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.

Current firm

CAIN, WATTERS & ASSOCIATES, LLC

Current firm class

independent wealth managerderived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

Jun 27, 2001earliest registration or exam on IAPD

Years in industry

25derivedfrom the industry start date

Years at current firm

17derivedfrom the current registration's begin date

Prior firms

2

Current registrations

2

Registered states

1

Designations

Chartered Financial Analyst

Exams

S63|S65

First exam

Jun 27, 2001

First registration

Mar 26, 2002

Dual registered

no

IAPD individual key

3081346

Graph

RIA / Wealth Management

Canonical id

dfx:ria:975b9126-a139-613d-8e40-4df0d21a5eba

First observed

Mar 26, 2002

Last observed

Sep 14, 2026 6 days ago

Source families

Federal regulator filings

1 registered feed 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.