"label":"VFT Holdings GP LLC","detail":"Indirect owner: general partner of VFT Holdings LP and a control person, since November 2021.","parent":"VFT Holdings LP"},{"label":"Aaj Ventures Inc","detail":"Indirect owner: a limited partner of VFT Holdings LP in the 25% to 50% band and a control person, since December 2014. Also a member of VFT Holdings GP LLC in the 25% to 50% band and a control person, since November 2021.","parent":"VFT Holdings LP"},{"label":"David Sternberg","detail":"Indirect owner: a owner of Aaj Ventures Inc in the 75% or more band and a control person, since December 2011. Also manager of VFT Holdings GP LLC and a control person, since November 2021.","parent":"Aaj Ventures Inc"},{"label":"Michael Peck","detail":"Indirect owner: a member of VFT Holdings GP LLC in the 25% to 50% band and a control person, since November 2021. Also a limited partner of VFT Holdings LP in the 25% to 50% band and a control person, since December 2022. Also a member of FTCS GP LLC in the 25% to 50% band and a control person, since November 2021.","parent":"VFT Holdings GP LLC"},{"label":"Chad Eisenberg","detail":"Indirect owner: a member of FTCS GP LLC in the 25% to 50% band and a control person, since November 2021.","parent":"FTCS GP LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"officesByState":[{"state":"Illinois","offices":1,"addresses":[{"street":"225 W. Wacker Drive, Suite 2160","city":"Chicago","headquarters":true}]},{"state":"Indiana","offices":1,"addresses":[{"street":"9602 Coldwater Road","city":"Fort Wayne"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"773-828-6700","stateRegisteredReps":1,"otherAdviserReps":1,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)","Performance-based fees"],"activities":["Portfolio management for investment companies","Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients","Selection of other advisers (including private fund managers)"],"financialPlanningClients":null,"assetMix":[],"privateFunds":15},"sources":{"adv1FilingDate":"19 August 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/317825/PDF/317825.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does First Trust Capital Management have?","answer":"First Trust Capital Management has 40 clients and manages $12.7 billion for them, as of August 2026. They include 25 investment companies and 15 pooled investment vehicles.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 19 August 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does First Trust Capital Management offer?","answer":"First Trust Capital Management provides portfolio management for investment companies, portfolio management for pooled vehicles, portfolio management for institutions and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does First Trust Capital Management have?","answer":"First Trust Capital Management has 1 investment adviser representatives registered with state securities authorities, out of 62 employees, and 24 perform investment advisory functions. 1 are registered representatives of a broker-dealer and 0 are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns First Trust Capital Management?","answer":"First Trust Capital Management is owned through a trust by James Bowen, David Sternberg, Michael Peck and Chad Eisenberg. Its direct owner is First Trust Capital Solutions L.P. (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 19 August 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does First Trust Capital Management get paid?","answer":"First Trust Capital Management is paid through a percentage of assets under management, fixed fees and performance-based fees. Its Form ADV lists no commissions among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":{"url":"https://nivawealth.com/firms/first-trust-capital-management-317825/holdings","form":"13F-HR","periodOfReport":"2026-03-31","filedOn":"2026-05-14","filingIndexUrl":"https://www.sec.gov/Archives/edgar/data/1604488/000160448826000043/0001604488-26-000043-index.html","totalValue":1903262066,"positionCount":182,"top10Share":0.42162378336394585,"top10":[{"issuer":"CHART INDS INC","titleOfClass":"Equity","cusip":"16115Q308","value":130627338,"shares":631813,"shareType":"SH"},{"issuer":"HOLOGIC