0001523882-17-000006.txt : 20171024 0001523882-17-000006.hdr.sgml : 20171024 20171024124119 ACCESSION NUMBER: 0001523882-17-000006 CONFORMED SUBMISSION TYPE: D/A PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: 06b ITEM INFORMATION: Investment Company Act Section 3(c) ITEM INFORMATION: Section 3(c)(7) FILED AS OF DATE: 20171024 DATE AS OF CHANGE: 20171024 EFFECTIVENESS DATE: 20171024 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CAIS Millennium Intl. Ltd. CENTRAL INDEX KEY: 0001523884 IRS NUMBER: 000000000 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: D/A SEC ACT: 1933 Act SEC FILE NUMBER: 021-163214 FILM NUMBER: 171150442 BUSINESS ADDRESS: STREET 1: MAPLES CORPORATE SERVICES LIMITED STREET 2: UGLAND HOUSE CITY: GRAND CAYMAN STATE: E9 ZIP: KY1-1104 BUSINESS PHONE: 345.949.8066 MAIL ADDRESS: STREET 1: MAPLES CORPORATE SERVICES LIMITED STREET 2: UGLAND HOUSE CITY: GRAND CAYMAN STATE: E9 ZIP: KY1-1104 D/A 1 primary_doc.xml X0708 D/A LIVE 0001523884 CAIS Millennium Intl. Ltd. MAPLES CORPORATE SERVICES LIMITED UGLAND HOUSE GRAND CAYMAN E9 CAYMAN ISLANDS KY1-1104 345.949.8066 CAYMAN ISLANDS None None Other Cayman Islands Exempted Company true n/a Capital Integration Systems LLC 598 Madison Avenue 11th Floor New York NY NEW YORK 10022 Promoter Sponsor Matthew C. Brown Capital Integration Systems LLC 598 Madison Avenue, 11th Floor New York NY NEW YORK 10022 Executive Officer Managing Principal of Sponsor Sam Ellis MaplesFS Limited P.O. Box 1093, Boundary Hall Grand Cayman E9 CAYMAN ISLANDS KY1-1102 Director Omar Wright MaplesFS Limited P.O. Box 1093, Boundary Hall Grand Cayman E9 CAYMAN ISLANDS KY1-1102 Director Pooled Investment Fund Hedge Fund false Decline to Disclose 06b 3C 3C.7 true 0001523884-16-000002 2010-07-01 true true false 100000 D. A. Davidson & Co. 199 None None 8 Third Street North Great Falls MT MONTANA 59401 AL ALABAMA AK ALASKA AZ ARIZONA AR ARKANSAS CA CALIFORNIA CO COLORADO CT CONNECTICUT DE DELAWARE DC DISTRICT OF COLUMBIA FL FLORIDA GA GEORGIA HI HAWAII ID IDAHO IL ILLINOIS IN INDIANA IA IOWA KS KANSAS KY KENTUCKY LA LOUISIANA ME MAINE MD MARYLAND MA MASSACHUSETTS MI MICHIGAN MN MINNESOTA MS MISSISSIPPI MO MISSOURI MT MONTANA NE NEBRASKA NV NEVADA NH NEW HAMPSHIRE NJ NEW JERSEY NM NEW MEXICO NY NEW YORK NC NORTH CAROLINA ND NORTH DAKOTA OH OHIO OK OKLAHOMA OR OREGON PA PENNSYLVANIA RI RHODE ISLAND SC SOUTH CAROLINA SD SOUTH DAKOTA TN TENNESSEE TX TEXAS UT UTAH VT VERMONT VA VIRGINIA WA WASHINGTON WV WEST VIRGINIA WI WISCONSIN WY WYOMING false Jefferies LLC 2347 None None 520 Madison Avenue 16th Floor New York NY NEW YORK 10022 All States false Stephens Inc. 3496 None None 111 Center Street Little Rock AR ARKANSAS 72201 All States false Dominick & Dominick, LLC 7344 None None 150 East 52nd Street 3rd Floor New York NY NEW YORK 10022 AL ALABAMA AK ALASKA AZ ARIZONA CA CALIFORNIA CO COLORADO CT CONNECTICUT DE DELAWARE DC