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CAIN, WATTERS & ASSOCIATES, LLC

dba CAIN, WATTERS & ASSOCIATES, LLC · CRD 111521 · Registered Investment Adviser

Custody via related person

CAIN, WATTERS & ASSOCIATES, LLC is a Registered Investment Adviser headquartered in FRISCO, TX. The firm reports $5,036,805,273 in regulatory assets under management across 12,138 accounts. It reports no Form ADV Item 11 disciplinary disclosures.

Regulatory assets under management

Discretionary$2,382,606,144
Non-discretionary$2,654,199,129
Total RAUM$5,036,805,273
Accounts12,138

Disciplinary history (Form ADV Item 11)

This adviser reports no Form ADV Item 11 disciplinary events.

About this data

Form ADV is the uniform registration form every investment adviser files with the U.S. Securities and Exchange Commission (and state regulators). Part 1A captures the firm's identity, assets under management, client base, custody arrangements, and disciplinary disclosures. This page mirrors the SEC's monthly firm-roster export with citations to the Investment Adviser Public Disclosure (IAPD) system, where the full brochure (Part 2) and disciplinary detail are available.

References

  1. U.S. Securities and Exchange Commission. Investment Adviser Public Disclosure — CRD 111521. adviserinfo.sec.gov/firm/summary/111521.
  2. SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

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