DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Cain, Watters & Associates, LLC
Latest filing Jun 4, 2026
First filing on the tape Mar 7, 2012 · 49 filings
SEC status approved since Sep 30, 1991
RAUM
$5.0B
reported, Item 5.F
Discretionary
47%
of RAUM
Private clients
58%
$2.9B individuals and HNW
Advisors
76
registered through the firm on IAPD
RAUM per advisor
$66.3M
derived; firm RAUM over IAPD count
Employees
341
86 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
49 filings and snapshots on the tape
RAUM$5.0B as of Jun 4, 2026
Mar 7, 2012$1.0B then
HNW client RAUM$2.5B as of Jun 4, 2026
Mar 29, 2018$449M then
State-registered IARs (5.B.3)74 as of Jun 4, 2026
Mar 7, 20120 then
Employees (5.A)341 as of Jun 4, 2026
Mar 28, 201399 then
Private funds: no history
RAUM +19% over the last fiscal year+24% a year over threeIARs 71 to 74
Practice profile
derived from the filing of Jun 4, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $66.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 30derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $414,962derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 47%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.5derivedItem 5.A over advisors
- Advisors per office
- 25.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +4.2%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
- Financial planning clients
- 3,000reportedItem 5.H
- Custody
- $1.1B, 4,069 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- a related person acts as qualified custodian (9.D.2)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.5B85%
- Individuals$426M14%
- Charitable organizations$1.9M0.1%
- Individual clients
- 1,474reported
- HNW clients
- 800reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 12,138reported
- Financial planning clients
- 3,000reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.1B for 4,069 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.58 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=0.0derived
Advisors registered through the firm
76 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Dan Charles WickerPersonal Financial Specialist | Plano, Tx | Jan 11, 1999 | 18 y | 0 |
| Steven Lawrence Cain | Plano, Tx | Jun 24, 1999 | 27 y | 0 |
| Timothy Basil Greaves | Plano, Tx | Mar 11, 2002 | 24 y | 0 |
| Steven Bradley Clapp | Plano, Tx | May 16, 2002 | 25 y | 0 |
| Thomas Robert Sanders | Plano, Tx | Oct 23, 2002 | 24 y | 0 |
| Toni Hatcher LeePersonal Financial Specialist | Plano, Tx | Apr 17, 2003 | 23 y | 0 |
| Holly Allison Grube | Frisco, Tx | Feb 13, 2004 | 23 y | 0 |
| Edward Michael Daude | Frisco, Tx | May 16, 2005 | 21 y | 0 |
| Judson Standefer Crawford | Plano, Tx | Jul 27, 2005 | 21 y | 0 |
| Brian Robert BortzPersonal Financial Specialist | Plano, Tx | Dec 1, 2005 | 27 y | 3 |
| Paul Douglas LyonsCertified Financial Planner | Frisco, Tx | Feb 13, 2006 | 24 y | 1 |
| Heidi H Barnett | Frisco, Tx | May 8, 2006 | 24 y | 0 |
| Thomas Damon Gates | Frisco, Tx | Jun 1, 2006 | 23 y | 0 |
| William Thomas Harrigan | Frisco, Tx | Jul 21, 2006 | 33 y | 1 |
| Bradley Wayne Blasingame | Frisco, Tx | Jan 26, 2007 | 20 y | 0 |
| Charles Arnold Loretto | Plano, Tx | Jan 25, 2008 | 25 y | 0 |
