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Private equityFirmprivate credit · probablelower middle market

First Principles Capital Management, LLC

Private Equity

New York, NY

This is the graph view. The full profile, with its team, deals and sources, is on Private Equity.Open the full profile →

Search this name across graphsid dfx:pe:9d790a1f-ee88-4111-adca-1a133be53340

Data as of Sep 17, 2026 (this record's last observation) from federal regulator filings, firm and issuer disclosures. Page built Sep 21, 2026, 5:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 25
Dated events: 30
On other graphs: 1
Observed: Sep 13, 2026 to Sep 17, 2026
20 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

RIA / Wealth Managementidentity

FIRST PRINCIPLES CAPITAL MANAGEMENT, LLC

Registered adviser · shared crd

Private Creditcandidate

First Principles Capital Management, LLC

Credit provider · carried

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Funds: 3
PE funds: 3
Vintages: 2013 to 2018
Regulatory AUM: $9.1M
Investments: 0
Active investments: 0
Size band: LOWER MIDDLE MARKETderivedproxy: $0.01bn Private Equity Fund GAV on the Form ADV filed 2023-04-05
Latest ADV filing: Apr 5, 2023
Employees (ADV): 8
Website: fpcmllc.com

Funds

Fund	Vintage	Lifecycle	ADV type	Form D sold	GAV
First Principles Structured Income Fund II, LLC	2018	Harvest	Private Equity Fund	n/a	$9.1M
First Principles Structured Income Fund, LLC	2013	Wound down	Private Equity Fund	n/a	$16.2M
Catena Capital LLC	n/a	Wound down	Private Equity Fund	n/a	$28.4M

Relationships

Firm member (1)

→ Corebridge Institutional Investments (U.S.)Firmadviser
factDFX's own graph

Employs (18)

→ Connie AndersonPersonManaging Director
Mar 1, 2023 to presentfactForm ADV
→ Matthew Kenneth SlomienskiPersonChief Compliance Officer
Oct 1, 2020 to presentfactForm ADV
→ Kristen O'NeillPersonGeneral Counsel
Sep 1, 2020 to presentfactForm ADV
→ Elaine Ann RochaPersonChief Executive Officer
Mar 1, 2023 to presentfactForm ADV
→ Richard Francis DolanPersonChief Executive Officer
Sep 1, 2015 to Mar 29, 2018inferenceForm ADV
→ Stephen Roderick MillerPersonChief Risk Officer
Sep 1, 2015 to Mar 30, 2020inferenceForm ADV
→ Michael J BaekPersonChief Operating Officer
Mar 1, 2018 to Mar 30, 2020inferenceForm ADV
→ Douglas Adam DachillePersonChief Executive Officer/Chairman
Jan 1, 2004 to Sep 29, 2015inferenceForm ADV
→ Mark Gus AlexandridisPersonChief Investment Officer
Sep 1, 2015 to Mar 31, 2022inferenceForm ADV
→ John George PanagakisPersonChief Executive Officer
Oct 1, 2019 to Apr 5, 2023inferenceForm ADV
→ Jeanine M StampflPersonChief Financial Officer
Mar 1, 2020 to Apr 5, 2023inferenceForm ADV
→ David Philip BrignoniPersonChief Compliance Officer
Mar 1, 2019 to Oct 14, 2020inferenceForm ADV
→ James H VaneppsPersonChief Operating Officer/Member
Jan 1, 2004 to Sep 29, 2015inferenceForm ADV
→ Hong ChenPersonDirector Of Research/Member
Oct 1, 2005 to Sep 29, 2015inferenceForm ADV
→ Mark Frederic LiebermanPersonManaging Director/Member
Oct 1, 2005 to Sep 29, 2015inferenceForm ADV
→ Robert Richard LewisPersonManaging Director/Member
Oct 1, 2005 to Sep 29, 2015inferenceForm ADV
→ David Chiching HoPersonManaging Director/Member
Jul 1, 2008 to Sep 29, 2015inferenceForm ADV
→ S.prasad KadiyalaPersonManaging Director/Member
Feb 1, 2012 to Sep 29, 2015inferenceForm ADV

