ultimate access - cais...offering types include: equity (all sectors), income/yield (mlp, reit, bdc,...

CAIS // Ultimate Access

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The Financial Product Platform for the

Modern Wealth Manager

Ultimate Access

Firm Overview


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Table of Contents

Firm Overview

Our Platform

Our Products

Alternative Investments

Capital Markets

Precious Metals

The Team

Member Services

Contact

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CAiS // Ultimate Access

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A leading financial product platform

offering wealth managers access to a

diversified menu of funds and products.

Financial Technology Company

Founded in 2009

Headquartered in New York

Privately Held Company

B2B Service Provider

AlternativeInvestment Specialists

UniqueIndependent

Solution

Wealth Management

Focused


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We streamline access to a wide range of financial products

to give you a competitive advantage. With more options to

choose from, you can offer greater diversification to existing

clients—and attract new ones.

Grow Your Business

We allow you to customize how you use our platform: off the

shelf or fully tailored. Whether you need modified product

views, controlled access, white labeling or more – our

solution is fully adaptable.

Experience Flexibility


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Enjoy ease of use with a one-stop shop. Our centralized

product platform features performance analysis, trade

execution, reporting, custodial integration, portfolio

tracking and more.

Simpler is Better

We deliver you the combined benefits of many leading firms

in one centralized location. Our complete solution provides

you with products and services oftentimes inaccessible.

World-Class Network


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Our Platform

The CAIS platform is a user-friendly environment for wealth

managers to browse, select and transact funds and other

products easily. The hub can also be used to view due

diligence summaries, construct portfolios, track client

investments and access thought leadership pieces.

With more time on your hands, you can focus on what you do

best: serving your clients’ needs.

LOG IN

BROWSE PRODUCT MENU

LEARN MORE

SELECT FUND / PRODUCT

TRANSACT

MONITOR

A SIMPLER WORKFLOWFOR WEALTH MANAGERS


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Our platform provides you with turnkey access to a growing

selection of in-demand funds and products. As our menu

expands, we continue to stand behind our mission to deliver

you a competitive advantage and a better experience,

through seamless technology.

We are pleased to bring our global investment manager research and operational due diligence to the CAIS platform. Our global depth and presence provides CAIS with independent and ongoing investment and operational due diligence when evaluating funds and products.

– Head of US Wealth Management, Mercer Investment Consulting

Hedge Funds

‘40 Act Funds

Private Equity Funds

Equity & Debt Syndicate

Structured Solutions

Precious Metals

OurProducts


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WHY AlTerNATIve INveSTMeNTS?

Alternative investments may:

Provide uncorrelated return streams

Enhance portfolio diversification

Mitigate market risk

Alternative Investments

Our broad menu of alternative investments include: hedge

funds, alternative mutual funds, ‘40 Act funds and private

equity funds across a wide range of strategies. Mercer, a

global leader in investment consulting, conducts both manager

research and fund operational due diligence as well as ongoing

performance monitoring.

• Long/Short Equity • Multi-Strategy

• Event-Driven • Global Macro

• Merger Arbitrage • CTA

• Credit/Distressed • Fund of Funds

CAIS FOR ALTERNATIVE INVESTMENTS

Menu of Leading Alternative Investment Funds

Independent Research & Due Diligence - Mercer

Analytics & Portfolio Construction Tools

Product Support, Events & Education

Electronic Subscriptions

Lower Investment Minimums


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CAPITAL MARKETS:

Equity & Debt Syndicate

We provide you with new issues and follow-on offerings

across equity and fixed income securities for further

diversification of your client portfolios.

Offering types include: equity (all sectors), income/yield

(MLP, REIT, BDC, CEF), bonds and preferred stock as well

as a growing number of private placement opportunities.

WHY SYNDICATe?

Targeting assets before they’re traded on public exchanges offers varied risk and reward profiles and deeper diversification:

Ability to target innovative issuers earlier in the investment lifecycle

Access to traditionally institutional focused securities and markets

Purchase securities at offering prices typically at discounts to secondary markets

CAIS FORSYNDICATE

Multiple Underwriters & Sponsors

Diverse Selection of Securities

Consolidated Deal Calendar

Electronic Order Entry & Allocations

Dedicated Sales Support & Trade Operations


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Our structured solutions offering empowers you to diversify

your client exposure beyond stocks, bonds, ETFs and funds.

Our offering is delivered in collaboration with the deep

capabilities of Goldman Sachs.

WHY STrUCTUreD SolUTIoNS?

Engineered to provide market exposure according to specific investment ideas, these flexible instruments may potentially allow investors to pursue:

Downside risk mitigation

Possibility of yield enhancement

Exposure to upside potential

Unique ways to access markets

CAPITAL MARKETS:

Structured Solutions

CAIS FOR STRUCTURED SOLUTIONS

Customized Notes & Calendar Offerings

Performance Tracking

Secondary Market Bid / Offer Display

Product Support & Education


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PreciousMetals

Our platform enables you to buy, sell and securely store

physical precious metals.

Our precious metal solution is in partnership with Gold

Bullion International, giving us access to cutting-edge trading

technology, geographically diverse vaulting locations and a

secure investment process for wealth managers.

WHY PreCIoUS MeTAlS?

Real assets may play a potential role in constructing a diversified portfolio:

Often uncorrelated with other assets

Possibility of leveraging global economic activity

CAIS FORPRECIOUS METALS

Physical Asset Ownership

Liquidity and Pricing Transparency

Streamlined Execution & Reporting

Secured Delivery & Storage

Geographic Diversification


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Our goal is to be true partners to our members. We coordinate

roadshows and conference calls for advisors. We help arrange

meetings with managers and industry experts, and provide

support for attending exclusive industry events.

We provide educational materials and other vital product

support, to give our members the knowledge they need to

effectively pursue their clients’ long-term financial goals.

National Events

Roadshows

Product Education

Sales Support

Product Specialists

Mercer Due Diligence

Member Services


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CoNTACT

Call us, visit us online or email us to learn how you can become a

CAIS member and join the future of wealth management.

+1 855 844 CAIS

email: [email protected]

www.caisgroup.com

598 MADISOn AvE, 11TH FLOOR | nEw YORk, nY 10022

Disclaimer

This communication is directed at persons who are professionals and is not intended for retail customer use. This com-munication is confidential and you may not duplicate, redistribute or forward this communication or any portion thereof by any means to any other person. This communication is for informational purposes only and does not constitute an offer to sell, or the solicitation of an offer to buy any security or investment product. The information contained herein is subject to change, may be revised without notice, and does not purport to be a complete description of any security, investment product or service described herein. Investors should ensure they have sufficient information to ascer-tain the legal, financial, tax and regulatory consequences of any investments they consider. CAIS Capital, LLC and its affiliates (together “CAIS”) are not fiduciaries or advisors with respect to any financial services or products described herein. Third parties listed herein are not affiliated with CAIS and their listing herein does not imply recommendation or endorsement of them, their products, or services. Marks contained herein are the property of CAIS, except for third party marks which are the property of their respective owners. CAIS Capital LLC is a member of FINRA and SIPC.

ultimate access - cais...offering types include: equity (all sectors), income/yield (mlp, reit, bdc,...

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