WRAP/Custodial Solutions

Enables RIAs to efficiently aggregate orders, execute blocks, trade-away, and process step-outs.

Since 1977, CAPIS Has Been Committed To Helping Investment Advisors With Their Best Execution Initiatives.

Through CAPIS ARC (Allocation, Reconciliation, and Clearing), managers can address best execution obligations, without the hassles of sponsor rotation, while simplifying their operations processing.


What is CAPIS ARC?

CAPIS ARC is a post-trade allocation utility for investment managers sub-advising the managed account industry.

How Does CAPIS ARC Work?

Traditional execution and allocation methods for managed accounts can be inefficient and time-consuming. With CAPIS ARC:

  • Investment advisors can execute managed account orders with their broker of choice. The executing broker settles to a clearing account at CAPIS with CAPIS ARC automating the allocation process with each of the sponsor platforms.
  • Each sponsor receives an automated email notification with detailed delivery instructions.
  • Each component of the net step-out price is fully disclosed, which includes execution price, commission or explicit fee, and operational fee.

CAPIS ARC mitigates the inefficient practice of sponsor rotation thereby reducing market impact, information leakage, and account return dispersion.

  • Lower Costs: Aggregating the number of tickets for settlement decreases custodial charges, messaging fees, and fees incurred when clearing with multiple executing brokers.
  • Simplify Operations: CAPIS ARC automates the step-out process thereby reducing the amount of time spent on operational tasks.
  • End Sponsor Rotation: With CAPIS ARC, investment managers will no longer be subject to the time-consuming, inefficient process of sponsor rotation.
  • Demonstrate Best Execution: CAPIS ARC gives managers the freedom to execute orders with the broker or trading venue of choice, including CAPIS. Orders can be executed as a block promoting best execution across all accounts.


Since 1977, CAPIS has provided agency global execution services, commission management programs, independent research, and compliance support to institutional investors.


24/6 Global Trading Desk

The CAPIS trading desk offers global equity, fixed income, derivative, and portfolio trading services.

  • 17 People
  • 24 years of average experience

What We Cover

Global Equity

We use the latest technology to execute our trades, while also offering the personal attention of a block trader. CAPIS’ 24-hour global trading desk delivers superior execution and exceptional trading coverage. And whether you use an electronic trading system or prefer to talk to a human trader, you’ll receive the same superior client service.

Fixed Income

A pioneer of agency trading in fixed income instruments, CAPIS is one of the only brokers that continues to provide research credit on eligible fixed income trades.


Enhance your trading strategies using options and futures. Our derivatives trading desk can help you customize trading strategies to optimize your portfolio and reduce your risk exposure. Options are also eligible for research credit in our CCA/CSA program.

Portfolio Trading

Our portfolio trading desk can implement a coordinated strategy or trading algorithm specifically tailored to your needs. Not only do our traders utilize the most sophisticated trading technology, but they are also involved throughout the entire process to ensure a personalized level of service.

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