09.23.2022 11 new Morning Note posts under Morning Note (10) and CAPIS Insights (1)


"Why CAPIS?  Why Now?"

posted by CAPIS on 09/09/2020 at 10:01 am


09/09/2020 at 10:01 am

Penned by Ann Sebert, CEO and President


When I’m asked, “What is the biggest challenge for CAPIS?” My response has always been, “Recognition.”

Throughout my career at CAPIS, I spent time on the financial side of the business, and while I knew the firm’s sizable footprint in the industry, I was not in a position to lead the effort promoting CAPIS. That all changed in January 2020, when I assumed the position of CEO.

Since taking on this new role, my management team and I have made telling CAPIS’ story a priority as we enter the next chapter of our history as a leading broker for institutional asset managers. CAPIS has always been a trusted, compliance-driven partner to our clients, but for 40-plus years, our marketing efforts were solely word of mouth. Our client base is now over 1,000 strong, with many of those client relationships dating back to CAPIS’ founding in 1977, but still we’re asked, “What is CAPIS?”

It’s time to tell our story and spread the word about CAPIS. As such, we have formalized our mission statement:

CAPIS is a compliance-driven brokerage firm, transacting financial assets for institutional investors. Our mission is to be the standard for unbiased execution and customized solutions; Trading every dollar as if it were our own and servicing every client to the best of our abilities.

In the coming months, CAPIS’ visibility will be more pronounced. You may have already noticed we are becoming more active on social media (follow us via Twitter, LinkedIn, and our recently launched YouTube channel) and started creating content on a consistent basis. You can expect us to be more visible in the media and we will begin hosting virtual panels (you will hear more from us on this topic in the near future).

We want to engage with the market in ways we haven’t before, using our voice to advocate for smarter regulation and more robust markets. Moving forward, we will further demonstrate how our core values and characteristics as a company relate to our services, which include:

  • Commission Management (CSA)
  • Commission Recapture
  • Program Trading
  • Transition Management
  • Execution-Only
  • ARC (WRAP solutions)
  • Outsourced Trading
  • Bank Trust Services
  • Liquidity Sourcing
  • Ally Reports

We prevail because of our independence, our strong culture, and our endless commitment to treat every order as if it were our own, and now we want to share the secret. So, by the end of 2020, we hope we will face less of the question, “What is CAPIS?”

Since 1977: Integrity, Execution & Transparency…The CAPIS Difference


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