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CAIN, WATTERS & ASSOCIATES, LLC
CRD 111521File 801-39899
APPROVED
Retail clients
Custody
Filing as of Jun 4, 2026
Feed vintage Aug 17, 2026
Regulatory AUM
$5.04B
Top 25% of cohort (national)
Discretionary AUM
$2.38B
Non-discretionary $2.65B
Clients
2,275
12,138 accounts
Employees
341
Top 10% of cohort in TX
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- FWRO
- Registration date
- Sep 30, 1991
- Principal office
- 17 COWBOYS WAY, SUITE 300, FRISCO, TX, 75034
- Phone
- 972-233-3323
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $5.04B
- Discretionary AUM
- $2.38B
- Non-discretionary AUM
- $2.65B
- Discretionary accounts
- 8,623
- Non-discretionary accounts
- 3,515
- Total accounts
- 12,138
- AUM per client
- $2.2M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Charitable organizations | 1 | $1.9M |
| High net worth individuals | 800 | $2.51B |
| Individuals (other than high net worth individuals) | 1,474 | $425.6M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Other
- Financial planning services
- Selection of other advisers
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- Yes
- Firm Custody Clients
- Yes
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- Yes
- Related Person Custody Assets
- No
- Related Person Custody Clients
- Yes
- Related Person Custody Securities
- Yes
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To |
|---|---|---|---|
| Aug 17, 2026 | Clients | 3397 | 2275 |
| Aug 12, 2026 | Registration | — | APPROVED |
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.