0001523894-19-000003.txt : 20190610 0001523894-19-000003.hdr.sgml : 20190610 20190610104504 ACCESSION NUMBER: 0001523894-19-000003 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: 20190610 DATE AS OF CHANGE: 20190610 EFFECTIVENESS DATE: 20190610 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CAIS Millennium USA LLC CENTRAL INDEX KEY: 0001523894 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: D/A SEC ACT: 1933 Act SEC FILE NUMBER: 021-163159 FILM NUMBER: 19887888 BUSINESS ADDRESS: STREET 1: CAPITAL INTEGRATION SYSTEMS LLC STREET 2: 598 MADISON AVENUE, 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212.300.9350 MAIL ADDRESS: STREET 1: CAPITAL INTEGRATION SYSTEMS LLC STREET 2: 598 MADISON AVENUE, 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 D/A 1 primary_doc.xml X0708 D/A LIVE 0001523894 CAIS Millennium USA LLC CAPITAL INTEGRATION SYSTEMS LLC 527 Madison Avenue, 2nd Floor NEW YORK NY NEW YORK 10022 212.300.9350 DELAWARE None None Limited Liability Company true n/a Capital Integration Systems LLC 527 Madison Avenue 2nd Floor New York NY NEW YORK 10022 Promoter Managing Member Matthew C. Brown Capital Integration Systems LLC 527 Madison Avenue, 2nd Floor New York NY NEW YORK 10022 Executive Officer Managing Principal of the Managing Member Pooled Investment Fund Hedge Fund false Decline to Disclose 06b 3C 3C.7 true 0001523894-19-000001 2011-03-01 true true false 100000 Jefferies LLC 2347 None None 520 Madison Avenue New York NY NEW YORK 10022 All States false Wunderlich Securities 2543 None None 6000 Poplar Avenue Suite 150 Memphis TN TENNESSEE 38119 All States false Summit Equities, LLC 11039 None None 4 Campus Dr. Parsippany NJ NEW JERSEY 07054 VT VERMONT RI RHODE ISLAND HI HAWAII NY NEW YORK GA GEORGIA NV NEVADA TN TENNESSEE CA CALIFORNIA OK OKLAHOMA ME MAINE VA VIRGINIA MI MICHIGAN OH OHIO DE DELAWARE WY WYOMING FL FLORIDA IA IOWA MD MARYLAND MA MASSACHUSETTS SD SOUTH DAKOTA SC SOUTH CAROLINA AR ARKANSAS UT UTAH IL ILLINOIS IN INDIANA CT CONNECTICUT DC DISTRICT OF COLUMBIA MN MINNESOTA WI WISCONSIN AZ ARIZONA KY KENTUCKY MO MISSOURI KS KANSAS OR OREGON MT MONTANA LA LOUISIANA NH NEW HAMPSHIRE WA WASHINGTON NJ NEW JERSEY PR PUERTO RICO NM NEW MEXICO AK ALASKA TX TEXAS AL ALABAMA CO COLORADO PA PENNSYLVANIA NC NORTH CAROLINA NE NEBRASKA false USCA Securities LLC 103789 None None 1330 Post Oak Blvd. Suite 900 Houston TX TEXAS 77056 RI RHODE ISLAND VT VERMONT HI HAWAII ME MAINE VA VIRGINIA MI MICHIGAN DE DELAWARE ID IDAHO IA IOWA MD MARYLAND MA MASSACHUSETTS AR ARKANSAS IL ILLINOIS UT UTAH IN INDIANA MN MINNESOTA AZ ARIZONA MO MISSOURI MT MONTANA MS MISSISSIPPI NH NEW HAMPSHIRE NJ NEW JERSEY NM NEW MEXICO AK ALASKA AL ALABAMA TX TEXAS NC NORTH CAROLINA ND NORTH DAKOTA NE NEBRASKA NY NEW YORK GA GEORGIA NV NEVADA TN TENNESSEE CA CALIFORNIA OK OKLAHOMA OH OHIO WY WYOMING FL FLORIDA SD SOUTH DAKOTA SC SOUTH CAROLINA CT CONNECTICUT WV WEST VIRGINIA DC DISTRICT OF COLUMBIA WI WISCONSIN KY KENTUCKY KS KANSAS OR OREGON LA LOUISIANA WA WASHINGTON CO COLORADO PA PENNSYLVANIA false HighTower Securities, LLC 116681 None None 200 West Madison Street