CAIS Platform Sees Rising Advisor Demand for Structured Notes

CAIS’ open architecture issuer platform complements clients’ access to alternatives amid demand for diversification

NEW YORK--(BUSINESS WIRE)--CAIS, the leading alternative investment platform for independent financial advisors, registered a surge in demand for structured notes, also known as structured investments, as advisors continue to ramp up diversification efforts.

Structured notes, which are available to accredited investors, may offer advisors flexible investment solutions to dampen volatility, provide outsized returns, or enhance income in client portfolios. According to a 2023 CAIS-Mercer survey of over 250 independent financial advisors, nearly one-third of respondents currently allocate to structured notes, with a quarter planning to increase their allocations by 2025. This coincides with rising advisor demand observed on the CAIS platform, with a 46% increase in the number of advisors allocated to structured notes in Q1 2024 (vs. Q1 2023), and volume outpacing that of the broader industry during this timeframe.

"Structured notes have emerged as an integral part of an advisor’s toolkit by providing the potential for yield, growth, and/or protections," said Marc Premselaar, Head of Structured Investments at CAIS. “We view these products as another core alternative to help advisors achieve outcomes for their end-clients, and our technology is paving the way in ensuring these solutions are both accessible and well-understood.”

Amid this increasing demand, Osaic, one of the nation's largest providers of wealth management solutions with over $500B in assets under administration, recently expanded their partnership with CAIS to power their structured notes offerings. This comes less than a year after Mariner and CAIS announced their expanded partnership to introduce the independent wealth channel to Mariner’s separately managed accounts (SMAs).

“Since launching with CAIS last year, our structured notes SMA strategies have seen remarkable growth,” said Marty Bicknell, CEO and President of Mariner. “CAIS’ ability to help us deliver streamlined access to our advisors, alongside their experienced advisor-focused team, has made this an ideal collaboration.”

Bicknell is one of the many wealth management leaders speaking at the third annual CAIS Summit – the industry’s marquee gathering of independent advisors and alts managers taking place from October 14-17 at the Beverly Hilton in Los Angeles, California. To learn more about the event and inquire to attend, click here.

About CAIS
CAIS is the pioneer in democratizing access to and education about alternative investments and structured notes for independent advisors, asset managers, and bank issuers, empowering them to engage and transact on a massive scale. We believe that the combination of industry-leading technology and human interaction throughout the pre-trade, trade, and post-trade experience delivers superior operational efficiency and a world-class client experience.

CAIS provides advisors with access to a broad selection of alternative investment strategies, including private equity, private debt, real estate, infrastructure, hedge funds, and structured notes, allowing them to capitalize on opportunities and withstand ever-changing markets.

CAIS streamlines the end-to-end transaction process through digital subscriptions and powers integrated reporting through leading US custodians and reporting providers, making investing in alternatives simpler. CAIS also enables advisors to centralize all their alts and notes on one platform, whether they were purchased on or off the CAIS platform, through CAIS Solutions, and helps advisors create custom fund vehicles around ideas they source.

Founded in 2009, CAIS, a fintech leader, supports over 34,000 advisors who oversee more than $4.5 trillion in network assets. Since its inception, CAIS has facilitated over $30 billion in transaction volume. CAIS has offices in New York, Los Angeles, Austin, and London. For more information about CAIS, please visit www.caisgroup.com.

Securities offered through CAIS Capital LLC, member FINRA, SIPC.