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.

Advisor moves

Departures from Cain, Watters & Associates, LLC

A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.

AdvisorFromToTypeLeftRegistered
Ashley Lavon ClarkCain, Watters & Associates, LLC independent RIARoot Financial Partners independent RIARIA to RIAFeb 2, 2026Feb 17, 2026
Gary Blake WallaceCain, Watters & Associates, LLC independent RIAEagle Strategies LLC BD affiliatedRIA to affiliated broker-dealer or bankDec 22, 2025Jun 1, 2026 (161 d)
Eric Robert DluzniewskiCain, Watters & Associates, LLC independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankMar 27, 2025Apr 8, 2025
Jacob Robert SheafCain, Watters & Associates, LLC independent RIALandaas & Company independent RIARIA to RIAAug 22, 2024Oct 2, 2024 (41 d)
Peyton Alexis AskCain, Watters & Associates, LLC independent RIACaptrust institutionalOtherJul 25, 2024Feb 20, 2025 (210 d)
David Christopher YorkCain, Watters & Associates, LLC independent RIAIndex Fund Advisors, Inc. independent RIARIA to RIAMay 21, 2024Jul 22, 2025 (427 d)
Nathan Taylor HillCain, Watters & Associates, LLC independent RIAPaladini Financial Advisors, LLC independent RIARIA to RIAOct 19, 2023Oct 19, 2023
David Rhodes CannonCain, Watters & Associates, LLC mixed wealthDavid Rhodes Cannon, C.P.A., LLC state registeredRIA to a state-registered adviserFeb 23, 2023Aug 17, 2023 (175 d)
Natalie YoungCain, Watters & Associates, LLC mixed wealthMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseRIA to wirehouseDec 19, 2022Feb 8, 2023 (51 d)
Chelsea Danielle JohnsCain, Watters & Associates, LLC mixed wealthMills Wealth Advisors, LLC independent RIARIA to RIASep 30, 2022Aug 15, 2022
Jefferson Roy WangCain, Watters & Associates, LLC mixed wealthGordon Oak Financial, LLC state registeredRIA to a state-registered adviserJan 15, 2021Jan 5, 2021
Kellee Angela HarriganCain, Watters & Associates, LLC mixed wealthPrivus Financial, LLC no RAUMOtherMar 26, 2019May 30, 2019 (65 d)
Teresa Donne GastCain, Watters & Associates, LLC mixed wealthPrivus Financial, LLC no RAUMOtherJan 23, 2019Jan 12, 2018
Charles Martin ThomasCain, Watters & Associates, LLC mixed wealthHoward Financial Services, Ltd. independent RIARIA to RIAAug 2, 2018Jul 17, 2019 (349 d)
Kevin Michael LindleyCain, Watters & Associates, LLC otherBeaird Harris independent RIAOtherOct 31, 2017Nov 12, 2018 (377 d)
Scot JacksonCain, Watters & Associates, LLC otherThe Gardner Group otherOtherJan 6, 2015Feb 18, 2015 (43 d)
Joseph Paul ApplewhiteCain, Watters & Associates, LLC otherApplewhite & Buys Financial Advisors independent RIAOtherNov 22, 2013Jan 16, 2014 (55 d)
Matthew Earl BryanCain, Watters & Associates, LLC otherMoss, Luse & Womble, LLC independent RIAOtherDec 31, 2011Jan 26, 2012
Edwin Robert CummerCain, Watters & Associates, LLC otherEdwin R. Cummer, LLC unclassifiedOtherMay 24, 2011Mar 14, 2011
Robert K MoranCain, Watters & Associates, LLC otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherSep 1, 2010Nov 4, 2010 (64 d)
Nathan Eldon WilliamsCain, Watters & Associates, LLC otherPractice Financial Group, LLC unclassifiedOtherJan 29, 2010May 18, 2010 (109 d)
Jeffrey Matthew MossCain, Watters & Associates, LLC otherMoss, Luse & Womble, LLC independent RIAOtherJan 14, 2010Mar 5, 2010 (50 d)
Jason Stanton LuseCain, Watters & Associates, LLC otherMoss, Luse & Womble, LLC independent RIAOtherJan 14, 2010Mar 5, 2010 (50 d)
Michael Avery WombleCain, Watters & Associates, LLC otherMoss, Luse & Womble, LLC independent RIAOtherJan 14, 2010Mar 5, 2010 (50 d)
Jason Matthew MortonCain, Watters & Associates, LLC otherShamrock Asset Management LLC otherOtherOct 1, 2009Aug 22, 2012 (1056 d)
Brandon Ryan ParkhurstCain, Watters & Associates, LLC otherParkhurst Consulting Cpa Pc state registeredOtherDec 3, 2008Mar 24, 2009 (111 d)
John Edward LineCain, Watters & Associates, LLC otherLine Wealth, Inc. unclassifiedOtherJan 15, 2008Mar 6, 2008 (51 d)
Matthew William DavisCain, Watters & Associates, LLC otherDavis Financial Management, Inc. independent RIAOtherJun 8, 2007Jun 14, 2007
Evan David KochCain, Watters & Associates, LLC otherEdk Financial Advisory, Pc unclassifiedOtherApr 24, 2007Feb 11, 2008 (293 d)
Matthew Mark PaladiniCain, Watters & Associates, LLC otherPaladini Financial Advisors, LLC independent RIAOtherAug 31, 2006Apr 7, 2006
Sharon EllingtonCain, Watters & Associates, LLC otherWells Fargo Advisors wirehouseOtherNov 18, 2004Aug 29, 2022 (6493 d)
Brent Wilson LittleCain, Watters & Associates, LLC otherOdyssey Wealth unclassifiedOtherJan 29, 2004Apr 18, 2006 (810 d)
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32 moves match.