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CAIS // Ultimate Access
page 1
The Financial Product Platform for the
Modern Wealth Manager
Ultimate Access
Firm Overview
CAIS // Ultimate Access
page 2
Table of Contents
Firm Overview
Our Platform
Our Products
Alternative Investments
Capital Markets
Precious Metals
The Team
Member Services
Contact
4
6
7
8
9
11
12
13
14
CAiS // Ultimate Access
page 3
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
CAiS // Ultimate Access
page 4
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
CAiS // Ultimate Access
page 5
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
CAIS // Ultimate Access
page 6
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
CAIS // Ultimate Access
page 7
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
CAIS // Ultimate Access
page 8
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
CAIS // Ultimate Access
page 9
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
CAIS // Ultimate Access
page 10
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
CAIS // Ultimate Access
page 11
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
CAIS // Ultimate Access
page 13
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
CAIS // Ultimate Access
page 14
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.