INC","titleOfClass":"Equity","cusip":"436440101","value":100382689,"shares":1327989,"shareType":"SH"},{"issuer":"SEALED AIR CORP NEW","titleOfClass":"Equity","cusip":"81211K100","value":98229599,"shares":2336019,"shareType":"SH"},{"issuer":"MASIMO CORP","titleOfClass":"Equity","cusip":"574795100","value":85271412,"shares":479403,"shareType":"SH"},{"issuer":"ELECTRONIC ARTS INC","titleOfClass":"Equity","cusip":"285512109","value":82769997,"shares":405994,"shareType":"SH"},{"issuer":"TRI POINTE HOMES INC","titleOfClass":"Equity","cusip":"87265H109","value":74729308,"shares":1599172,"shareType":"SH"},{"issuer":"NATIONAL STORAGE AFFILIATES","titleOfClass":"Equity","cusip":"637870106","value":68467908,"shares":1814200,"shareType":"SH"},{"issuer":"AIR LEASE CORP","titleOfClass":"Equity","cusip":"00912X302","value":63368387,"shares":975799,"shareType":"SH"},{"issuer":"CLEARWATER ANALYTICS HLDGS I","titleOfClass":"Equity","cusip":"185123106","value":50946547,"shares":2154188,"shareType":"SH"},{"issuer":"TERNS PHARMACEUTICALS INC","titleOfClass":"Equity","cusip":"880881107","value":47667368,"shares":904161,"shareType":"SH"}],"positionsListed":182,"positions":[{"issuer":"CHART INDS INC","titleOfClass":"Equity","cusip":"16115Q308","value":130627338,"shares":631813,"shareType":"SH"},{"issuer":"HOLOGIC INC","titleOfClass":"Equity","cusip":"436440101","value":100382689,"shares":1327989,"shareType":"SH"},{"issuer":"SEALED AIR CORP NEW","titleOfClass":"Equity","cusip":"81211K100","value":98229599,"shares":2336019,"shareType":"SH"},{"issuer":"MASIMO CORP","titleOfClass":"Equity","cusip":"574795100","value":85271412,"shares":479403,"shareType":"SH"},{"issuer":"ELECTRONIC ARTS INC","titleOfClass":"Equity","cusip":"285512109","value":82769997,"shares":405994,"shareType":"SH"},{"issuer":"TRI POINTE HOMES INC","titleOfClass":"Equity","cusip":"87265H109","value":74729308,"shares":1599172,"shareType":"SH"},{"issuer":"NATIONAL STORAGE AFFILIATES","titleOfClass":"Equity","cusip":"637870106","value":68467908,"shares":1814200,"shareType":"SH"},{"issuer":"AIR LEASE CORP","titleOfClass":"Equity","cusip":"00912X302","value":63368387,"shares":975799,"shareType":"SH"},{"issuer":"CLEARWATER ANALYTICS HLDGS I","titleOfClass":"Equity","cusip":"185123106","value":50946547,"shares":2154188,"shareType":"SH"},{"issuer":"TERNS PHARMACEUTICALS INC","titleOfClass":"Equity","cusip":"880881107","value":47667368,"shares":904161,"shareType":"SH"},{"issuer":"VERIS RESIDENTIAL INC","titleOfClass":"Equity","cusip":"554489104","value":46801619,"shares":2480213,"shareType":"SH"},{"issuer":"ONESTREAM INC","titleOfClass":"Equity","cusip":"68278B107","value":44212536,"shares":1842189,"shareType":"SH"},{"issuer":"WEBSTER FINL CORP","titleOfClass":"Equity","cusip":"947890109","value":34594971,"shares":498343,"shareType":"SH"},{"issuer":"DAY ONE BIOPHARMACEUTICALS I","titleOfClass":"Equity","cusip":"23954D109","value":32074390,"shares":1496007,"shareType":"SH"},{"issuer":"CENTURION ACQUISITION CORP","titleOfClass":"Equity","cusip":"G20315100","value":29536200,"shares":2745000,"shareType":"SH"},{"issuer":"ARCELLX INC","titleOfClass":"Equity","cusip":"03940C100","value":27354143,"shares":238235,"shareType":"SH"},{"issuer":"KENNEDY-WILSON HOLDINGS INC","titleOfClass":"Equity","cusip":"489398107","value":25257873,"shares":2334369,"shareType":"SH"},{"issuer":"DRUGS MADE IN AMER ACQUTN CO","titleOfClass":"Equity","cusip":"G2847J104","value":23501400,"shares":2242500,"shareType":"SH"},{"issuer":"LIONHEART HOLDINGS","titleOfClass":"Equity","cusip":"G5501C109","value":23080200,"shares":2145000,"shareType":"SH"},{"issuer":"GP-ACT III ACQUISITION CORP","titleOfClass":"Equity","cusip":"G4035N103","value":22667275,"shares":2091077,"shareType":"SH"},{"issuer":"LAUNCH ONE ACQUISITION CORP","titleOfClass":"Equity","cusip":"G5S86M100","value":22169700,"shares":2070000,"shareType":"SH"},{"issuer":"AMICUS THERAPEUTIC","titleOfClass":"Equity","cusip":"03152W109","value":20232317,"shares":1399192,"shareType":"SH"},{"issuer":"HERITAGE COMM CORP","titleOfClass":"Equity","cusip":"426927109","value":20231503,"shares":1621114,"shareType":"SH"},{"issuer":"MELAR ACQUISITION CORP. 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Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}