Investment adviser · CRD 152982

FIRST WESTERN CAPITAL MANAGEMENT COMPANY

Investment adviser filing (IA)

DENVER, CO, United States · Form ADV filed Aug 14, 2020

Regulatory AUM: $962M
Client accounts: 637
Employees: 9
Advisory professionals: 6

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
High-net-worth individuals	204	$294,236,357	30.6%
Investment companies	1	$232,261,529	24.1%
Retirement plans	24	$222,207,431	23.1%
Corporations & businesses	24	$139,838,562	14.5%
Individuals	129	$35,944,223	3.7%
Charities	14	$28,369,472	2.9%
Other investment advisers	Fewer than 5	$9,235,926	1.0%

Filing source

Form ADV 1449223 · Aug 14, 2020 · 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 funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

FWCM FIXED INCOMEOther Private Fund · Last reported Jun 19, 2012$39.6MGross asset value

Auditor BBD LLC PHILADELPHIA, Pennsylvania, United States

Custodian NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, United States Related to adviser: No

Prime broker NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: No
External marketing: No

NATIONAL FINANCIAL SERVICES LLC
SEC 8-26740

NATIONAL FINANCIAL SERVICES LLC
CRD 13041 · SEC 8-26740

Fund details & source

Fund ID: 805-3451950232
Reported beneficial owners: 95
Minimum commitment: $250K

Form ADV 654042 · Jun 19, 2012 · 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.

FIRST WESTERN CAPITAL MANAGEMENT CALIFORNIA TAX EXEMPT LIMITED PARTNERSHIPOther Private Fund · Last reported Mar 26, 2019$0Gross asset value

Form D fundraising filings

FIRST WESTERN CAPITAL MANAGEMENT CALIFORNIA TAX EXEMPT LIMITED PARTNERSHIP

Fund administrator MA. CORAZON MERCADO-BAUTISTA, CPA LOS ANGELES, California, United States Investor statements: No (provided to no investors) Related to adviser: No

Auditor COHEN & COMPANY LTD. CLEVELAND, Ohio, United States

Custodian NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, United States Related to adviser: No

Prime broker NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

COHEN & COMPANY LTD.
PCAOB 925

NATIONAL FINANCIAL SERVICES LLC
SEC 8-26740

NATIONAL FINANCIAL SERVICES LLC
CRD 13041 · SEC 8-26740

Fund details & source

Fund ID: 805-8421288951
Reported beneficial owners: 0
Minimum commitment: $250K
Form D file number: 021-143023

Form ADV 1290942 · Mar 26, 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.

FIRST WESTERN CAPITAL MANAGEMENT EQUITY GROWTH LIMITED PARTNERSHIPPrivate Equity Fund · Last reported Mar 26, 2019$0Gross asset value

Form D fundraising filings

FIRST WESTERN CAPITAL MANAGEMENT EQUITY GROWTH LIMITED PARTNERSHIP

Fund administrator MA. CORAZON MERCADO-BAUTISTA, CPA LOS ANGELES, California, United States Investor statements: No (provided to no investors) Related to adviser: No

Auditor COHEN & COMPANY LTD. CLEVELAND, Ohio, United States

Custodian NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, United States Related to adviser: No

Prime broker NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

COHEN & COMPANY LTD.
PCAOB 925

NATIONAL FINANCIAL SERVICES LLC
SEC 8-26740

NATIONAL FINANCIAL SERVICES LLC
CRD 13041 · SEC 8-26740

Fund details & source

Fund ID: 805-7068966109
Reported beneficial owners: 18
Minimum commitment: $250K
Form D file number: 021-143021

Form ADV 1290942 · Mar 26, 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.

