Enhancements on the CAIS platform unify Schwab’s independent advisor experience across subscription-based and ticker-traded alternative investment funds to simplify processes and enable faster client onboarding

CAIS, the leading alternative investment platform for independent financial advisors, announced today an expanded technology integration with Schwab Advisor Services, the industry leader and largest custodian of registered investment advisor (RIA) assets. This collaboration enables advisors to scale execution of ticker-traded alternative investment products—as well as subscription-based funds— through the CAIS platform, reinforcing CAIS as the single destination for alternative investments while simplifying client onboarding.

With the Schwab integration, advisors can bring account profiles onto the CAIS platform and facilitate transactions across both subscription-based and ticker-traded funds. These enhancements remove duplicative workflows and manual processes, while strengthening oversight—giving advisors a faster, more streamlined way to access and trade a broad range of alternatives. By simplifying the investment journey, advisors can spend less time on operations and more time driving efficiency and delivering a better client experience.

“Our expanded partnership with Schwab streamlines processes and modernizes workflows, making it easier than ever for advisors to adopt alternatives,” said Brendan Cuddihy, Chief Operating Officer of CAIS. “Unlike public securities, alternative investments come with unique complexities that demand robust oversight. Managing them outside an integrated solution can limit efficiency and scalability. Through the CAIS–Schwab collaboration, advisors can streamline transacting in the full spectrum of alternatives on the CAIS platform—streamlining workflows while strengthening oversight.”

“We’re excited to deepen our work with CAIS to help advisors simplify their operations and manage alternative investments more efficiently,” said Alison Dooher, Head of Digital Advisor Solutions for Schwab Advisor Services. “Together, we’re making it easier for advisors to access alternatives within their existing workflows, with greater transparency and reduced operational complexity.”

“The expanded Schwab–CAIS integration represents a meaningful step forward not only for our business but also for the industry as a whole. By consolidating subscription-based and ticker-traded alternatives onto a single platform with robust oversight, we are simplifying execution while ensuring that we can rely on the integrity of the data we are working with,” said Chris Wilde, Managing Director of Trading and Investment Operations at Focus Partners Wealth. “This confidence allows us to scale our adoption of alternatives more efficiently. This kind of innovation reduces operational complexity, supports alignment with regulatory standards, and ultimately enhances the client experience.”

Schwab and Focus Financial Partners will also be participating in the 2025 CAIS Alternative Investment Summit, the marquee gathering of independent advisors and alts managers, in Beverly Hills, October 13–16, 2025. For more information on CAIS events, please visit www.caisgroup.com/events.

About CAIS

CAIS is the leading alternative investment platform for independent financial advisors. The CAIS platform powers the pre-trade, trade, and post-trade lifecycle of alternative investments and capital market strategies providing financial advisors and alternative asset managers with a single operating system for scale and efficiency.

CAIS serves over 2,000 wealth management firms that support more than 62,000 financial advisors who oversee approximately $7 trillion in end-client assets. Founded in 2009, CAIS is headquartered in New York City with offices in Austin, TX; London; and Red Bank, NJ.

CAIS continues to be recognized for its innovation and leadership including awards for Alternative Investment Firm of the Year by Wealth Solutions Report, WealthTech100 List by Fintech Global, Great Places to Work by Fortune, Best RIA Platform by SPi, Best Alternative Investments Solution by Finovate, and many others.

For more information about CAIS, please visit www.caisgroup.com.

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

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