DISTRICT OF COLUMBIA FL FLORIDA GA GEORGIA HI HAWAII ID IDAHO IL ILLINOIS IN INDIANA IA IOWA KS KANSAS KY KENTUCKY LA LOUISIANA ME MAINE MD MARYLAND MA MASSACHUSETTS MI MICHIGAN MN MINNESOTA MS MISSISSIPPI MO MISSOURI MT MONTANA NE NEBRASKA NV NEVADA NJ NEW JERSEY NM NEW MEXICO NY NEW YORK NC NORTH CAROLINA ND NORTH DAKOTA OH OHIO OK OKLAHOMA OR OREGON PA PENNSYLVANIA PR PUERTO RICO RI RHODE ISLAND SC SOUTH CAROLINA TN TENNESSEE TX TEXAS UT UTAH VT VERMONT VA VIRGINIA WA WASHINGTON WV WEST VIRGINIA WI WISCONSIN WY WYOMING false Summit Equities, LLC 11039 None None 4 Campus Dr. Parsippany NJ NEW JERSEY 07054 AL ALABAMA AK ALASKA AZ ARIZONA AR ARKANSAS CA CALIFORNIA CO COLORADO CT CONNECTICUT DE DELAWARE DC DISTRICT OF COLUMBIA FL FLORIDA GA GEORGIA HI HAWAII IL ILLINOIS IN INDIANA IA IOWA KS KANSAS KY KENTUCKY LA LOUISIANA ME MAINE MD MARYLAND MA MASSACHUSETTS MI MICHIGAN MN MINNESOTA MO MISSOURI MT MONTANA NE NEBRASKA NV NEVADA NH NEW HAMPSHIRE NJ NEW JERSEY NM NEW MEXICO NY NEW YORK NC NORTH CAROLINA OH OHIO OK OKLAHOMA OR OREGON PA PENNSYLVANIA PR PUERTO RICO RI RHODE ISLAND SC SOUTH CAROLINA SD SOUTH DAKOTA TN TENNESSEE TX TEXAS UT UTAH VT VERMONT VA VIRGINIA WA WASHINGTON WI WISCONSIN WY WYOMING false USCA Securities LLC 103789 None None 1330 Post Oak Blvd. Suite 900 Houston TX TEXAS 77056 AL ALABAMA AK ALASKA AZ ARIZONA AR ARKANSAS CA CALIFORNIA CO COLORADO CT CONNECTICUT DE DELAWARE DC DISTRICT OF COLUMBIA FL FLORIDA GA GEORGIA HI HAWAII ID IDAHO IL ILLINOIS IN INDIANA IA IOWA KS KANSAS KY KENTUCKY LA LOUISIANA ME MAINE MD MARYLAND MA MASSACHUSETTS MI MICHIGAN MN MINNESOTA MS MISSISSIPPI MO MISSOURI MT MONTANA NE NEBRASKA NV NEVADA NH NEW HAMPSHIRE NJ NEW JERSEY NM NEW MEXICO NY NEW YORK NC NORTH CAROLINA ND NORTH DAKOTA OH OHIO OK OKLAHOMA OR OREGON PA PENNSYLVANIA RI RHODE ISLAND SC SOUTH CAROLINA SD SOUTH DAKOTA TN TENNESSEE TX TEXAS UT UTAH VT VERMONT VA VIRGINIA WA WASHINGTON WV WEST VIRGINIA WI WISCONSIN WY WYOMING false HighTower Securities, LLC 116681 None None 200 West Madison Street Suite 2500 Chicago IL ILLINOIS 60606 All States false Evans & Partners Pty Ltd. None None None 50 Pitt St Level 6 Sydney, NSW C3 AUSTRALIA 2000 true Macquarie Capital (USA) Inc. 36368 None None 125 West 55th Street Level 22 New York NY NEW YORK 2000 All States false Ord Minnett Ltd. None None None 10 Eagle Street Level 31 Brisbane, QLD C3 AUSTRALIA 4000 true Arete Wealth Management, LLC 44856 None None 1101 W Lake Street 1st Floor Chicago IL ILLINOIS 60607 AL ALABAMA AK ALASKA AZ ARIZONA AR ARKANSAS CA CALIFORNIA CO COLORADO CT CONNECTICUT DE DELAWARE DC DISTRICT OF COLUMBIA FL FLORIDA GA GEORGIA HI HAWAII ID IDAHO IL ILLINOIS IN INDIANA IA IOWA KS KANSAS KY KENTUCKY LA LOUISIANA ME MAINE MD MARYLAND MA MASSACHUSETTS MI MICHIGAN MN MINNESOTA MS MISSISSIPPI MO MISSOURI MT MONTANA NE NEBRASKA NV NEVADA NH NEW HAMPSHIRE NJ NEW JERSEY NM NEW MEXICO NY NEW YORK NC NORTH