Manages (3)

→ Catena Capital LLCFundPrivate Equity Fund
Apr 2, 2012 to presentfactForm ADV
→ First Principles Structured Income Fund, LLCFundPrivate Equity Fund
Mar 27, 2013 to presentfactForm ADV
→ First Principles Structured Income Fund II, LLCFundPrivate Equity Fund
Mar 29, 2018 to presentfactForm ADV

Owns (2)

← American International Group, Inc.FirmShareholder
Dec 1, 2002 to presentfactForm ADV
← AIG Capital CorporationFirmSole Member
Oct 1, 2021 to presentfactForm ADV

Dated events

6 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Apr 5, 2023
Person left
John George Panagakis (Chief Executive Officer) no longer on Schedule A of First Principles Capital Management, LLC
Form ADVobserved 7 days ago
Occurred
Apr 5, 2023
Person left
Jeanine M Stampfl (Chief Financial Officer) no longer on Schedule A of First Principles Capital Management, LLC
Form ADVobserved 7 days ago
Occurred
Mar 1, 2023
Person joined
Connie Anderson joined Schedule A of First Principles Capital Management, LLC as Managing Director
Form ADVobserved 7 days ago
Occurred
Mar 1, 2023
Person joined
Elaine Ann Rocha joined Schedule A of First Principles Capital Management, LLC as Chief Executive Officer
Form ADVobserved 7 days ago
Occurred
Mar 31, 2022
Person left
Mark Gus Alexandridis (Chief Investment Officer) no longer on Schedule A of First Principles Capital Management, LLC
Form ADVobserved 7 days ago
Occurred
Oct 14, 2020
Person left
David Philip Brignoni (Chief Compliance Officer) no longer on Schedule A of First Principles Capital Management, LLC
Form ADVobserved 7 days ago
Occurred
Oct 1, 2020
Person joined
Matthew Kenneth Slomienski joined Schedule A of First Principles Capital Management, LLC as Chief Compliance Officer
Form ADVobserved 7 days ago
Occurred
Sep 1, 2020
Person joined
Kristen O'Neill joined Schedule A of First Principles Capital Management, LLC as General Counsel
Form ADVobserved 7 days ago
Occurred
Mar 30, 2020
Person left
Stephen Roderick Miller (Chief Risk Officer) no longer on Schedule A of First Principles Capital Management, LLC
Form ADVobserved 7 days ago
Occurred
Mar 30, 2020
Person left
Michael J Baek (Chief Operating Officer) no longer on Schedule A of First Principles Capital Management, LLC
Form ADVobserved 7 days ago
Occurred
Mar 1, 2020
Person joined
Jeanine M Stampfl joined Schedule A of First Principles Capital Management, LLC as Chief Financial Officer
Form ADVobserved 7 days ago
Occurred
Oct 1, 2019
Person joined
John George Panagakis joined Schedule A of First Principles Capital Management, LLC as Chief Executive Officer
Form ADVobserved 7 days ago
Occurred
Mar 1, 2019
Person joined
David Philip Brignoni joined Schedule A of First Principles Capital Management, LLC as Chief Compliance Officer
Form ADVobserved 7 days ago
Occurred
Mar 29, 2018
Person left
Richard Francis Dolan (Chief Executive Officer) no longer on Schedule A of First Principles Capital Management, LLC
Form ADVobserved 7 days ago
Occurred
Mar 1, 2018
Person joined
Michael J Baek joined Schedule A of First Principles Capital Management, LLC as Chief Operating Officer
Form ADVobserved 7 days ago
Occurred
Sep 29, 2015
Person left
S.prasad Kadiyala (Managing Director/Member) no longer on Schedule A of First Principles Capital Management, LLC
Form ADVobserved 7 days ago
Occurred
Sep 29, 2015
Person left
David Chiching Ho (Managing Director/Member) no longer on Schedule A of First Principles Capital Management, LLC
Form ADVobserved 7 days ago
Occurred
Sep 29, 2015
Person left
Robert Richard Lewis (Managing Director/Member) no longer on Schedule A of First Principles Capital Management, LLC
Form ADVobserved 7 days ago
Occurred
Sep 29, 2015
Person left
Mark Frederic Lieberman (Managing Director/Member) no longer on Schedule A of First Principles Capital Management, LLC
Form ADVobserved 7 days ago
Occurred
Sep 29, 2015
Person left
Hong Chen (Director Of Research/Member) no longer on Schedule A of First Principles Capital Management, LLC
Form ADVobserved 7 days ago
Occurred
Sep 29, 2015
Person left
James H Vanepps (Chief Operating Officer/Member) no longer on Schedule A of First Principles Capital Management, LLC
Form ADVobserved 7 days ago
Occurred
Sep 29, 2015
Person left
Douglas Adam Dachille (Chief Executive Officer/Chairman) no longer on Schedule A of First Principles Capital Management, LLC
Form ADVobserved 7 days ago
Occurred
Apr 2, 2012
Adviser first adv filing
First Principles Capital Management, LLC first filed Form ADV in the extract (IA)
Form ADVobserved 7 days ago
Occurred
Feb 1, 2012
Person joined
S.prasad Kadiyala joined Schedule A of First Principles Capital Management, LLC as Managing Director/Member
Form ADVobserved 7 days ago

