DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
First Trust Capital Management L.P.
Latest filing Aug 19, 2026
First filing on the tape Nov 23, 2021 · 13 filings
SEC status approved since Jan 3, 2022
RAUM
$13B
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
62
24 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
15
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$13B as of Aug 19, 2026
Mar 31, 2022$2.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Aug 19, 2026
Mar 31, 20221 then
Employees (5.A)62 as of Aug 19, 2026
Mar 31, 202227 then
Private funds15 as of Aug 19, 2026
Mar 31, 20228 then
RAUM +54% over the last fiscal year+34% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Aug 19, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $13BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $316MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 62.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +50%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisersreportedItem 5.G
- Custody
- $3.9B, 15 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$7.7B61%
- Pooled investment vehicles$4.9B39%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 40reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.9B for 15 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=1.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
25 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Ft Private Investment Platform I LLC | Private Equity Fund | $921M | 1,495 | Mar 31, 2022 |
| Ft Alternative Platform I LLC | Hedge Fund | $332M | 445 | Mar 31, 2022 |
| Ft Real Estate Platform I LLC | Real Estate Fund | $237M | 484 | Mar 27, 2020 |
| Ft Private Investment Platform I LLC - Private Equityno longer reported | Private Equity Fund | $224M | 474 | Feb 22, 2019 |
| Vcm Core Opportunities Fund LLC - Private Equityno longer reported | Private Equity Fund | $153M | 240 | Mar 31, 2017 |
| Ft Offshore I LP | Hedge Fund | $140M | 216 | Mar 31, 2022 |
| Vcm Core Opportunities Fund LLC | Private Equity Fund | $123M | 394 | Mar 31, 2022 |
| Ft Private Investment Platform I LLC - Real Estateno longer reported | Private Equity Fund | $122M | 214 | Feb 22, 2019 |
| Ft Alternative Platform I LLC - Multi-Strategyno longer reported | Hedge Fund | $92.9M | 164 | Mar 29, 2018 |
| Ft Alternative Platform I LLC - Long/Shortno longer reported | Hedge Fund | $90.1M | 200 | Mar 31, 2017 |
| Destiny Alternative Fund II LLC | Other Private Fund | $71.7M | 58 | Nov 23, 2021 |
| Ft Alternative Platform I LLC - Creditno longer reported | Hedge Fund | $63.9M | 158 | Mar 31, 2017 |
| Ft Alternative Platform I LLC - Arbitrageno longer reported | Hedge Fund | $33.3M | 106 | Mar 31, 2017 |
| Destiny Alternative Fund I LLCno longer reported | Hedge Fund | $31.0M | 95 | Oct 27, 2020 |
| Vcm Core Opportunities Fund LLC - Real Estateno longer reported | Private Equity Fund | $19.1M | 70 | Mar 31, 2017 |
| Ft Alternative Platform I LLC - Mortgagesno longer reported | Hedge Fund | $13.8M | 10 | Mar 31, 2017 |
| Highland Capital Management Institutional Fund II LLC | Hedge Fund | $11.3M | 11 | Feb 16, 2016 |
| Ft Alternative Platform I LLC - Eventno longer reported | Hedge Fund | $10.5M | 43 | Mar 31, 2017 |
| Park Shore Multi Asset Strategy Fund LLC | Other Private Fund | $8.3M | 14 | Mar 28, 2024 |
| Ft Investments I LLCno longer reported | Private Equity Fund | $3.7M | 1 | Mar 31, 2023 |
| Vcm Core Opportunities Fund LLC - Advisor Seriesno longer reported | Private Equity Fund | $829,416 | 5 | Mar 31, 2017 |
| Ft Vest Hedged Equity Enhanced Income Fund LLC | Hedge Fund | $0 | 0 | Mar 28, 2024 |
| Aaron Wealth Private Access Fund LLC | Private Equity Fund | $0 | 0 | Nov 12, 2024 |
| Destiny Target Outcome Fund 2024-1 LLC | Hedge Fund | $0 | 0 | Mar 28, 2024 |