| Hunter David Satterfield | Plano, Tx | Jan 21, 2009 | 18 y | 0 |
| Brad Robert SandersChartered Financial Analyst | Frisco, Tx | Mar 11, 2009 | 25 y | 2 |
| Keith Robert Klein | Frisco, Tx | Aug 13, 2010 | 16 y | 0 |
| Caitlin Summers Bryan | Frisco, Tx | Feb 25, 2011 | 16 y | 0 |
| Jennifer Lynn Gage | Frisco, Tx | Apr 11, 2011 | 17 y | 0 |
| Regan Elizabeth Stephenson | Frisco, Tx | Jun 7, 2011 | 15 y | 0 |
| Brook Hoover | Frisco, Tx | Jun 18, 2014 | 12 y | 0 |
| Mason Stern | Plano, Tx | Jun 25, 2014 | 12 y | 0 |
| Matthew Scott Clynch | Frisco, Tx | Jul 21, 2014 | 13 y | 0 |
| Angela Marie Svitak | Frisco, Tx | Mar 2, 2015 | 12 y | 0 |
| Brittany Morgan Frazier | Frisco, Tx | Mar 2, 2015 | 13 y | 0 |
| David Giles Forbess | Frisco, Tx | Jun 3, 2015 | 11 y | 0 |
| Zane Jeffrey Harris | Frisco, Tx | Jul 20, 2016 | 11 y | 0 |
| Kaitlin Elizabeth Mitchell | Frisco, Tx | Aug 25, 2016 | 15 y | 0 |
| Erica C Sanders | Frisco, Tx | Jul 25, 2017 | 15 y | 0 |
| Scott Alan Lyle | Frisco, Tx | Jun 22, 2018 | 11 y | 0 |
| Sarah Kelly Oliver | Frisco, Tx | Oct 1, 2018 | 11 y | 0 |
| Jennifer Erin Klein | Frisco, Tx | Oct 9, 2018 | 20 y | 1 |
| Justin Morgan Fry | Frisco, Tx | Jun 27, 2019 | 10 y | 0 |
| Trevor Christian Bates | Frisco, Tx | Sep 4, 2019 | 11 y | 0 |
| Julie Marie Denham | Frisco, Tx | Feb 11, 2020 | 10 y | 0 |
| Annie Caroline Lamm | Frisco, Tx | Sep 16, 2020 | 11 y | 0 |
| Eric Joseph Lamm | Frisco, Tx | Jan 8, 2021 | 14 y | 0 |
| Matthew James Peterson | Frisco, Tx | Feb 4, 2021 | 10 y | 0 |
Advisor movement
2 left, 2 joined in 12 months
net 0 in 12 months0 left in 90 days2 joined in 90 daysdeparture rate 2.6% of current headcount7 left over 36 months
Left, latest
- Ashley Lavon Clark to Root Financial PartnersFeb 2, 2026 · RIA to RIA
- Gary Blake Wallace to Eagle Strategies LLCDec 22, 2025 · RIA to affiliated broker-dealer or bank
- Eric Robert Dluzniewski to LPL Financial LLCMar 27, 2025 · RIA to affiliated broker-dealer or bank
- Jacob Robert Sheaf to Landaas & CompanyAug 22, 2024 · RIA to RIA
- Peyton Alexis Ask to CaptrustJul 25, 2024 · Other
- David Christopher York to Index Fund Advisors, Inc.May 21, 2024 · RIA to RIA
- Nathan Taylor Hill to Paladini Financial Advisors, LLCOct 19, 2023 · RIA to RIA
- David Rhodes Cannon to David Rhodes Cannon, C.P.A., LLCFeb 23, 2023 · RIA to a state-registered adviser
- Natalie Young to Merrill Lynch, Pierce, Fenner & Smith IncorporatedDec 19, 2022 · RIA to wirehouse
- Chelsea Danielle Johns to Mills Wealth Advisors, LLCSep 30, 2022 · RIA to RIA
- Jefferson Roy Wang to Gordon Oak Financial, LLCJan 15, 2021 · RIA to a state-registered adviser
- Kellee Angela Harrigan to Privus Financial, LLCMar 26, 2019 · Other
- Teresa Donne Gast to Privus Financial, LLCJan 23, 2019 · Other
- Charles Martin Thomas to Howard Financial Services, Ltd.Aug 2, 2018 · RIA to RIA
- Kevin Michael Lindley to Beaird HarrisOct 31, 2017 · Other
Joined, latest
- Nathan Robert Nelson from Fisher InvestmentsSep 2, 2026 · RIA to RIA
- Alfred Douglas Mckelvy from Fisher InvestmentsAug 10, 2026 · Other
- Caeden Ames Byrd from Strategic Advisers LLCApr 23, 2025 · Affiliated broker-dealer or bank to independent RIA
- Gizelle Grace George from Merrill Lynch, Pierce, Fenner & Smith IncorporatedMar 31, 2025 · Wirehouse to independent RIA
