0001607350-18-000001.txt : 20180612 0001607350-18-000001.hdr.sgml : 20180612 20180612130233 ACCESSION NUMBER: 0001607350-18-000001 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: 20180612 DATE AS OF CHANGE: 20180612 EFFECTIVENESS DATE: 20180612 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: 18894070 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 X0708 D/A LIVE 0001607350 CAIS OZMF LLC CAPITAL INTEGRATION SYSTEMS LLC, 527 MADISON AVENUE, 2ND FLOOR NEW YORK NY NEW YORK 10022 212- 790-0000 DELAWARE None None Limited Liability Company true 2013 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 0001607350-17-000001 2013-11-01 true true false 100000 D. A. Davidson & Co. 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 Dominick & Dominick, LLC 7344 None None 150 East 52nd Street 3rd 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 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 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 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 Avondale Partners, LLC 46838 None None 3102 West End Avenue Suite 1100 Nashville TN TENNESSEE 37203 VT VERMONT RI RHODE ISLAND HI HAWAII NY NEW YORK GA GEORGIA NV NEVADA TN TENNESSEE CA CALIFORNIA OK OKLAHOMA VA VIRGINIA MI MICHIGAN OH OHIO DE DELAWARE WY WYOMING IA IOWA FL FLORIDA MD MARYLAND MA MASSACHUSETTS SC SOUTH CAROLINA AR ARKANSAS UT UTAH IL ILLINOIS IN INDIANA CT CONNECTICUT MN MINNESOTA WI WISCONSIN AZ ARIZONA KY KENTUCKY MO MISSOURI KS KANSAS OR OREGON MS MISSISSIPPI LA LOUISIANA NH NEW HAMPSHIRE WA WASHINGTON NJ NEW JERSEY PR PUERTO RICO NM NEW MEXICO TX TEXAS AL ALABAMA CO COLORADO PA PENNSYLVANIA NC NORTH CAROLINA 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 Wunderlich Securities, Inc. 2543 None None 6000 Poplar Avenue Suite 150 Memphis TN TENNESSEE 38119 All States 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 Indefinite 43041478 Indefinite false 121 97600 true 0 0 false CAIS OZMF LLC Timothy Shannon Timothy Shannon President 2018-06-12