Show 6 bookkeeping events

Occurred
Sep 1, 2026
Adviser CRD 132466 is not on the SEC registered or exempt adviser roster of 2026-09-01
Occurred
Apr 5, 2023
Fund 805-2020879937 no longer reported on Form ADV by First Principles Capital Management, LLC
Occurred
Apr 5, 2023
Fund 805-3378158926 no longer reported on Form ADV by First Principles Capital Management, LLC
Occurred
Mar 29, 2018
First Principles Structured Income Fund II, LLC first reported on Form ADV by First Principles Capital Management, LLC (Private Equity Fund), GAV $39,556,124
Occurred
Mar 27, 2013
First Principles Structured Income Fund, LLC first reported on Form ADV by First Principles Capital Management, LLC (Private Equity Fund), GAV $19,362,152
Occurred
Apr 2, 2012
Catena Capital LLC first reported on Form ADV by First Principles Capital Management, LLC (Private Equity Fund), GAV $27,906,952

Who to call

the organisation, the role and the published line, with the filing or website that published it; revealed to signed-in accounts

The firm's published line

Revealable: 1 business phone (Form ADV), 1 office address (Form ADV), 1 website (Form ADV) · as of 2026-09-13

Also named here, with no published line of their own (reach them through the firm): Connie Anderson (Managing Director), Matthew Kenneth Slomienski (Chief Compliance Officer), Kristen O'Neill (General Counsel), Elaine Ann Rocha (Chief Executive Officer).

Who to call is the organisation, the person's role and the line they published themselves: a business phone, office address, website or profile link from Form ADV, Form 13F or their own website, with that source named on every value. The counts above are what a reveal returns; a personal email is rarely published, so most reveals are the firm's line. Never data bought from a provider, never anything personal. Reveals by plan

Provenance

Graph: Private Equity
Canonical id: dfx:pe:9d790a1f-ee88-4111-adca-1a133be53340
First observed: Sep 13, 2026
Last observed: Sep 17, 2026 4 days ago
Source families: Federal regulator filings, Firm and issuer disclosures
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

First Principles Capital Management, LLC

Private Equity

New York, NY

This is the graph view. The full profile, with its team, deals and sources, is on Private Equity.Open the full profile →

Search this name across graphsid dfx:pe:9d790a1f-ee88-4111-adca-1a133be53340

Data as of Sep 17, 2026 (this record's last observation) from federal regulator filings, firm and issuer disclosures. Page built Sep 21, 2026, 5:38 PM UTC and rebuilt at most every 15 minutes.

Fund

Vintage

Lifecycle

ADV type

Form D sold

GAV

LPs

First Principles Structured Income Fund II, LLC

2018

Harvest

Private Equity Fund

n/a

$9.1M

First Principles Structured Income Fund, LLC

2013

Wound down

Private Equity Fund

n/a

$16.2M

Catena Capital LLC

n/a

Wound down

Private Equity Fund

n/a

$28.4M