- Micah Taylor Adams from Strata Wealth Advisors, LLCMar 28, 2025 · RIA to RIA
- Samuel Austyn Scott from Edward JonesAug 7, 2024 · Affiliated broker-dealer or bank to independent RIA
- Eric Allen Jacobsmeyer from DynamicMay 29, 2024 · RIA to RIA
- Kellee Angela Harrigan from Privus Financial, LLCJun 17, 2021 · Other
- Natalie Young from Kestra Advisory Services, LLCJun 17, 2021 · Affiliated broker-dealer or bank to independent RIA
- Jeffrey Matthew Moss from Nfp Advisor Services, LLCMar 28, 2007 · Other
- Robert K Moran from Tectonic Advisors LLCMar 14, 2007 · Other
- Jason Matthew Morton from Tectonic Advisors LLCOct 2, 2006 · Other
- William Thomas Harrigan from Cornerstone Advisory CorporationJul 21, 2006 · Other
- Paul Douglas Lyons from Kpmg Investment AdvisorsFeb 13, 2006 · Other
- Brian Robert Bortz from Horizon Wealth Management, LLCDec 1, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Layne Jeremy Bolf · Chief Compliance Officercontrolsince 09/2024 · owns less than 5%
- Andrew Timothy Darley · General Counselcontrolsince 07/2024 · owns less than 5%
- Scott Erwin · Chief Operations Officercontrolsince 01/2024 · owns less than 5%
- Robert Brian Bortz · Ceocontrolsince 01/2019 · owns 75% or more of Brian R. Bortz Pc
- Ward Darrell Cain · Ceocontrolsince 07/1995 · owns 75% or more of Cain & Watters, Pc
- Lawrence Steven Cain · Ceocontrolsince 01/2019 · owns 75% or more of Steven L Cain, Pc
- Bradley Steven Clapp · Ceocontrolsince 01/2019 · owns 75% or more of Steven B. Clapp, Pc
- Standefer Judson Crawford · Ceocontrolsince 01/2019 · owns 75% or more of Judson S. Crawford Pc
- Giles David Forbess · Managing Membercontrolsince 10/2022 · owns 75% or more of David G. Forbess Pllc
- Basil Timothy Greaves · Ceocontrolsince 01/2019 · owns 75% or more of Tim B. Greaves, Pc
- Hatcher Toni Lee · Ceocontrolsince 01/2019 · owns 75% or more of Toni Hatcher Lee Pc
- Arnold Charles Loretto · Managing Membercontrolsince 01/2019 · owns 75% or more of Charles A. Loretto, LLC
- Robert Thomas Sanders · Ceocontrolsince 01/2019 · owns 75% or more of Thomas R. Sanders, Pc
- David Hunter Satterfield · Ceocontrolsince 01/2019 · owns 75% or more of Hunter D. Satterfield Pc
- Mason Stern · Managing Membercontrolsince 10/2022 · owns 75% or more of Mason G. Stern Pllc
- Charles Dan Wicker · Ceocontrolsince 01/2019 · owns 75% or more of Daniel C Wicker, Pc
Entity owners
- Brian R. Bortz Pc · Managing Memberdirect · owns 5% to 10%
- Cain & Watters, Pc · Managing Memberdirect · owns 5% to 10%
- Charles A. Loretto, LLC · Managing Memberdirect · owns 5% to 10%
- Cwa Financial Group, LLC · Managing Memberdirect · owns 75% or more
- Daniel C Wicker, Pc · Managing Memberdirect · owns 5% to 10%
- David G. Forbess Pllc · Managing Memberdirect · owns 5% to 10%
- Hunter D. Satterfield Pc · Managing Memberdirect · owns 5% to 10%
- Judson S. Crawford Pc · Managing Memberdirect · owns 5% to 10%
- Mason G. Stern Pllc · Managing Memberdirect · owns 5% to 10%
- Steven B. Clapp, Pc · Managing Memberdirect · owns 5% to 10%
- Steven L Cain, Pc · Managing Memberdirect · owns 5% to 10%
- Thomas R. Sanders, Pc · Managing Memberdirect · owns 5% to 10%
- Tim B. Greaves, Pc · Managing Memberdirect · owns 5% to 10%
