Private fund adviser · New York, NY
Cais Advisors
Cais Advisors LLC · SEC-registered investment adviser · CRD 317466 · SEC 801-130768
At a glance
Cais Advisors is an SEC-registered investment adviser based in New York, New York, with $225 million in regulatory assets under management as of its Form ADV filed June 26, 2026. Its largest client group by assets is pooled investment vehicles. By Form ADV it is a private fund adviser, ranked 3,928th of 4,686 private fund advisers and 11,643rd of 17,210 SEC-registered advisers by assets.
Main office 212-300-9355caisadvisors.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $225M
- Rank among private fund advisers
- #3,928 of 4,686
- Rank among all SEC RIAs
- #11,643 of 17,210
- Rank in New York
- #1,871 of 2,591
- Clients
- 4
- Accounts
- 4
- Discretionary
- 100% of AUM
- Employees
- 32
- Advisory staff
- 8
- Offices
- 1
Owners and executives on its Form ADV
- Neil D. BlundellChief Investment Officer
- Terrence M. McCarthyChief Financial Officer & Chief Operations Officer
- Michael N. RichmanChief Legal Officer
- Michael P. CollinsChief Compliance Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
Cais Advisors is a hybrid RIA: 14 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Cais Capital LLC.
- Cais Capital LLC ↗CRD 154512
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pooled investment vehicles | 2 | $160M | 71% |
| Corporations or other businesses | 1 | $65M | 29% |
| Investment companies | 1 | $0M | 0% |
Private funds
Cais Advisors reports 2 private funds with $160M in gross assets: private equity funds, other private funds (Form ADV Item 7.B).
Disciplinary disclosures
Cais Advisors reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses and institutions
- Other services
How it’s paid
- A percentage of assets under management
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗caisadvisors.com ↗
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The full record on Cais Advisors
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 2 years of filings
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- Growth over one, three and five years
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- Rank against 1,816 peers of its type and size
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- Owners and executives, with titles and stakes
- 4 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Cais Advisors manage?
Cais Advisors reports $225 million in regulatory assets under management across 4 accounts, 100% of it on a discretionary basis, on its Form ADV filed June 26, 2026.
What kind of firm is Cais Advisors?
Cais Advisors is a private fund adviser by its Form ADV answers. Private funds are at least half of its business by assets.
Who are Cais Advisors’s clients?
By assets, its largest client types are pooled investment vehicles ($160 million, 2 clients); corporations or other businesses ($65 million, 1 clients); investment companies ($0, 1 clients).
Does Cais Advisors manage private funds?
Yes. It reports 2 private funds with $160 million in gross assets, including private equity funds, other private funds.
Does Cais Advisors have any disciplinary history?
Cais Advisors reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Cais Advisors’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-06-26), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →