Investment adviser · CRD 317825

FIRST TRUST CAPITAL MANAGEMENT L.P.

Investment adviser filing (IA)

CHICAGO, IL, United States · Form ADV filed Aug 19, 2026

Regulatory AUM: $12.7B
Client accounts: 40
Employees: 62
Advisory professionals: 24

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
Investment companies	25	$7,724,812,789	61.0%
Pooled investment vehicles	15	$4,933,176,700	39.0%

Filing source

Form ADV 2126693 · Aug 19, 2026 · 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

28 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.

VCM CORE OPPORTUNITIES FUND LLC - REAL ESTATEPrivate Equity Fund · Last reported Dec 3, 2021$19.1MGross asset value

Fund administrator NAV CONSULTING, INC OAKBROOK TERRACE, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor GRANT THORNTON LLP CHICAGO, Illinois, United States

Custodian HARRIS N.A. CHICAGO, Illinois, United States Related to adviser: No

Provider details

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

GRANT THORNTON LLP
PCAOB 248

HARRIS N.A.
LEI 3Y4U8VZURTYWI1W2K376

Fund details & source

Fund ID: 805-5646461588
Reported beneficial owners: 70
Minimum commitment: $100K
Form D file number: 021-222533

Form ADV 1582175 · Dec 3, 2021 · 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.

FT ALTERNATIVE PLATFORM I LLC - MORTGAGESHedge Fund · Last reported Dec 3, 2021$13.8MGross asset value

Feeder funds

FT OFFSHORE I LP - MORTGAGES

Fund administrator NAV CONSULTING, INC OAKBROOK TERRACE, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor GRANT THORNTON LLP CHICAGO, Illinois, United States

Custodian HARRIS N.A. CHICAGO, Illinois, United States Related to adviser: No

Custodian UMB BANK, N.A. KANSAS CITY, Missouri, United States Related to adviser: No

Marketer FIRST TRUST PORTFOLIOS L.P. WHEATON, Illinois, United States Related to adviser: Yes

Provider details

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

GRANT THORNTON LLP
PCAOB 248

HARRIS N.A.
LEI 3Y4U8VZURTYWI1W2K376

UMB BANK, N.A.
LEI VNOO6EITDJ2YUEBMSZ83

FIRST TRUST PORTFOLIOS L.P.
CRD 28519 · SEC 8-43843

Fund details & source

Fund ID: 805-4623230810
Reported beneficial owners: 10
Minimum commitment: $100K
Form D file number: 021-196419
Form D file number: 021-303943

Form ADV 1582175 · Dec 3, 2021 · 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.

HIGHLAND CAPITAL MANAGEMENT INSTITUTIONAL FUND II LLCHedge Fund · Last reported Aug 19, 2026$12.4MGross asset value

Form D fundraising filings

Highland Capital Management Institutional Fund II, LLC

Fund administrator NAV CONSULTING, INC OAKBROOK TERRACE, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG LLP CHICAGO, Illinois, United States

Custodian BNP PARIBAS PRIME BROKERAGE, INC. NEW YORK, New York, United States Related to adviser: No

Custodian GOLDMAN SACHS & CO. LLC JERSEY CITY, New Jersey, United States Related to adviser: No

Custodian HARRIS N.A. CHICAGO, Illinois, United States Related to adviser: No

Prime broker BNP PARIBAS PRIME BROKERAGE, INC. NEW YORK, New York, United States

Prime broker GOLDMAN SACHS & CO. LLC JERSEY CITY, New Jersey, United States

Provider details

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

ERNST & YOUNG LLP
PCAOB 42

BNP PARIBAS PRIME BROKERAGE, INC.
SEC 8-40490

GOLDMAN SACHS & CO. LLC
SEC 8-129

HARRIS N.A.
LEI 3Y4U8VZURTYWI1W2K376

BNP PARIBAS PRIME BROKERAGE, INC.
CRD 24962 · SEC 8-40490

GOLDMAN SACHS & CO. LLC
CRD 361 · SEC 8-129

Fund details & source

Fund ID: 805-1089194331
Reported beneficial owners: 12
Minimum commitment: $250K
Form D file number: 021-258166

Form ADV 2126693 · Aug 19, 2026 · 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.