- Toni Hatcher Lee Pc · Managing Memberdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- Charles Lorettoy
- Dan Wickery
- Darrell Ward Cainy
- Hwg Insurance Agency, LLCreal estaten
- III To I Property Management, LLCpooled vehicle sponsorn
- Sanders Morris LLCbroker-dealerinvestment advisernRAUM $576M
- Steve Cainy
- Steven Bradley Clappy
- T Bank, Nacustodiann
- Tectonic Advisors LLCinvestment advisernRAUM $5.1B
- Tim Greavesy
- Tom Sandersy
- Toni Leey
Advisers that list Cain, Watters & Associates, LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Frisco, Tx · principal | 65 | 6 | 1 | ||
| Plano, Tx | 11 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Kaysville, UT1 employees
- , 1 employees
ADV anomalies
14 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jun 4, 2026CAIN, DARRELL, WARD (CEO) left Schedule A between the filings of 2024-10-10 and 2026-06-04peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Jun 4, 2026WICKER, DAN, CHARLES (CEO) left Schedule A between the filings of 2024-10-10 and 2026-06-04peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Jun 4, 2026BORTZ, BRIAN, ROBERT (CEO) left Schedule A between the filings of 2024-10-10 and 2026-06-04peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Jun 4, 2026CLAPP, STEVEN, BRADLEY (CEO) left Schedule A between the filings of 2024-10-10 and 2026-06-04peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Jun 4, 2026GREAVES, TIMOTHY, BASIL (CEO) left Schedule A between the filings of 2024-10-10 and 2026-06-04peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Jun 4, 2026CAIN, STEVEN, LAWRENCE (CEO) left Schedule A between the filings of 2024-10-10 and 2026-06-04peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Jun 4, 2026SANDERS, THOMAS, ROBERT (CEO) left Schedule A between the filings of 2024-10-10 and 2026-06-04peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Jun 4, 2026LEE, TONI, HATCHER (CEO) left Schedule A between the filings of 2024-10-10 and 2026-06-04peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Jun 4, 2026CRAWFORD, JUDSON, STANDEFER (CEO) left Schedule A between the filings of 2024-10-10 and 2026-06-04peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Jun 4, 2026LORETTO, CHARLES, ARNOLD (MANAGING MEMBER) left Schedule A between the filings of 2024-10-10 and 2026-06-04peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Jun 4, 2026SATTERFIELD, HUNTER, DAVID (CEO) left Schedule A between the filings of 2024-10-10 and 2026-06-04peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Jun 4, 2026STERN, MASON (MANAGING MEMBER) left Schedule A between the filings of 2024-10-10 and 2026-06-04peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Jun 4, 2026FORBESS, DAVID, GILES (MANAGING MEMBER) left Schedule A between the filings of 2024-10-10 and 2026-06-04peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Jun 4, 2026Darley, Timothy, Andrew (GENERAL COUNSEL) left Schedule A between the filings of 2024-10-10 and 2026-06-04peers: independent wealth managers, $5B to $20B (289)
What changed
consecutive filings, newest first
- Accounts · 10,602 to 12,138Feb 2, 2026 to Mar 30, 2026
- Advisory employees · 71 to 86Feb 2, 2026 to Mar 30, 2026
- HNW clients · 679 to 800Feb 2, 2026 to Mar 30, 2026
