Full text of CAIS CAPITAL LLC's X-17A-5 filed 2021-03-01 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **CAIS** Capital, LLC Statement of Financial Condition December 31, 2020 {1}------------------------------------------------ **UNITEDSTATES SECURITJESANDEXCHANGECOMMISSION Washington, D.C. 20549** # **ANNUAL AUDITED REPORT FORM X-17 A-5 PART Ill** | | 0MB APPROVAL | | | | |---------------------------|--------------|------------------|-----------|--| | 0MB Number: | | | 3235-0123 | | | Expires: | | October 31, 2023 | | | | Estimated average burden | | | | | | hours per response 12.00 | | | | | | | | | | | | SEC FILE NUMBER | |-----------------| | 8-68646 | **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING O 1/01/2020 | -------- | AND ENDING 12/31/2020 | | | | | |-------------------------------------------------------------------------------------------------------------------------------------|------------------------------------|-----------------------|--------------------------------|--|--|--| | - | -<br>MM/DD /Y Y | - | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | NAME OF BROKER-DEALER: CAIS Capital, LLC | | | OFFICIAL USE ONLY | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM 1.0. NO. | | | | | 527 Madison Avenue, FL 2 | | | | | | | | | (No. and Street) | | | | | | | New York | NY | | 10022 | | | | | (City) | (State) | | (Zip Code) | | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Timothy Shannon<br>(212)-201-2327 | | | | | | | | | | | (Area Code - Telephone Number) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | | | Lilling & Company LLP | | | | | | | | | (Name - if individual, state /ast, | flrst, middle name) | | | | | | 2 Seaview Boulevard | Port Washington | NY | 11050 | | | | | (Address) | (City) | (State) | (Zip Code) | | | | | CHECK ONE: | | | | | | | | I<br>✓<br>Certified Public Accountant<br>Public Accountant<br>l]Accountant not resident in United States or any of its possessions. | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as…Read the full text as markdown