CONCERT Wealth Management Selects CAIS

July 23, 2012

CONCERT Adds Competitive Offering of Alternative Investment Funds, Products & Tools Through CAIS

CONCERT Wealth Management, is pleased to announce the adoption of CAIS to improve its offering of alternative investment funds and products. CONCERT, a California-based RIA that offers integrated financial planning-based investment solutions for high net worth individuals and families, will integrate the CAIS platform providing their advisors with a robust solution for alternative investments.

As a CAIS Member Firm, CONCERT’s growing team of Wealth Advisors will gain secure access to the CAIS online exchange, which provides a broad menu of top-tier alternative investment funds and products, robust analytical tools, streamlined trade execution and integrated reporting capabilities. Operational risk and investment due diligence on CAIS-listed products is conducted independently by

Through a secure web-based interface, CAIS will provide Jefferies advisors access, ongoing support and independent due diligence to a menu of offshore and U.S. alternative investment funds. CAIS also conforms to the existing Jefferies platform architecture and reporting protocol and integrates with the firm’s custodian, Pershing. Mercer Investment Consulting.

“The ability of CAIS to seamlessly integrate into CONCERT’s technology platform, and with our independent custodians, provides us with a turnkey solution for the growing demand for alternative investments,” said Felipe Luna, CONCERT Founder and CEO. “With the top alternative investment managers choosing to list on CAIS, we view this addition as a key competitive advantage for our Advisors.”

CONCERT is a hybrid RIA/Broker Dealer with assets of $1.5 billion. It currently has 54 affiliated Advisors and is growing at a rate of 100% per year. CONCERT has successfully attracted the industry’s most successful wire-house advisors and served as a back office platform for them as they’ve built their own independent firms.

CAIS is the leading independent exchange for in-demand financial products servicing the global wealth management industry and has successfully attracted premier wealth management firms and asset managers to the exchange. The firm’s open architecture approach allows for the seamless integration of its exchange with the operating environments of its Member Firms and their custodians.


CONCERT Wealth Management is part of the CONCERT Global Group, Ltd. family of companies and is headquartered in San Jose, California, the heart of Silicon Valley. CONCERT Global was initially established in 2005 by CEO Felipe Luna to offer an innovative and independent business model for Advisors who wanted to own their own firm and serve their clients better than they could at the wirehouses.

Since its inception in 2006, CONCERT Wealth Management has offered global financial solutions to meet the demanding needs of high net worth individuals, families and institutions. By building strategic alliances with the world’s leading providers of financial services and solutions and partnering with a growing network of other professional Advisors, CONCERT continues to be a recognized leader in the field. CONCERT Wealth Management has been ranked in the Top 100 RIAs of 2012 by Rep. and CEO Felipe Luna was recently named in RIABiz as one of the Top 10 people to watch in 2012.

About CAIS

CAIS is the leading alternative investment platform for financial advisors who seek improved access to and education about alternative investment funds and products. CAIS provides financial advisors with a broad selection of alternative investment strategies including, hedge funds, private equity, private credit, real estate and structured notes, allowing them to capitalize on opportunities and/or withstand ever-changing markets. Additionally, CAIS provides an industry-leading learning system, CAIS IQ, that helps advisors learn faster, remember longer and improve client outcomes.

All funds listed on CAIS undergo Mercer’s independent due diligence and ongoing monitoring. Mercer diligence reports and fund ratings are available to advisors on the CAIS password-protected platform. CAIS streamlines the end-to-end transaction process through digital subscriptions and integrated reporting with Fidelity, Schwab and Pershing, making investing in alternatives simple.

Founded in 2009, CAIS, a fintech leader, is empowering wealth management by leveling the playing field for financial advisors everywhere.

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

Press Contact
Tony Fassi
Jones-Dilworth, Inc.
(512) 826-3428
[email protected]