Suite 2500 Chicago IL ILLINOIS 60606 All States false Macquarie Capital (USA) Inc. 36368 None None 125 West 55th Street Level 22 New York NY NEW YORK 10019 All States false D.A Davidson 199 None None 8 Third Street North Great Falls MT MONTANA 59401 RI RHODE ISLAND VT VERMONT HI HAWAII ME MAINE VA VIRGINIA MI MICHIGAN DE DELAWARE ID IDAHO IA IOWA MD MARYLAND MA MASSACHUSETTS AR ARKANSAS IL ILLINOIS UT UTAH IN INDIANA MN MINNESOTA AZ ARIZONA MO MISSOURI MT MONTANA MS MISSISSIPPI NH NEW HAMPSHIRE NJ NEW JERSEY NM NEW MEXICO AK ALASKA AL ALABAMA TX TEXAS NC NORTH CAROLINA ND NORTH DAKOTA NE NEBRASKA NY NEW YORK GA GEORGIA NV NEVADA TN TENNESSEE CA CALIFORNIA OK OKLAHOMA OH OHIO WY WYOMING FL FLORIDA SD SOUTH DAKOTA SC SOUTH CAROLINA CT CONNECTICUT WV WEST VIRGINIA DC DISTRICT OF COLUMBIA WI WISCONSIN KY KENTUCKY KS KANSAS OR OREGON LA LOUISIANA WA WASHINGTON CO COLORADO PA PENNSYLVANIA false Stephens, Inc. 3496 None None 111 Center Street Little Rock AR ARKANSAS 72201 All States false Arete Wealth Management LLC 44856 None None 1101 W Lake Street 1st Floor Chicago IL ILLINOIS 60607 RI RHODE ISLAND VT VERMONT HI HAWAII ME MAINE VA VIRGINIA MI MICHIGAN DE DELAWARE ID IDAHO IA IOWA MD MARYLAND MA MASSACHUSETTS AR ARKANSAS IL ILLINOIS UT UTAH IN INDIANA MN MINNESOTA AZ ARIZONA MO MISSOURI MT MONTANA MS MISSISSIPPI NH NEW HAMPSHIRE NJ NEW JERSEY NM NEW MEXICO AK ALASKA AL ALABAMA TX TEXAS NC NORTH CAROLINA ND NORTH DAKOTA NE NEBRASKA NY NEW YORK GA GEORGIA NV NEVADA TN TENNESSEE CA CALIFORNIA OK OKLAHOMA OH OHIO WY WYOMING FL FLORIDA SD SOUTH DAKOTA SC SOUTH CAROLINA CT CONNECTICUT WV WEST VIRGINIA DC DISTRICT OF COLUMBIA WI WISCONSIN KY KENTUCKY KS KANSAS OR OREGON LA LOUISIANA WA WASHINGTON CO COLORADO PA PENNSYLVANIA false Spire Securities LLC 144131 None None 1840 Michael Faraday Dr. Suite 105 Reston VA VIRGINIA 20190 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 William Blair 1252 None None 225 West Adams St Chicago IL ILLINOIS 60606 All States 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 VT VERMONT RI RHODE ISLAND HI HAWAII NY NEW YORK GA GEORGIA NV NEVADA CA CALIFORNIA ME MAINE VA VIRGINIA MI MICHIGAN OH OHIO DE DELAWARE IA IOWA FL FLORIDA MD MARYLAND MA MASSACHUSETTS SD SOUTH DAKOTA SC SOUTH CAROLINA UT UTAH IL ILLINOIS IN INDIANA CT CONNECTICUT DC DISTRICT OF COLUMBIA MN MINNESOTA WI WISCONSIN AZ ARIZONA KS KANSAS OR OREGON MS MISSISSIPPI LA LOUISIANA NH NEW HAMPSHIRE WA WASHINGTON NJ NEW JERSEY NM NEW MEXICO TX TEXAS AL ALABAMA CO COLORADO PA PENNSYLVANIA NC NORTH CAROLINA false Dominick & Dominick 2543 None None 6000 Poplar Avenue Suite 150 Memphis TN TENNESSEE 38119 RI RHODE ISLAND VT VERMONT HI HAWAII ME MAINE VA VIRGINIA MI MICHIGAN DE DELAWARE ID IDAHO IA IOWA MD MARYLAND MA MASSACHUSETTS IL ILLINOIS UT UTAH IN INDIANA MN MINNESOTA AZ ARIZONA MO MISSOURI MT MONTANA MS MISSISSIPPI NJ NEW JERSEY PR PUERTO RICO NM NEW MEXICO AK ALASKA AL ALABAMA TX TEXAS NC NORTH CAROLINA ND NORTH DAKOTA NE NEBRASKA NY NEW YORK GA GEORGIA NV NEVADA TN TENNESSEE CA CALIFORNIA OK OKLAHOMA OH OHIO WY WYOMING FL FLORIDA SC SOUTH CAROLINA CT CONNECTICUT WV WEST VIRGINIA