Full text of CAIS CAPITAL LLC's X-17A-5 filed 2024-02-29 (period 2023-12-31). 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, 2023 {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 # ANNUAL REPORTS FORM X-17A-5 PART III OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 sec file number 8-68646 | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | | | |-------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------|-----------------------|--|--| | 12/31/2023<br>FILING FOR THE PERIOD BEGINNING 01/01/2023 | | | | | | | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | | | NAME OF FIRM: CAIS Capital, LLC | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>▪ Broker-dealer<br>□ Check here if respondent is also an OTC derivatives dealer | _ Security-based swap dealer | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | 527 Madison Avenue, Fl 2 | | | | | | | | (No. and Street) | | | | | | New York | NY | | 10022 | | | | (City) | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Timothy Shannon | 212-201-2327 | | finance@caisgroup.com | | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | | B. Accountant Identification | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Ernst & Young LLP | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | One Manhattan West | New York | NY | 1000 | | | | (Address) | (City) | (State) | (Zip Code) | | | | 10/20/2003 | | 42 | | | | | (Date of Registration with PCAOB)(if applicable)<br>(PCAOB Registration Number, if applicable)<br>FOR OFFICIAL USE ONLY | | | | | | | * Claims for exemption from the requirement that the annual reports of an independent public | | | | | | accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(1)(ii), if applicable. Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control numbe…Read the full text as markdown