{
  "crd_number": 317466,
  "slug": "cais-advisors-new-york-ny-317466",
  "primary_business_name": "CAIS ADVISORS",
  "legal_name": "CAIS ADVISORS LLC",
  "dbas": [],
  "city": "New York",
  "state": "NY",
  "country": "United States",
  "cbsa_code": "35620",
  "metro": {
    "cbsa_code": "35620",
    "common_name": "New York",
    "msa_name": "New York-Newark-Jersey City, NY-NJ",
    "path": "/advisors/ny/new-york"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2024-07-26",
  "years_registered": 2,
  "period": "2026-10-01",
  "filing_date": "2026-06-26",
  "carried_forward": false,
  "raum_total": 225327313.0,
  "raum_discretionary": 225327313.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 32,
  "advisory_employees": 8,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "other": {
      "raum": 0.0,
      "count": 0
    },
    "charitable": {
      "raum": 0.0,
      "count": 0
    },
    "individuals": {
      "raum": 0.0,
      "count": 0
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": 0
    },
    "state_municipal": {
      "raum": 0.0,
      "count": 0
    },
    "insurance_companies": {
      "raum": 0.0,
      "count": 0
    },
    "investment_companies": {
      "raum": 0.0,
      "count": 1
    },
    "pension_profit_sharing": {
      "raum": 0.0,
      "count": 0
    },
    "other_investment_advisers": {
      "raum": 0.0,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 0.0,
      "count": 0
    },
    "pooled_investment_vehicles": {
      "raum": 160422301.0,
      "count": 2
    },
    "corporations_other_businesses": {
      "raum": 64905012.0,
      "count": 1,
      "fewer_than_5": true
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": 0
    }
  },
  "compensation_types": [
    "fixed",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "other",
    "portfolio_management_businesses_institutional",
    "portfolio_management_investment_companies",
    "portfolio_management_pooled_vehicles"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "NY"
  ],
  "websites": [
    "https://caisadvisors.com",
    "https://linkedin.com/company/cais-advisors/about",
    "https://members.caisgroup.com/model-portfolios"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/317466",
  "city_as_filed": "NEW YORK",
  "url": "https://advisorcensus.com/firm/cais-advisors-new-york-ny-317466",
  "display_name": "Cais Advisors",
  "summary": "Cais Advisors is an SEC-registered investment advisory firm in New York, NY, registered since 2024, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated June 26, 2026.",
  "citation": "AdvisorCensus. Cais Advisors (CRD 317466): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Portfolio management for investment companies (and business development companies)",
    "Portfolio management for pooled investment vehicles (other than investment companies)",
    "Portfolio management for businesses (other than small businesses) or institutional clients",
    "Other"
  ],
  "quick_answers": [
    {
      "q": "How is Cais Advisors compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Cais Advisors reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees)."
    },
    {
      "q": "Where is Cais Advisors located?",
      "a": "Cais Advisors' principal office is in New York, NY, according to its Form ADV."
    },
    {
      "q": "Is Cais Advisors registered with the SEC or a state?",
      "a": "Cais Advisors is an SEC-registered investment advisory firm, registered since 2024. Status as filed: Approved. CRD 317466."
    },
    {
      "q": "How much does Cais Advisors manage?",
      "a": "Cais Advisors reports $225,327,313 in regulatory assets under management in its Form ADV filing dated June 26, 2026 (100% discretionary)."
    },
    {
      "q": "How have Cais Advisors' assets and staff changed since 2024?",
      "a": "In the Form ADV data for Cais Advisors: Regulatory assets under management: $0 in the October 2024 data and $225,327,313 in the October 2026 data. Total employees: 13 in October 2024 and 32 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Cais Advisors serve?",
      "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (2); investment companies (1); corporations or other businesses not listed above (1)."
    },
    {
      "q": "Which custodians does Cais Advisors use?",
      "a": "Cais Advisors' most recent Form ADV filing (Schedule D, Section 5.K(3)) lists BofA Securities, Inc. as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Cais Advisors report any disciplinary disclosures?",
      "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/317466"
    },
    {
      "q": "What changed in Cais Advisors' recent Form ADV filings?",
      "a": "In the April 2026 filing data: Employees performing advisory functions went from 6 to 8. Regulatory assets under management went from $125,046,150 to $225,327,313 (+80%). Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 0.0,
      "total_employees": 13,
      "filing_date": "2024-06-26"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 125046150.0,
      "total_employees": 30,
      "filing_date": "2025-03-28"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 225327313.0,
      "total_employees": 32,
      "filing_date": "2026-06-26"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 6 to 8.",
        "Regulatory assets under management went from $125,046,150 to $225,327,313 (+80%).",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "BofA Securities, Inc.",
      "name_as_filed": "BOFA SECURITIES, INC.",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/cais-advisors-new-york-ny-317466.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 1,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 2,
      "fewer_than_5": false,
      "raum": 160422301.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 1,
      "fewer_than_5": true,
      "raum": 64905012.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/317466",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}