DC DISTRICT OF COLUMBIA KY KENTUCKY WI WISCONSIN KS KANSAS OR OREGON LA LOUISIANA WA WASHINGTON CO COLORADO PA PENNSYLVANIA false Snowden Account Services Inc. 149794 None None 540 Madison Avenue 9th Floor New York NY NEW YORK 10022 RI RHODE ISLAND VT VERMONT HI HAWAII ME MAINE VA VIRGINIA MI MICHIGAN DE DELAWARE ID IDAHO IA IOWA MD MARYLAND MA MASSACHUSETTS AR ARKANSAS IL ILLINOIS UT UTAH IN INDIANA MN MINNESOTA AZ ARIZONA MO MISSOURI MT MONTANA MS MISSISSIPPI NH NEW HAMPSHIRE NJ NEW JERSEY PR PUERTO RICO NM NEW MEXICO AL ALABAMA TX TEXAS NC NORTH CAROLINA NE NEBRASKA NY NEW YORK GA GEORGIA NV NEVADA TN TENNESSEE CA CALIFORNIA OK OKLAHOMA OH OHIO WY WYOMING FL FLORIDA SC SOUTH CAROLINA CT CONNECTICUT WV WEST VIRGINIA DC DISTRICT OF COLUMBIA KY KENTUCKY WI WISCONSIN KS KANSAS OR OREGON LA LOUISIANA WA WASHINGTON CO COLORADO PA PENNSYLVANIA false Maxim Group LLC 120708 None None 405 Lexington Avenue New York NY NEW YORK 10174 All States false Fieldpoint Private Securities LLC 18975 None None 100 Field Point Road 2nd Floor Greenwich CT CONNECTICUT 06830 RI RHODE ISLAND VT VERMONT HI HAWAII ME MAINE VA VIRGINIA MI MICHIGAN DE DELAWARE ID IDAHO IA IOWA MD MARYLAND MA MASSACHUSETTS AR ARKANSAS IL ILLINOIS UT UTAH IN INDIANA MN MINNESOTA AZ ARIZONA MO MISSOURI MT MONTANA MS MISSISSIPPI NH NEW HAMPSHIRE NJ NEW JERSEY NM NEW MEXICO AK ALASKA AL ALABAMA TX TEXAS NC NORTH CAROLINA ND NORTH DAKOTA NE NEBRASKA NY NEW YORK GA GEORGIA NV NEVADA TN TENNESSEE CA CALIFORNIA OK OKLAHOMA OH OHIO WY WYOMING FL FLORIDA SD SOUTH DAKOTA SC SOUTH CAROLINA CT CONNECTICUT WV WEST VIRGINIA DC DISTRICT OF COLUMBIA WI WISCONSIN KY KENTUCKY KS KANSAS OR OREGON LA LOUISIANA WA WASHINGTON CO COLORADO PA PENNSYLVANIA false BB&T Securities, LLC 142785 None None 901 East Byrd Street Riverfront Plaza, West Tower Richmond VA VIRGINIA 23219 All States false First Republic Securities Company, LLC 105108 None None 388 Market Street 16th Floor San Francisco CA CALIFORNIA 94111 All States false Purshe Kaplan Sterling Investments 35747 None None 18 Corporate Woods Blvd Albany NY NEW YORK 12211 RI RHODE ISLAND VT VERMONT HI HAWAII ME MAINE VA VIRGINIA MI MICHIGAN DE DELAWARE ID IDAHO IA IOWA MD MARYLAND MA MASSACHUSETTS AR ARKANSAS IL ILLINOIS UT UTAH IN INDIANA MN MINNESOTA AZ ARIZONA MO MISSOURI MT MONTANA MS MISSISSIPPI NH NEW HAMPSHIRE NJ NEW JERSEY NM NEW MEXICO AK ALASKA AL ALABAMA TX TEXAS NC NORTH CAROLINA ND NORTH DAKOTA NE NEBRASKA NY NEW YORK GA GEORGIA NV NEVADA TN TENNESSEE CA CALIFORNIA OK OKLAHOMA OH OHIO WY WYOMING FL FLORIDA SD SOUTH DAKOTA SC SOUTH CAROLINA CT CONNECTICUT WV WEST VIRGINIA DC DISTRICT OF COLUMBIA WI WISCONSIN KY KENTUCKY KS KANSAS OR OREGON LA LOUISIANA WA WASHINGTON CO COLORADO PA PENNSYLVANIA false Robert W. Baird & Co. Incorporated 8158 None None 777 E. Wisconsin Avenue Milwaukee WI WISCONSIN 53202 All States false Axiom Capital Management, Inc. 26580 None None 350 Fifth Avenue Suite 5420 New York NY NEW YORK 10118 All States false Indefinite 626890197 Indefinite false 1414 4851308 true 0 0 false CAIS Millennium USA LLC Timothy Shannon Timothy Shannon President 2019-06-10