AUMdb

Caltius Capital Management, Lp

SEC-registered Private Fund Manager · Mid-sized ($1B–$10B) CRD 157007 · SEC file 801-73869 · Los Angeles, CA · WWW.LINKEDIN.COM
☆ Save with Pro ADV data as of Mar 27, 2026
Regulatory AUM
$1.1B
Discretionary
$1.1B
Clients
17
Avg AUM / client
$62.6M
Accounts
17
Employees
21

AUM over time

$638M $1.1B
Feb 14, 2012 Mar 27, 2026

Reported AUM from Form ADV filings, plotted by filing date · as of Mar 27, 2026

Who they serve

Client typeClientsAUM% of AUM
Pooled investment vehicles (non-investment companies) 17 $1.1B 100.0%

Private funds (16)

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Reported in Form ADV Section 7.B.(1), filing of May 2024 · $999M combined gross assets

FundTypeDomicileGross assetsOwners
Caltius Partners V (Sbic), Lp Private Equity Fund Delaware $242M 33
Caltius Partners Vi (Sbic), Lp Private Equity Fund Delaware $202M 56
Caltius Partners Iv, Lp Private Equity Fund Delaware $137M 45
Caltius Equity Partners Iii, Lp Private Equity Fund Delaware $115M 29
Caltius Partners Vi, Lp Private Equity Fund Delaware $76.6M 4
Caltius Partners V, Lp Private Equity Fund Delaware $68.9M 8
Caltius Equity Partners Iv, Lp Private Equity Fund Delaware $43.1M 7
Caltius Partners Iii, Lp Private Equity Fund Delaware $33.1M 51
Caltius Partners V A, Lp Private Equity Fund Delaware $25.1M 4
Caltius Equity Partners Executive Iv, Lp Private Equity Fund Delaware $22.3M 50
Caltius Equity Partners Ii, Lp Private Equity Fund California $21.2M 29
Caltius Equity Partners Executive Iii, Lp Private Equity Fund Delaware $7.2M 46
Caltius Partners Executive V, Lp Private Equity Fund Delaware $3.3M 26
Caltius Partners Executive Iv, Lp Private Equity Fund Delaware $1.2M 26
Caltius Equity Partners Executive Ii, Lp Private Equity Fund Delaware $552K 25

People (4)

NameRole / titleCredentialsWith firm sinceOwnership
Upchurch, James, Brian Manager Jun 1997 (29y) ≈ 0% – 5% via Caltius Capital Management, Llc
Frederick, Alisa, Gaie Managing Director, Caltius Capital Management, Lp Sep 2008 (18y) Less than 5%
Jeffrey, Holdsberg, Carl Managing Director, Caltius Capital Management, Lp Sep 2008 (18y) Less than 5%
Wauthy, Eric, Carl Chief Financial Officer And Chief Compliance Officer, Caltius Capital Management, Lp Oct 2020 (6y) Less than 5%

Entity owners (Schedule A/B)

EntityTitle / statusSinceSch.Ownership
Caltius Capital Management, Llc General Partner, Caltius Capital Management, Lp Jun 1997 A Less than 5%

Undisclosed: 80% – 100% of the firm is not attributable from the filed Schedule A bands.

Estimated effective ownership (look-through of filed bands):

  • Upchurch, James, Brian: 75% – 100% of Caltius Capital Management, Llc × 0% – 5% direct ≈ 0% – 5% of the firm

Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.

Private funds (16, $999M gross assets)

FundTypeGross assetsMin. investmentOwners
Caltius Partners V (Sbic), Lp Private Equity Fund $242M $2.5M 33
Caltius Partners Vi (Sbic), Lp Private Equity Fund $202M $2.5M 56
Caltius Partners Iv, Lp Private Equity Fund $137M $5.0M 45
Caltius Equity Partners Iii, Lp Private Equity Fund $115M $5.0M 29
Caltius Partners Vi, Lp Private Equity Fund $76.6M $5.0M 4
Caltius Partners V, Lp Private Equity Fund $68.9M $5.0M 8
Caltius Equity Partners Iv, Lp Private Equity Fund $43.1M $5.0M 7
Caltius Partners Iii, Lp Private Equity Fund $33.1M $5.0M 51
Caltius Partners V A, Lp Private Equity Fund $25.1M $5.0M 4
Caltius Equity Partners Executive Iv, Lp Private Equity Fund $22.3M $100K 50
Caltius Equity Partners Ii, Lp Private Equity Fund $21.2M $5.0M 29
Caltius Equity Partners Executive Iii, Lp Private Equity Fund $7.2M $100K 46
Caltius Partners Executive V, Lp Private Equity Fund $3.3M $100K 26
Caltius Partners Executive Iv, Lp Private Equity Fund $1.2M $100K 26
Caltius Equity Partners Executive Ii, Lp Private Equity Fund $552K $100K 25
Caltius Partners Executive Iii, Lp Private Equity Fund $303K $100K 20

From Form ADV Section 7.B private fund reporting.

Documents (1 archived)

FormPeriodSize
Form ADV (full filing) 03/27/2026 4.36 MB View · PDF · Source ↗

Archived copies of the firm's regulatory filings, versioned by content hash.

Disciplinary disclosures

No disciplinary events reported on the firm's latest Form ADV filing.

How they charge

  • Percentage of assets under management
  • Performance-based fees

Services

  • Portfolio management for pooled investment vehicles

Custody

Firm reports having custody of client funds or securities (Item 9.A).

No custodian data reported or mined yet.

Source

All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 27, 2026.

View current Form ADV (SEC/IAPD) ↗