Investment adviser · CRD 132466
FIRST PRINCIPLES CAPITAL MANAGEMENT, LLC
Investment adviser filing (IA)
NEW YORK, NY, United States · Form ADV filed Apr 5, 2023
- Regulatory AUM
- $9.09M Form ADV · Item 5.F
- Client accounts
- 1 Accounts, not individual clients
- Employees
- 8 Reported in this filing
- Advisory professionals
- 2 Investment advisory functions
Who they report serving
Form ADV · Item 5.DClient types and their share of reported regulatory assets.
| Client type | Clients | Regulatory assets | Share of AUM |
|---|---|---|---|
| Pooled investment vehicles | 1 | $9,094,947 | 100.0% |
Filing source
Form ADV 1745882 · Apr 5, 2023 · Item 5.D
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.
Private funds & service providers
9 Private fundsThe count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.
AIG FIRST PRINCIPLES ALTERNATIVE INCOME FUND, LLCPrivate Equity Fund · Last reported Apr 5, 2023$9.09MGross asset value
Provider details
- Annual audit
- Yes
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- No
- External marketing
- No
SAX LLP
PCAOB 3849
Fund details & source
- Fund ID
- 805-4993565174
- Reported beneficial owners
- 4
- Minimum commitment
- $5M
Form ADV 1745882 · Apr 5, 2023 · Schedule D 7.B.(1)
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.
LIBERTY MAIDEN FUNDING LTDOther Private Fund · Last reported Jan 15, 2019$420MGross asset value
Provider details
- Annual audit
- No
- Prime brokers
- Yes
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- No
RBC CAPITAL MARKETS, LLC
SEC 8-45411
RBC CAPITAL MARKETS, LLC
CRD 31194 · SEC 8-45411
Fund details & source
- Fund ID
- 805-7659327796
- Reported beneficial owners
- 1
- Minimum commitment
- $100M
Form ADV 1264817 · Jan 15, 2019 · Schedule D 7.B.(1)
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.
FPCM INFLATION-LINKED OPPORTUNITIES FUND - AOther Private Fund · Last reported Mar 31, 2022$290MGross asset value
Provider details
- Annual audit
- Yes
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- No
MARCUM LLP
PCAOB 688
Fund details & source
- Fund ID
- 805-5669729581
- Reported beneficial owners
- 1
- Minimum commitment
- $100M
Form ADV 1628041 · Mar 31, 2022 · Schedule D 7.B.(1)
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.
FPCM INFLATION-LINKED OPPORTUNITIES FUND - BHedge Fund · Last reported Dec 17, 2020$92.1MGross asset value
Provider details
- Annual audit
- Yes
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- No
MARCUM LLP
PCAOB 688
Fund details & source
- Fund ID
- 805-8873508939
- Reported beneficial owners
- 1
- Minimum commitment
- $100M
Form ADV 1475301 · Dec 17, 2020 · Schedule D 7.B.(1)
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.
FPCM TREASURY FUND I LIMITEDOther Private Fund · Last reported Mar 27, 2013$78.9MGross asset value
Form D fundraising filings
FIRST PRINCIPLES TREASURY FUND I LTD
Provider details
- Annual audit
- Yes
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- No
Fund details & source
- Fund ID
- 805-9224499547
- Reported beneficial owners
- 1
- Minimum commitment
- $50M
- Form D file number
- 021-115865
Form ADV 716793 · Mar 27, 2013 · Schedule D 7.B.(1)
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.
FPCM INVESTMENTS, LLCOther Private Fund · Last reported Mar 31, 2017$61.3MGross asset value
Provider details
- Annual audit
- No
- Prime brokers
- Yes
- Custodians
- Yes
- Administrator other than the adviser
- No
- External marketing
- No
RBC CAPITAL MARKETS, LLC
SEC 8-45411
RBC CAPITAL MARKETS, LLC
CRD 31194 · SEC 8-45411
Fund details & source
- Fund ID
- 805-1435338705
- Reported beneficial owners
- 1
- Minimum commitment
- $100M
Form ADV 1088308 · Mar 31, 2017 · Schedule D 7.B.(1)
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.
CATENA CAPITAL LLCPrivate Equity Fund · Last reported Mar 31, 2022$28.4MGross asset value
Provider details
- Annual audit
- Yes
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- No
- External marketing
- No
MARCUM LLP
PCAOB 688
Fund details & source
- Fund ID
- 805-2020879937
- Reported beneficial owners
- 46
- Minimum commitment
- $500K
- Form D file number
- 021-63419
Form ADV 1628041 · Mar 31, 2022 · Schedule D 7.B.(1)
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.
Services & filing details
Most recent filing: Apr 5, 2023. View historical filings
Reported services
Pooled investment vehicle management
Compensation
Percentage of assets
Principal office
28 LIBERTY STREET, FLOOR 47NEW YORK, NY, 10005, United States
CRD 132466
Filing source
Form ADV 1745882 · Apr 5, 2023 · Items 1 & 5
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.