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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

CAI CAPITAL MANAGEMENT, INC.

CRD 161563

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:e0359294-e561-515e-ff36-25b9cc6bbb4e

Data as of Mar 14, 2013 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Feb 13, 2012 to Mar 14, 2013
3 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $158MItem 5.F on the latest filing (2013-03-14); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $158M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees: 3
Accounts: 1
Private funds: 1Schedule D 7.B(1)
Private fund GAV: $158Mgross asset value as reported per fund; never fund size
SEC number: 801-73368
CRD: 161563
Filings on the tape: 3
First filed: Feb 13, 2012
Latest filed: Mar 14, 2013
Organised: Corporation, New York

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
WHITNEY CAPITAL SERIES FUND LLC - SERIES T	Hedge Fund	$158M	Mar 14, 2013	1	Feb 16, 2012	reported	021-176760

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
LIU, NIANDONG	Principal	C	yes	07/2011	Feb 13, 2012	Mar 14, 2013
WURTZ, CHRISTOPHER, THOMAS	PRINCIPAL, PRESIDENT, AND CHIEF COMPLIANCE OFFICER	D	yes	07/2011	Feb 13, 2012	Mar 14, 2013

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2012	Mar 14, 2013	$158M	$158M	3	3	n/a	1	$158M

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2012	$158M	n/a	n/a	n/a	n/a	3	n/a	n/a	n/a

Relationships

Advises (1)

→ WHITNEY CAPITAL SERIES FUND LLC - SERIES TPrivate fundHedge Fund, IA
Feb 16, 2012 to presentfactForm ADV

Controls (2)

← LIU, NIANDONGOwnerPRINCIPAL, ownership code C, individual
Feb 13, 2012 to presentfactForm ADV
← WURTZ, CHRISTOPHER, THOMASOwnerPRINCIPAL, PRESIDENT, AND CHIEF COMPLIANCE OFFICER, ownership code D, individual
Feb 13, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e0359294-e561-515e-ff36-25b9cc6bbb4e
First observed: Feb 13, 2012
Last observed: Mar 14, 2013 164 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

CAI CAPITAL MANAGEMENT, INC.

CRD 161563

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:e0359294-e561-515e-ff36-25b9cc6bbb4e

Data as of Mar 14, 2013 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:18 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

WHITNEY CAPITAL SERIES FUND LLC - SERIES T

Hedge Fund

$158M

Mar 14, 2013

Feb 16, 2012

reported

021-176760

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

LIU, NIANDONG

Principal

yes

07/2011

Feb 13, 2012

Mar 14, 2013

WURTZ, CHRISTOPHER, THOMAS

PRINCIPAL, PRESIDENT, AND CHIEF COMPLIANCE OFFICER

yes

07/2011

Feb 13, 2012

Mar 14, 2013

City

State

Country

Employees

Also broker-dealer

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2012

Mar 14, 2013

$158M

n/a

$158M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2012

$158M

n/a