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FIRST TRUST CAPITAL MANAGEMENT L.P.

CHICAGO, IL · CRD 317825 · IAPD ↗ · 773.828.6700

$12.66BRegulatory AUM
24Advisory reps
62Employees
0Clients
n/aPlanning clients
15Private funds
3States
0Disclosures
fundSegment
ApprovedSEC status

Filing changes

54
April 2026 — FIRST TRUST CAPITAL MANAGEMENT L.P. reported RAUM up 50% ($8.20B -> $12.28B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
59
April 2026 — FIRST TRUST CAPITAL MANAGEMENT L.P. grew from 20 to 24 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
50
April 2025 — FIRST TRUST CAPITAL MANAGEMENT L.P. reported RAUM up 29% ($6.36B -> $8.20B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
59
April 2025 — FIRST TRUST CAPITAL MANAGEMENT L.P. grew from 16 to 20 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.