0001607350-16-000002.txt : 20161024 0001607350-16-000002.hdr.sgml : 20161024 20161024171435 ACCESSION NUMBER: 0001607350-16-000002 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: 20161024 DATE AS OF CHANGE: 20161024 EFFECTIVENESS DATE: 20161024 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CAIS OZMF LLC CENTRAL INDEX KEY: 0001607350 IRS NUMBER: 463957714 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: D/A SEC ACT: 1933 Act SEC FILE NUMBER: 021-217070 FILM NUMBER: 161948740 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- 790-0000 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 X0707 D/A LIVE 0001607350 CAIS OZMF LLC CAPITAL INTEGRATION SYSTEMS LLC, 598 MADISON AVENUE, 11TH FLOOR NEW YORK NY NEW YORK 10022 212- 790-0000 DELAWARE None None Limited Liability Company true 2013 n/a Capital Integration Systems LLC 598 Madison Avenue 11th Floor New York NY NEW YORK 10022 Promoter Managing Member Matthew C. Brown Capital Integration Systems LLC 598 Madison Avenue, 11th 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 0001607350-15-000001 2013-11-01 true true false 100000 D. A. Davidson & Co. 199 None None 8 Third Street North Great Falls MT MONTANA 59401 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 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 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 SD SOUTH DAKOTA 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 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 SD SOUTH DAKOTA TN TENNESSEE TX TEXAS UT UTAH VT VERMONT VA VIRGINIA WA WASHINGTON WI WISCONSIN false HighTower Securities, LLC 116681 None None 200 West Madison Street Suite 2500 Chicago IL ILLINOIS 60606 All States false William Blair 1252 None None 222 West Adams Street 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 Kestra Investment Services LLC 42046 None None 1250 Capital of TX HWY S #2-125 Austin TX TEXAS 78746 All States false Lebenthal & Co. LLC 145750 None None 230 Park Avenue 32nd Floor New York NY NEW YORK 10175 All States false Avondale Partners, LLC 46838 None None 3102 West End Avenue Suite 1100 Nashville TN TENNESSEE 37203 AL ALABAMA AZ ARIZONA AR ARKANSAS CA CALIFORNIA CO COLORADO CT CONNECTICUT DE DELAWARE 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 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 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 NFP Securities Inc 42046 None None 1250 Capital of Texas HWY S. #2-125 Austin TX TEXAS 78746 All States false 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 Wunderlich Securities, Inc. 2543 None None 6000 Poplar Avenue Suite 150 Memphis TN TENNESSEE 38119 All States false Indefinite 42445912 Indefinite false 116 61700 true 0 0 false CAIS OZMF LLC Timothy Shannon Timothy Shannon President 2016-10-24