CAROLINA ND NORTH DAKOTA OH OHIO OK OKLAHOMA OR OREGON PA PENNSYLVANIA RI RHODE ISLAND SC SOUTH CAROLINA SD SOUTH DAKOTA TN TENNESSEE TX TEXAS UT UTAH VT VERMONT VA VIRGINIA WA WASHINGTON WV WEST VIRGINIA WI WISCONSIN WY WYOMING false Wentworth Global Securities Pty Ltd None None None Level 8, 66 Hunter Street Suite 2 Sydney C3 AUSTRALIA NSW 2000 true Rose Capital Advisors 173054 None None 119 Washington Avenue suite 602 Miami Beach FL FLORIDA 33139 All States false Spire Securities, LLC 144131 None None 1840 Michael Faraday Dr. Suite 105 Reston VA VIRGINIA 20190 All States false Canaccord Genuity (Australia) None None None Level 4, 60 Collins Street Melbourne VIC C3 AUSTRALIA 3000 true Wunderlich Securities, Inc. 2543 None None 6000 Poplar Avenue Suite 150 Memphis TN TENNESSEE 38119 All States false Kestra Investment Services, LLC 42046 None None 1250 Capital of Texas Hwy S. #2-125 Austin TX TEXAS 78746 All States false Capital One Securities Inc. 44158 None None 201 St. Charles Avenue Suite 1830 New Orleans LA LOUISIANA 70170 All States false Snowden Account Services Inc. 149794 None None 540 Madison Avenue 9th Fl New York NY NEW YORK 10022 AL ALABAMA AZ ARIZONA AR ARKANSAS CA CALIFORNIA CO COLORADO CT CONNECTICUT DE DELAWARE DC DISTRICT OF COLUMBIA FL FLORIDA GA GEORGIA HI HAWAII ID IDAHO IL ILLINOIS IN INDIANA IA IOWA KS KANSAS KY KENTUCKY LA LOUISIANA ME MAINE MD MARYLAND MA MASSACHUSETTS MI MICHIGAN MN MINNESOTA MS MISSISSIPPI MO MISSOURI MT MONTANA NE NEBRASKA NV NEVADA NH NEW HAMPSHIRE NJ NEW JERSEY NM NEW MEXICO NY NEW YORK NC NORTH CAROLINA OH OHIO OK OKLAHOMA OR OREGON PA PENNSYLVANIA PR PUERTO RICO RI RHODE ISLAND SC SOUTH CAROLINA TN TENNESSEE TX TEXAS UT UTAH VT VERMONT VA VIRGINIA WA WASHINGTON WV WEST VIRGINIA WI WISCONSIN WY WYOMING false Triad Advisors, Inc. 25803 None None 5155 Peachtree Parkway Suite 3220 Norcross GA GEORGIA 30092 All States false Monarch Capital Group, LLC 47815 None None 500 Fifth Avenue Suite 2240 New York NY NEW YORK 10110 AL ALABAMA AZ ARIZONA CA CALIFORNIA CO COLORADO CT CONNECTICUT DE DELAWARE DC DISTRICT OF COLUMBIA FL FLORIDA GA GEORGIA HI HAWAII IL ILLINOIS IN INDIANA IA IOWA KS KANSAS LA LOUISIANA ME MAINE MD MARYLAND MA MASSACHUSETTS MI MICHIGAN MN MINNESOTA MS MISSISSIPPI NV NEVADA NH NEW HAMPSHIRE NJ NEW JERSEY NM NEW MEXICO NY NEW YORK NC NORTH CAROLINA OH OHIO OR OREGON PA PENNSYLVANIA RI RHODE ISLAND SC SOUTH CAROLINA SD SOUTH DAKOTA TX TEXAS UT UTAH VT VERMONT VA VIRGINIA WA WASHINGTON WI WISCONSIN false MD Global Partners LLC 140988 None None 825 Third Avenue 2nd Floor, Suite 231 New York NY NEW YORK 10022 CA CALIFORNIA CT CONNECTICUT FL FLORIDA NY NEW YORK false Maxim Group LLC 120708 None None 405 Lexington Avenue New York NY NEW YORK 10174 All States false Indefinite 281951908 Indefinite false 988 2396400 true 0 0 false CAIS Millennium Intl. Ltd. Timothy Shannon Timothy Shannon President 2017-10-24