| Cp Special Assets Fund LLC | Other Private Fund | $0 | 0 | Mar 28, 2024 |
Owners and control persons
Schedule A and B, latest filing
- D Marc Bassewitz · Chief Compliance Officer/General Counselcontrolsince 11/2021 · owns less than 5%
- Samual Chad Eisenberg · Chief Operating Officercontrolsince 11/2021 · owns less than 5%
- Yadira Guzman · Cfocontrolsince 01/2022 · owns less than 5%
- Dillon Michael Peck · Ceo/Co-Ciocontrolsince 11/2021 · owns less than 5%
- Thomas Reckley · Presidentcontrolsince 10/2024 · owns less than 5%
- Allen James Bowen · Shareholdercontrolsince 10/2010 · owns 75% or more of Ajm Ventures LLC
- Samual Chad Eisenberg · Membercontrolsince 11/2021 · owns 25% to 50% of Ftcs Gp LLC
- Dillon Michael Peck · Membercontrolsince 11/2021 · owns 25% to 50% of Vft Holdings Gp LLC
- Dillon Michael Peck · Limited Partnercontrolsince 12/2022 · owns 25% to 50% of Vft Holdings LP
- Dillon Michael Peck · Membercontrolsince 11/2021 · owns 25% to 50% of Ftcs Gp LLC
- Alan David Sternberg · Ownercontrolsince 12/2011 · owns 75% or more of Aaj Ventures Inc
- Alan David Sternberg · Managercontrolsince 11/2021 · owns F of Vft Holdings Gp LLC
Entity owners
- First Trust Capital Solutions L.P. · Limited Partnerdirect · owns 75% or more
- Ftcs Sub Gp LLC · General Partnerdirect · owns less than 5%
- Aaj Ventures Inc · Memberindirect · owns 25% to 50% of Vft Holdings Gp LLC
- Aaj Ventures Inc · Limited Partnerindirect · owns 25% to 50% of Vft Holdings LP
- Ajm Ventures LLC · Shareholderindirect · owns 75% or more of The Charger Corporation
- First Trust Capital Partners LLC · Limited Partnerindirect · owns 25% to 50% of First Trust Capital Solutions L.P.
- First Trust Capital Partners LLC · Memberindirect · owns 50% to 75% of Ftcs Gp LLC
- First Trust Capital Solutions L.P. · Memberindirect · owns 75% or more of Ftcs Sub Gp LLC
- Ftcs Gp LLC · Managerindirect · owns F of Ftcs Sub Gp LLC
- Ftcs Gp LLC · General Partnerindirect · owns F of First Trust Capital Solutions L.P.
- Grace Partners Of Dupage L.P. · Shareholderindirect · owns 75% or more of First Trust Capital Partners LLC
- The Charger Corporation · General Partnerindirect · owns F of Grace Partners Of Dupage L.P.
- Vft & Vcm Gp I LLC · General Partnerindirect · owns F of Vft Holdings II LP
- Vft Holdings Gp LLC · General Partnerindirect · owns F of Vft Holdings LP
- Vft Holdings II LP · Limited Partnerindirect · owns 25% to 50% of First Trust Capital Solutions L.P.
- Vft Holdings LP · Limited Partnerindirect · owns 75% or more of Vft Holdings II LP
- Vft Holdings LP · Memberindirect · owns 75% or more of Vft & Vcm Gp I LLC
Related persons
Schedule D 7.A
- First Trust Advisors LPinvestment adviserbanknRAUM $309B
- First Trust Direct Indexinginvestment advisernRAUM $1.4B
- First Trust Global Portfolios Ltd.investment adviserbanknRAUM $339M
- First Trust Global Portfolios Management Limitedpooled vehicle sponsorn
- First Trust Investment Solutions L.P.investment advisernRAUM $518M
- First Trust Portfolios L.P.broker-dealerpooled vehicle sponsorn
- Ftcs Offshore Fund Gp LLCpooled vehicle sponsory
- Vcm Gp LLCpooled vehicle sponsorn
- Vest Financial LLCinvestment adviserbanknRAUM $52B
- Vivaldi Capital Management LPinvestment adviserbankpooled vehicle sponsornRAUM $5.6B
Advisers that list First Trust Capital Management L.P. as a related person
Offices
Schedule D 1.F, the 25 largest
- Fort Wayne, IN1 employees
What changed
consecutive filings, newest first
- Discretionary RAUM · $11B to $12BMar 31, 2026 to Aug 19, 2026
- Pooled vehicle RAUM · $4.6B to $4.9BMar 31, 2026 to Aug 19, 2026
- RAUM · $12B to $13BMar 31, 2026 to Aug 19, 2026
- Accounts · 56 to 40Sep 12, 2025 to Mar 31, 2026
- Advisory employees · 20 to 24Sep 12, 2025 to Mar 31, 2026
- Pooled vehicle clients · 13 to 15Sep 12, 2025 to Mar 31, 2026