FT ALTERNATIVE PLATFORM I LLC - EVENTHedge Fund · Last reported Dec 3, 2021$10.5MGross asset value

Feeder funds

FT OFFSHORE I LP - EVENT

Fund administrator NAV CONSULTING, INC OAKBROOK TERRACE, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor GRANT THORNTON LLP CHICAGO, Illinois, United States

Custodian HARRIS N.A. CHICAGO, Illinois, United States Related to adviser: No

Marketer FIRST TRUST PORTFOLIOS L.P. WHEATON, Illinois, United States Related to adviser: Yes

Provider details

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

GRANT THORNTON LLP
PCAOB 248

HARRIS N.A.
LEI 3Y4U8VZURTYWI1W2K376

FIRST TRUST PORTFOLIOS L.P.
CRD 28519 · SEC 8-43843

Fund details & source

Fund ID: 805-4056889573
Reported beneficial owners: 43
Minimum commitment: $100K
Form D file number: 021-196419
Form D file number: 021-303943

Form ADV 1582175 · Dec 3, 2021 · 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.

VCM CORE OPPORTUNITIES FUND LLC - ADVISOR SERIESPrivate Equity Fund · Last reported Dec 3, 2021$829KGross asset value

Fund administrator NAV CONSULTING, INC OAKBROOK TERRACE, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor GRANT THORNTON LLP CHICAGO, Illinois, United States

Custodian CIBC BANK USA CHICAGO, Illinois, United States Related to adviser: No

Custodian HARRIS N.A. CHICAGO, Illinois, United States Related to adviser: No

Provider details

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

GRANT THORNTON LLP
PCAOB 248

CIBC BANK USA
LEI FDXQ75GPEQKRPWABYN63

HARRIS N.A.
LEI 3Y4U8VZURTYWI1W2K376

Fund details & source

Fund ID: 805-6659018415
Reported beneficial owners: 5
Minimum commitment: $10K
Form D file number: 021-222533

Form ADV 1582175 · Dec 3, 2021 · 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.

DESTINY ALTERNATIVE FUND I LLCHedge Fund · Last reported Sep 15, 2022$31MGross asset value

Form D fundraising filings

Destiny Alternative Fund LLC

Fund administrator NAV CONSULTING INC. OAK BROOK, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor GRANT THORNTON LLP CHICAGO, Illinois, United States

Custodian HARRIS N.A. CHICAGO, Illinois, United States Related to adviser: No

Custodian TD AMERITRADE, INC. OMAHA, Nebraska, United States Related to adviser: No

Marketer DESTINY WEALTH PARTNERS, LLC TAVARES, Florida, United States Related to adviser: No

Provider details

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

GRANT THORNTON LLP
PCAOB 248

HARRIS N.A.
LEI 3Y4U8VZURTYWI1W2K376

TD AMERITRADE, INC.
SEC 8-23395

DESTINY WEALTH PARTNERS, LLC
CRD 171346 · SEC 801-79789

Fund details & source

Fund ID: 805-8766071809
Reported beneficial owners: 95
Minimum commitment: $75K
Form D file number: 021-377877

Form ADV 1676153 · Sep 15, 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.

FT INVESTMENTS I LLCPrivate Equity Fund · Last reported Mar 31, 2023$3.7MGross asset value

Fund administrator UMB BANK, N.A. KANSAS CITY, Missouri, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor GRANT THORNTON LLP CHICAGO, Illinois, United States

Custodian UMB BANK, N.A. KANSAS CITY, Missouri, United States Related to adviser: No

Provider details

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

GRANT THORNTON LLP
PCAOB 248

UMB BANK, N.A.
LEI VNOO6EITDJ2YUEBMSZ83

Fund details & source

Fund ID: 805-4169581397
Reported beneficial owners: 1
Minimum commitment: $100K

Form ADV 1718425 · Mar 31, 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.

Services & filing details

Most recent filing: Aug 19, 2026. View historical filings

Reported services

Investment company portfolio management · Pooled investment vehicle management · Business portfolio management · Selection of other advisers

Compensation

Percentage of assets · Fixed · Performance-based

Principal office

225 W. WACKER DRIVE, SUITE 2160
CHICAGO, IL, 60606, United States

CRD 317825

Filing source

Form ADV 2126693 · Aug 19, 2026 · 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.