# CAIN, WATTERS & ASSOCIATES, LLC

CAIN, WATTERS & ASSOCIATES, LLC of FRISCO, TX is an SEC-registered investment adviser.

## Registration

- CRD: 111521
- Type: SEC-registered investment adviser
- SEC file number: 801-39899
- Location: 17 COWBOYS WAY, SUITE 300, FRISCO, TX, 75034
- Phone: 972-233-3323
- Latest filing: 2026-06-04
- Regulatory AUM: $5.0B
- Discretionary AUM: $2.4B
- Non-discretionary AUM: $2.7B
- Clients: 341
- Accounts: 12,138

## Business model

- Compensation: % of AUM, Hourly, Fixed
- Clients served: Individuals, High net worth, Charities

## Officers, owners & control persons (38)

_Showing 25 of 38 people._

| Name | Role | Location |
| --- | --- | --- |
| Darrell Ward Cain | CEO | Plano, TX |
| Dan Charles Wicker | CEO | — |
| Timothy Basil Greaves | CEO | — |
| Toni Hatcher Lee | CEO | Frisco, TX |
| Thomas Robert Sanders | CEO | — |
| Steven Bradley Clapp | CEO | — |
| Brian Robert Bortz | CEO | — |
| Steven Lawrence Cain | CEO | — |
| Judson Standefer Crawford | CEO | — |
| Charles Arnold Loretto | MANAGING MEMBER | — |
| Hunter David Satterfield | CEO | — |
| Mason Stern | MANAGING MEMBER | — |
| David Giles Forbess | MANAGING MEMBER | — |
| Jeremy Layne Bolf | CHIEF COMPLIANCE OFFICER | — |
| Scott Erwin | CHIEF OPERATIONS OFFICER | — |
| CAIN DARRELL WARD | CEO; CHIEF EXECUTIVE OFFICER; PRESIDENT | — |
| WATTERS MICHAEL TAYLOR | PRESIDENT; VICE-PRESIDENT; VICE-PRESIDENT/CCO | — |
| MOORE GARY VERN | CHIEF COMPLIANCE OFFICER | — |
| HEFFRON KRISTI J | CHIEF COMPLIANCE OFFICER | — |
| SANDERS MICHAEL ROBERT | CEO; MANAGING MEMBER | — |
| WATTERS MICHAEL | VICE-PRESIDENT | — |
| WICKER DAN CHARLES | CEO; MANAGING MEMBER | — |
| GREAVES TIMOTHY BASIL | CEO; MANAGING MEMBER | — |
| GAST TERESA DONNE | MANAGING MEMBER | — |
| LEE TONI HATCHER | CEO; CHIEF COMPLIANCE OFFICER; MANAGING MEMBER | — |


## Disclosures (1)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| — | criminal | — | — | — |


## Branch offices (2)

| City | State | Employees | Phone |
| --- | --- | --- | --- |
| KAYSVILLE | UT | 1 | (801) 683-5110 |
| — | — | 1 | 512-551-8400 |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/111521/brochure
- Similar advisers: https://search.stillhousedata.com/firm/111521/similar
- Related entities: https://search.stillhousedata.com/firm/111521/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/111521

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.