FIRST TRUST CAPITAL MANAGEMENT L.P.
Latest filing: Mar 28, 2025 (96 days ago)
AUM
$8,204,849,779
29% change vs. 1 year ago
199% change vs. 3 years ago
0% change vs. 5 years ago
0% change vs. 10 years ago
Employee Count
53
56% change vs. 1 year ago
96% change vs. 3 years ago
0% change vs. 5 years ago
0% change vs. 10 years ago
Main Office
CHICAGO, IL
225 W. WACKER DRIVE, CHICAGO, IL, UNITED STATES, 60606
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $7.8 |
| Non-Discretionary | $0.4 |
| Total | $8.2 |
| Client | AUM |
|---|---|
| Retail | $0.0 |
| Pooled | $8.2 |
| Institutional | $0.0 |
| Total | $8.2 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 0 | $0.0 |
| Average Individual AUM | $0 | |
| HNW | 0 | $0.0 |
| Average HNW AUM | $0 | |
| Retail Total | 0 | $0.0 |
| Average Retail AUM | $0 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| NATIONAL FINANCIAL SERVICES LLC | BOSTON-MA-USA | $0.0 |
| CHARLES SCHWAB & CO., INC. | WESTLAKE-TX-USA | $0.0 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $0.0 |
| Retail SMA AUM | $0.0 |
| Institutional SMA AUM | $0.0 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 6% | $0.0 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 0% | $0.0 |
| Municipal | 22% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 43% | $0.0 |
| Other Pools | 0% | $0.0 |
| Cash | 29% | $0.0 |
| Other | 0% | $0.0 |
| Total | 100% | $0.0 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| FIRST TRUST ADVISORS LP | $256.3 | 107027 | |
| VEST FINANCIAL LLC | $39.3 | 165976 | |
| VIVALDI CAPITAL MANAGEMENT LP | $4.6 | 160150 | |
| FIRST TRUST DIRECT INDEXING L.P. | $1.4 | 297760 | |
| FIRST TRUST GLOBAL PORTFOLIOS LIMITED | $0.2 | 169173 | |
| FIRST TRUST GLOBAL PORTFOLIOS MANAGEMENT LIMITED | $0.0 | - | |
| FTCS OFFSHORE FUND GP LLC | $0.0 | - | |
| FIRST TRUST PORTFOLIOS L.P. | $0.0 | broker-dealer | 28519 |
| VCM GP LLC | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
28 active
| Name | Title |
|---|---|
| PECK, MICHAEL, DILLON | CEO/CO-CIO, MEMBER, LIMITED PARTNER, MEMBER |
| EISENBERG, CHAD, SAMUAL | CHIEF OPERATING OFFICER, MEMBER |
| BASSEWITZ, MARC, D | CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL |
| BOWEN, JAMES, ALLEN | SHAREHOLDER |
| STERNBERG, DAVID, ALAN | OWNER, MANAGER |
| GUZMAN, YADIRA | CFO |
ADVDB.CO • SOURCE: SEC
Representatives
| No representatives found with matching CRD |
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-06-02 | $8.2 | $0.0 | 0% | 53 | 0 | 0% |
| 2025-04-21 | $8.2 | $0.0 | 0% | 53 | 0 | 0% |
| 2024-04-02 | $6.4 | $1.8 | 29% | 34 | 19 | 56% |
| 2023-04-04 | $5.2 | $3.0 | 57% | 31 | 22 | 71% |
| 2022-04-01 | $2.7 | $5.5 | 199% | 27 | 26 | 96% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| IL, CO-01/03/2022, IL-12/28/2021, IN-01/03/2022 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT (RIC) PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) MANAGER SELECTION |
| OTHER ACTIVITIES |
|
COMMODITY TRADING ADVISOR |
ADVDB.CO • SOURCE: SEC FORM ADV