- Individual clients · 1,410 to 1,474Feb 2, 2026 to Mar 30, 2026
- Assets in custody · $18.7M to $1.1BFeb 2, 2026 to Mar 30, 2026
- Employees · 337 to 341Feb 2, 2026 to Mar 30, 2026
- State-registered IARs · 71 to 74Feb 2, 2026 to Mar 30, 2026
- Discretionary RAUM · $1.9B to $2.4BFeb 2, 2026 to Mar 30, 2026
- HNW RAUM · $2.0B to $2.5BFeb 2, 2026 to Mar 30, 2026
- Individual RAUM · $390M to $426MFeb 2, 2026 to Mar 30, 2026
- Non-discretionary RAUM · $2.3B to $2.7BFeb 2, 2026 to Mar 30, 2026
- RAUM · $4.2B to $5.0BFeb 2, 2026 to Mar 30, 2026
- Accounts · 9,075 to 10,602Oct 10, 2024 to Apr 1, 2025
- Advisory employees · 63 to 71Oct 10, 2024 to Apr 1, 2025
- HNW clients · 566 to 679Oct 10, 2024 to Apr 1, 2025
- Individual clients · 1,497 to 1,410Oct 10, 2024 to Apr 1, 2025
- Employees · 283 to 337Oct 10, 2024 to Apr 1, 2025
- Financial planning clients · More than 500 to More than 500Oct 10, 2024 to Apr 1, 2025
- State-registered IARs · 63 to 71Oct 10, 2024 to Apr 1, 2025
- Discretionary RAUM · $1.9B to $1.9BOct 10, 2024 to Apr 1, 2025
- HNW RAUM · $1.6B to $2.0BOct 10, 2024 to Apr 1, 2025
- Individual RAUM · $334M to $390MOct 10, 2024 to Apr 1, 2025
- Non-discretionary RAUM · $1.7B to $2.3BOct 10, 2024 to Apr 1, 2025
- RAUM · $3.5B to $4.2BOct 10, 2024 to Apr 1, 2025
- Related insurance company · false to trueOct 10, 2024 to Apr 1, 2025
- Wrap assets (manager) · 0.0 to unsetOct 10, 2024 to Apr 1, 2025
- Wrap assets (sponsor) · 8914272.0 to unsetOct 10, 2024 to Apr 1, 2025
- Other offices · 1 to 2Mar 29, 2024 to May 29, 2024
- Accounts · 7,784 to 9,075Mar 31, 2023 to Mar 29, 2024
- Advisory employees · 61 to 63Mar 31, 2023 to Mar 29, 2024
- HNW clients · 411 to 566Mar 31, 2023 to Mar 29, 2024
- Individual clients · 1,317 to 1,497Mar 31, 2023 to Mar 29, 2024
- Employees · 265 to 283Mar 31, 2023 to Mar 29, 2024
- State-registered IARs · 61 to 63Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $1.2B to $1.9BMar 31, 2023 to Mar 29, 2024
- HNW RAUM · $1.1B to $1.6BMar 31, 2023 to Mar 29, 2024
- Individual RAUM · $284M to $334MMar 31, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $1.5B to $1.7BMar 31, 2023 to Mar 29, 2024
- RAUM · $2.7B to $3.5BMar 31, 2023 to Mar 29, 2024
- Wrap assets (sponsor) · $30.6M to $8.9MMar 31, 2023 to Mar 29, 2024
Signals
23 dated events
- Ashley Lavon Clark left Cain, Watters & Associates, Llc for Root Financial Partners (registered 2026-02-17)Feb 2, 2026 · Advisor changed firm · fact
- Gary Blake Wallace left Cain, Watters & Associates, Llc for Eagle Strategies Llc (registered 2026-06-01)Dec 22, 2025 · Advisor changed firm · fact
- Eric Robert Dluzniewski left Cain, Watters & Associates, Llc for Lpl Financial Llc (registered 2025-04-08)Mar 27, 2025 · Advisor changed firm · fact
- Layne Jeremy Bolf (Chief Compliance Officer) appeared on Schedule A of Cain, Watters & Associates, LlcOct 10, 2024 · Control person joined · fact
- Scott Erwin (Chief Operations Officer) appeared on Schedule A of Cain, Watters & Associates, LlcOct 10, 2024 · Control person joined · fact
- Andrew Timothy Darley (General Counsel) appeared on Schedule A of Cain, Watters & Associates, LlcOct 10, 2024 · Control person joined · fact