- Assets in custody · $2.5B to $3.9BSep 12, 2025 to Mar 31, 2026
- Employees · 53 to 62Sep 12, 2025 to Mar 31, 2026
- Insurance-licensed employees · 2 to 1Sep 12, 2025 to Mar 31, 2026
- State-registered IARs · 2 to 1Sep 12, 2025 to Mar 31, 2026
- Private funds · 13 to 15Sep 12, 2025 to Mar 31, 2026
- Discretionary RAUM · $7.8B to $11BSep 12, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $380M to $968MSep 12, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $3.0B to $4.6BSep 12, 2025 to Mar 31, 2026
- RAUM · $8.2B to $12BSep 12, 2025 to Mar 31, 2026
- Accounts · 51 to 56Jan 31, 2025 to Mar 28, 2025
- Advisory employees · 16 to 20Jan 31, 2025 to Mar 28, 2025
- BD registered reps · 0 to 1Jan 31, 2025 to Mar 28, 2025
- Pooled vehicle clients · 11 to 13Jan 31, 2025 to Mar 28, 2025
- Assets in custody · $1.8B to $2.5BJan 31, 2025 to Mar 28, 2025
- Employees · 34 to 53Jan 31, 2025 to Mar 28, 2025
- Insurance-licensed employees · 3 to 2Jan 31, 2025 to Mar 28, 2025
- Financial planning clients · unset to Jan 31, 2025 to Mar 28, 2025
- State-registered IARs · 3 to 2Jan 31, 2025 to Mar 28, 2025
- Private funds · 12 to 13Jan 31, 2025 to Mar 28, 2025
- Discretionary RAUM · $6.2B to $7.8BJan 31, 2025 to Mar 28, 2025
- Non-discretionary RAUM · $122M to $380MJan 31, 2025 to Mar 28, 2025
- Pooled vehicle RAUM · $2.3B to $3.0BJan 31, 2025 to Mar 28, 2025
- RAUM · $6.4B to $8.2BJan 31, 2025 to Mar 28, 2025
- Private funds · 11 to 12Jul 11, 2024 to Nov 12, 2024
- Advisory employees · 15 to 16Mar 31, 2023 to Mar 28, 2024
- Pooled vehicle clients · 9 to 11Mar 31, 2023 to Mar 28, 2024
- Assets in custody · $1.6B to $1.8BMar 31, 2023 to Mar 28, 2024
- Employees · 31 to 34Mar 31, 2023 to Mar 28, 2024
- Insurance-licensed employees · 1 to 3Mar 31, 2023 to Mar 28, 2024
- State-registered IARs · 1 to 3Mar 31, 2023 to Mar 28, 2024
- Private funds · 8 to 11Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $5.1B to $6.2BMar 31, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $111M to $122MMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $1.9B to $2.3BMar 31, 2023 to Mar 28, 2024
Signals
8 dated events
- First Trust Capital Management L.P. reported RAUM $12.3B, up 50% from $8.2B (2025-09-12 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- First Trust Capital Management L.P. reported RAUM $8.2B, up 29% from $6.4B (2025-01-31 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- Thomas Reckley (President) appeared on Schedule A of First Trust Capital Management L.P.Nov 12, 2024 · Control person joined · fact
- First Trust Capital Management L.P. reported RAUM $5.2B, up 90% from $2.7B (2022-09-15 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Yadira Guzman (Cfo) appeared on Schedule A of First Trust Capital Management L.P.Mar 31, 2023 · Control person joined · fact
- First Trust Capital Management L.P. reported RAUM $2.7B, up 43% from $1.9B (2021-12-03 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- First Trust Capital Management L.P. filed its initial SEC registration (Form ADV)Nov 23, 2021 · First SEC registration · fact
- First Trust Capital Management L.P. reported succeeding to the business of Another Adviser (Form ADV Item 4)Nov 23, 2021 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
- First Trust Capital Management L.P. · Independent Sponsorsshared crd · capital_provider
- First Trust Capital Management L.P. · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/first-trust-capital-managementreportedpublic record, Form ADV, Sep 17, 2026
- Website
- FirstTrustCapital.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 773.828.6700reportedpublic record, Form ADV, Aug 19, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
First Trust Capital Management L.P. is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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