FIRST WESTERN CAPITAL MANAGEMENT HIGH INCOME LIMITED PARTNERSHIPOther Private Fund · Last reported Mar 26, 2019$0Gross asset value

Form D fundraising filings

FIRST WESTERN CAPITAL MANAGEMENT HIGH INCOME LIMITED PARTNERSHIP

Fund administrator MA. CORAZON MERCADO-BAUTISTA, CPA LOS ANGELES, California, United States Investor statements: No (provided to no investors) Related to adviser: No

Auditor COHEN & COMPANY LTD. CLEVELAND, Ohio, United States

Custodian NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, United States Related to adviser: No

Prime broker NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

COHEN & COMPANY LTD.
PCAOB 925

NATIONAL FINANCIAL SERVICES LLC
SEC 8-26740

NATIONAL FINANCIAL SERVICES LLC
CRD 13041 · SEC 8-26740

Fund details & source

Fund ID: 805-7515302566
Reported beneficial owners: 19
Minimum commitment: $250K
Form D file number: 021-143062

Form ADV 1290942 · Mar 26, 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.

FIRST WESTERN CAPITAL MANAGEMENT HIGH YIELD CAPITAL APPRECIATION LIMITED PARTNERSHIPOther Private Fund · Last reported Mar 26, 2019$0Gross asset value

Form D fundraising filings

FIRST WESTERN CAPITAL MANAGEMENT HIGH YIELD CAPITAL APPRECIATION LIMITED PARTNERSHIP

Fund administrator MA. CORAZON MERCADO-BAUTISTA, CPA LOS ANGELES, California, United States Investor statements: No (provided to no investors) Related to adviser: No

Auditor COHEN & COMPANY LTD CLEVELAND, Ohio, United States

Custodian NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, United States Related to adviser: No

Prime broker NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

COHEN & COMPANY LTD
PCAOB 925

NATIONAL FINANCIAL SERVICES LLC
SEC 8-26740

NATIONAL FINANCIAL SERVICES LLC
CRD 13041 · SEC 8-26740

Fund details & source

Fund ID: 805-6853618749
Reported beneficial owners: 21
Minimum commitment: $250K
Form D file number: 021-143037

Form ADV 1290942 · Mar 26, 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.

FIRST WESTERN CAPITAL MANAGEMENT INCOME EQUITY LIMITED PARTNERSHIPPrivate Equity Fund · Last reported Mar 26, 2019$0Gross asset value

Fund administrator MA. CORAZON MERCADO-BAUTISTA, CPA LOS, California, United States Investor statements: No (provided to no investors) Related to adviser: No

Auditor COHEN & COMPANY LTD CLEVELAND, Ohio, United States

Custodian NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, United States Related to adviser: No

Prime broker NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

COHEN & COMPANY LTD
PCAOB 925

NATIONAL FINANCIAL SERVICES LLC
SEC 8-26740

NATIONAL FINANCIAL SERVICES LLC
CRD 13041 · SEC 8-26740

Fund details & source

Fund ID: 805-3111425387
Reported beneficial owners: 21
Minimum commitment: $250K

Form ADV 1290942 · Mar 26, 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.

FIRST WESTERN CAPITAL MANAGEMENT NATIONAL TAX EXEMPT LIMITED PARTNERSHIPOther Private Fund · Last reported Mar 26, 2019$0Gross asset value

Form D fundraising filings

FIRST WESTERN INVESTMENT MANAGEMENT NATIONAL TAX EXEMPT LIMITED PARTNERSHIP

Fund administrator MA. CORAZON MERCADO-BAUTISTA, CPA LOS ANGELES, California, United States Investor statements: No (provided to no investors) Related to adviser: No

Auditor COHEN & COMPANY LTD CLEVELAND, Ohio, United States

Custodian NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, United States Related to adviser: No

Prime broker NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

COHEN & COMPANY LTD
PCAOB 925

NATIONAL FINANCIAL SERVICES LLC
SEC 8-26740

NATIONAL FINANCIAL SERVICES LLC
CRD 13041 · SEC 8-26740

Fund details & source

Fund ID: 805-6089935411
Reported beneficial owners: 25
Minimum commitment: $250K
Form D file number: 021-126317

Form ADV 1290942 · Mar 26, 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.

Services & filing details

Most recent filing: Aug 14, 2020. View historical filings

Reported services

Individual portfolio management · Investment company portfolio management · Business portfolio management

Compensation

Percentage of assets · Fixed · Performance-based

Principal office

1900 16TH STREET, SUITE 1200
DENVER, CO, 80202, United States

CRD 152982

Filing source

Form ADV 1449223 · Aug 14, 2020 · 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.