CAIS Interface Setup Instructions

Contact CAIS

Submit a Support Case to Orion

• Log into Orion Connect and open the Support app.
  • Click the  button within the Support app.
  • Select the Service Request tab.

Service Request Details:

• Support Service Team: Reconciliation (If you are working directly with the Onboarding team, select Onboarding as the Support Service Team instead)
• Advisor #: populate with your firm's Orion advisor number
• Subject: New CAIS Feed - [insert firm name]
• Description:
  • We have contacted CAIS to request a new feed of our data to Orion. Please initiate an internal process to prepare this feed for our database.
    • Firm ID: to be sent to sme-data@orion.com
    • Do you intend to share this feed with any other database(s) in Orion? YES or NO (If yes, please explain)
    • Three Sample Accounts: [enter three account numbers expected in the feed]
    • Rep Assignment: If there is a representative you would like auto-assigned to this feed, provide the Orion Rep ID (located in Firm Profile > Representatives) and the name.
    • CAIS Asset Allocation: 
      • Are the CAIS assets downloading within a Custodial account? YES or NO
        • If YES, denote how you wish the assets be brought in: In Custodial account or Separate alternative account
      • Are the CAIS assets manually maintained in Account Composer/AIP? YES or NO
    • Will you use asset-specific alternative reporting: YES or NO
      • NOTE: Orion offers asset-specific reporting for alternative investments which require the complete history of the asset to reside in a single asset.
    • Call Availability: Denote three dates and time slots you/your team would be available to discuss the details provided above and your expectations of the feed.
    • New Accounts Process: Auto-Add or Auto-Exclude (Denote how you wish to handle new accounts in your database)
• Click Submit

Interface Notes

• Requests not completed within 60 days are subject to cancellation. Custodial delays and other special circumstances may allow for more time as necessary.
• Please Note: Data cannot apply to your database until Orion receives notice from CAIS that includes your firm's Firm ID.
• This feed contains name files, so accounts can be created automatically through the feed.
• Rep Mapping is not available.
• Approximate time to complete: 14-28 business days from when Orion receives all applicable information

Recon Facts and Best Practices

• CAIS data is not supported in sleeved registrations. To utilize sleeved registrations, the alternative data must be provided from the custodian directly, not CAIS.
• Custom account numbers are available if you choose to utilize a custodian account number for your CAIS holdings. For more information, contact fundreporting@caisgrouop.com.

CAIS Asset Housing

There are 2 options to consider when housing CAIS assets:

1. CAIS assets are housed and created within their own Account ID and do not feed into existing custodial accounts. Having separate account shells for CAIS assets prohibits reconciliation errors commonly caused by multiple download sources feeding into one shell.
   • The custodial account and CAIS account are in the same registration for reporting purposes. The CAIS account does have an account prefix of "CAIS_". Additionally, the account number suffixes between the two shells match.  
     • Please Note: CAIS accounts follow your firm's default billing settings.
     • Example account number formats:
       • • CAIS: CAIS_000123456
         • Custodial: 000123456
2. CAIS assets are housed and created within the existing custodial account IDs. The CAIS assets appear in the custodial account. The custodial asset will be zeroed out and the CAIS asset will hold value within the same account ID.
   • Please Note: CAIS accounts follow your firm's default billing settings.
   • Account numbers do not have an account prefix.

For more information, review CAIS Account Facts.

Utilize CAIS's website for additional information: https://www.caisgroup.com.
Contact Orion's SME Data Reconciliation team for any additional questions.