Caltius Capital Management, Lp
- Regulatory AUM
- $1.1B
- Discretionary
- $1.1B
- Clients
- 17
- Avg AUM / client
- $62.6M
- Accounts
- 17
- Employees
- 21
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 27, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Pooled investment vehicles (non-investment companies) | 17 | $1.1B | 100.0% |
Private funds (16)
View all →Reported in Form ADV Section 7.B.(1), filing of May 2024 · $999M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| 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)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| 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)
| Entity | Title / status | Since | Sch. | 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)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| 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)
| Form | Period | Size | |
|---|---|---|---|
| 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) ↗