FIRST TRUST CAPITAL MANAGEMENT L.P.

Available Loaders

SEC Form ADV (XLSX Metrics)

Loads advanced metrics from the monthly IAPD XLSX exports (RAUM breakdown, client mix, service flags) into the adv_metrics table.

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SEC Form ADV Part 1 (Bulk)

Loads Form ADV Part 1 bulk data from the local CSV snapshot. Includes headquarters info, aliases, control persons, and evidence links.

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Identifiers

Authority	Identifier	Display	As Of	Confidence
adv_crd	317825	317825	—	1.0
cik	0001604488	1604488	—	—
lei	254900F17D83LYP3CD32	254900F17D83LYP3CD32	—	—
sec_file_number	801-122924	801-122924	—	—

Profile

Websitehttps://www.linkedin.com/company/first-trust-capital-management

HQ CityCHICAGO

HQ StateIL

HQ CountryUnited States

AUM (USD)—

AUM As OfNone

Aliases:

FIRST TRUST INNOVATIVE TECHNOLOGIES L.P. adv_part1_schedule_d_6a

ADV Metrics

Assets & Accounts

RAUM (total)8,204,849,779.0
RAUM (discretionary)7,824,395,391.0
Actionable assets8,204,849,779.0
Accounts56.0

Institutional Clients

Government AUM—
Pension AUM—
Charitable AUM—
HNW AUM—

As of 2025-03-28 00:00:00 • Source ia09022025.xlsx

People

Name	Title	Role	Email	Evidence
AAJ VENTURES INC	MEMBER	OFFICER	—	{"filing_id": "2015752", "owner_id": null, "source": "adv_part1", "table": "Schedule_A_B"}
AJM VENTURES LLC	SHAREHOLDER	OFFICER	—	{"filing_id": "2015752", "owner_id": null, "source": "adv_part1", "table": "Schedule_A_B"}
BASSEWITZ, MARC, D	GENERAL COUNSEL	OFFICER	—	{"filing_id": "2015752", "owner_id": "5715569", "source": "adv_part1", "table": "Schedule_A_B"}
BOWEN, JAMES, ALLEN	SHAREHOLDER	OFFICER	—	{"filing_id": "2015752", "owner_id": "1123316", "source": "adv_part1", "table": "Schedule_A_B"}
EISENBERG, CHAD, SAMUAL	MEMBER	OFFICER	—	{"filing_id": "2015752", "owner_id": "6310581", "source": "adv_part1", "table": "Schedule_A_B"}
FIRST TRUST CAPITAL PARTNERS LLC	LIMITED PARTNER	OFFICER	—	{"filing_id": "2015752", "owner_id": null, "source": "adv_part1", "table": "Schedule_A_B"}
FIRST TRUST CAPITAL PARTNERS LLC	MEMBER	OFFICER	—	{"filing_id": "2015752", "owner_id": null, "source": "adv_part1", "table": "Schedule_A_B"}
FIRST TRUST CAPITAL SOLUTIONS L.P.	MEMBER	OFFICER	—	{"filing_id": "2015752", "owner_id": null, "source": "adv_part1", "table": "Schedule_A_B"}
FTCS GP LLC	MANAGER	OFFICER	—	{"filing_id": "2015752", "owner_id": null, "source": "adv_part1", "table": "Schedule_A_B"}
FTCS SUB GP LLC	GENERAL PARTNER	OFFICER	—	{"filing_id": "2015752", "owner_id": null, "source": "adv_part1", "table": "Schedule_A_B"}
GRACE PARTNERS OF DUPAGE L.P.	SHAREHOLDER	OFFICER	—	{"filing_id": "2015752", "owner_id": null, "source": "adv_part1", "table": "Schedule_A_B"}
Guzman, Yadira	CFO	OFFICER	—	{"filing_id": "2015752", "owner_id": "7710070", "source": "adv_part1", "table": "Schedule_A_B"}
KENNY, JENNIFER, YONG	CHIEF COMPLIANCE OFFICER	OFFICER	—	{"filing_id": "2015752", "owner_id": "5801464", "source": "adv_part1", "table": "Schedule_A_B"}
PECK, MICHAEL, DILLON	MEMBER	OFFICER	—	{"filing_id": "2015752", "owner_id": "6241227", "source": "adv_part1", "table": "Schedule_A_B"}
Reckley, Thomas	PRESIDENT	OFFICER	—	{"filing_id": "2015752", "owner_id": "7250907", "source": "adv_part1", "table": "Schedule_A_B"}
STERNBERG, DAVID, ALAN	MANAGER	OFFICER	—	{"filing_id": "2015752", "owner_id": "2352273", "source": "adv_part1", "table": "Schedule_A_B"}
THE CHARGER CORPORATION	GENERAL PARTNER	OFFICER	—	{"filing_id": "2015752", "owner_id": null, "source": "adv_part1", "table": "Schedule_A_B"}
VFT & VCM GP I LLC	GENERAL PARTNER	OFFICER	—	{"filing_id": "2015752", "owner_id": null, "source": "adv_part1", "table": "Schedule_A_B"}
VFT HOLDINGS GP LLC	GENERAL PARTNER	OFFICER	—	{"filing_id": "2015752", "owner_id": null, "source": "adv_part1", "table": "Schedule_A_B"}
VFT HOLDINGS II LP	LIMITED PARTNER	OFFICER	—	{"filing_id": "2015752", "owner_id": null, "source": "adv_part1", "table": "Schedule_A_B"}
VFT HOLDINGS LP	MANAGER	OFFICER	—	{"filing_id": "2015752", "owner_id": null, "source": "adv_part1", "table": "Schedule_A_B"}

Outbound Affiliations

Relation	Organization	Last Updated	Evidence
No outbound affiliations.

Inbound Affiliations

Relation	Organization	Last Updated	Evidence
No inbound affiliations.

Evidence

adv_part1

data/raw/sec_adv/raw_adv/ADV_Filing_Data_20250901_20250930/IA_ADV_Base_A_20250901_20250930.csv 2025-10-23 02:24:37 • csv
```
{
  "date_submitted": "09/12/2025 02:43:15 PM",
  "filing_id": "2015752",
  "reg_type": "IA"
}
```

Available Loaders

SEC Form ADV (XLSX Metrics)

SEC Form ADV Part 1 (Bulk)

Identifiers

Profile

ADV Metrics

Assets & Accounts

Institutional Clients

People

Outbound Affiliations

Inbound Affiliations

Evidence

adv_part1