- Jacob Robert Sheaf left Cain, Watters & Associates, Llc for Landaas & Company (registered 2024-10-02)Aug 22, 2024 · Advisor changed firm · fact
- Peyton Alexis Ask left Cain, Watters & Associates, Llc for Captrust (registered 2025-02-20)Jul 25, 2024 · Advisor changed firm · fact
- David Christopher York left Cain, Watters & Associates, Llc for Index Fund Advisors, Inc. (registered 2025-07-22)May 21, 2024 · Advisor changed firm · fact
- Cain, Watters & Associates, Llc reported RAUM $3.5B, up 33% from $2.7B (2023-03-31 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- Nathan Taylor Hill left Cain, Watters & Associates, Llc for Paladini Financial Advisors, Llc (registered 2023-10-19)Oct 19, 2023 · Advisor changed firm · fact
- Mason Stern (Managing Member) appeared on Schedule A of Cain, Watters & Associates, LlcMar 31, 2023 · Control person joined · fact
- Giles David Forbess (Managing Member) appeared on Schedule A of Cain, Watters & Associates, LlcMar 31, 2023 · Control person joined · fact
- David Rhodes Cannon left Cain, Watters & Associates, Llc for David Rhodes Cannon, C.P.A., Llc (registered 2023-08-17)Feb 23, 2023 · Advisor changed firm · fact
- Natalie Young left Cain, Watters & Associates, Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2023-02-08)Dec 19, 2022 · Advisor changed firm · fact
- Chelsea Danielle Johns left Cain, Watters & Associates, Llc for Mills Wealth Advisors, Llc (registered 2022-08-15)Sep 30, 2022 · Advisor changed firm · fact
- Cain, Watters & Associates, Llc reported 62 state-registered advisory representatives, up from 49 (2021-12-02 to 2022-03-31)Mar 31, 2022 · Advisor headcount change · derived
- Cain, Watters & Associates, Llc reported RAUM $2.8B, up 26% from $2.2B (2021-12-02 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Vincent Robert Coulter (Chief Compliance Officer) no longer on Schedule A of Cain, Watters & Associates, Llc (listed 2021-12-02, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- J Kristi Heffron (Chief Compliance Officer) no longer on Schedule A of Cain, Watters & Associates, Llc (listed 2019-09-18, absent 2020-02-10)Feb 10, 2020 · Control person left · inference
- Vincent Robert Coulter (Chief Compliance Officer) appeared on Schedule A of Cain, Watters & Associates, LlcFeb 10, 2020 · Control person joined · fact
- David Hunter Satterfield (Ceo) appeared on Schedule A of Cain, Watters & Associates, LlcJan 31, 2019 · Control person joined · fact
- Donne Teresa Gast (Managing Member) no longer on Schedule A of Cain, Watters & Associates, Llc (listed 2018-11-14, absent 2019-01-31)Jan 31, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 972-663-3799reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 972-233-3323reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/cfoorthoreportedpublic record, Form ADV, Sep 17, 2026
- Firm profile
- linkedin.com/company/cain-watters-&-associatesreportedpublic record, Form ADV, Sep 17, 2026
- Website
- cainwatters.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 972-233-3323reportedpublic record, Form ADV, Jun 4, 2026
- Contact form
- cainwatters.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- cainwatters.com/our-teamreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $66.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026