Disclosures

Disclosure

Information on this web site is directed towards U.S. residents only.

Cain, Watters and Associates, LLC is a Registered Investment Advisor with the Securities and Exchange Commission (SEC) (CRD # 111521). Registration with the SEC or any state securities authority does not imply a certain level of skill or training. No client or prospective client should assume that any information presented or made available on or through this website is a receipt of or a substitute for personalized financial planning consulting advice. Financial planning consulting and investment advisory advice can only be rendered after the following conditions are met: 1. Delivery of our form ADV Part 2A to you; 2. Execution of an Investment Advisory and/or Financial Planning Agreement between us. Our Form ADV Part 2A Disclosure Statement or brochure is available by request or going to the SEC website at www.adviserinfo.sec.gov. Please read the CWA website’s Terms of Use provided on this site.

Cain, Watters & Associates, LLC is not engaged in the practice of law and does not provide legal advice. Always consult with an attorney regarding your specific legal situation.

Related Disclosures

Client References and Testimonials

All clients of CWA are given the opportunity to be a reference. Periodically all new monitoring clients are asked if they would like to be a reference. Once documented permission is given, they are included on our reference list. All clients remain on this list until they are no longer clients of the firm, request to be removed, or some other legal reason. CWA uses no performance based criteria in selecting clients for this list. It is not known whether the references on the list approve or disapprove of the firm or the advisory services provided.

The testimonials featured on this website were given by a current client of Cain, Watters & Associates, L.L.C. No cash or non-cash compensation was provided for the testimonial. This arrangement does not create a conflict of interest because the person providing the testimonial has not been incentivized to provide such testimonial. Cain, Watters & Associates, L.L.C has an incentive to engage clients who have had a positive experience with the firm to provide such testimonials. There is no guarantee another individual’s experience will be representative of the individual providing this testimonial and no guarantees of performance or success are offered.

DISCLOSURE REGARDING AWARDS RECOGNITION GIVEN TO CAIN WATTERS & ASSOCIATES, LLC

Third-party rankings and recognition from rating services or publications are no guarantee of future investment success. Working with a highly rated advisor does not ensure that a client or prospective client will experience a higher level of performance or results. These ratings should not be construed as an endorsement of the firm by any client nor are they representative of any one clients’ evaluation. Generally, ratings, rankings and recognition are based exclusively on information prepared and/or submitted by the recognized firm. A more detailed disclosure of the criteria used in any of these award listings or rankings is included below.

Dallas Business Journal – Top Accounting Firms (2018)

Rank is given by Dallas Business Journal, North Texas includes, Dallas, Collin, Denton, Tarrant, Rockwall, Ellis, and Kaufman counties. Applicants are required to complete an application compiling data such as assets under management, local assets under management, and number of local clients.

Dallas Business Journal – Top Ranked North Texas Wealth Management Firms (2011, 2012, 2013, 2014, 2015)

Also known as Largest North Texas Wealth Management Companies.

Dallas Business Journal – Largest North Texas Accounting Firms (2011, 2012, 2013, 2014, 2015)

Rank is given by Dallas Business Journal, North Texas includes, Dallas, Collin, Denton, Tarrant, Rockwall, Ellis, and Kaufman counties. Inclusion on list is based upon staff statistics. Applicants provide staff census including number of local professionals, number of partners, number of CPAs, and number of women and/or minority partners.

Forbes – America’s Best Tax Firms (2021, 2022,2023)

Ranking is based on survey results through market research company Statista. Ranking is based primarily on fairly comparing the business practices of a large group of firms based on quantitative and qualitative elements.

Forbes –America’s Best Accounting Firms (2021, 2022,2023)

Ranking is based on survey results through market research company Statista. Ranking is based primarily on amount of responders mentioning or “recommending” the firm.

Forbes –America’s Top RIA Firms (2023)

Ranking is based on an algorithm of qualitative criteria through market research company SHOOK. Ranking is based primarily on fairly comparing the business practices of a large group of firms based on quantitative and qualitative elements.

Inside Public Accounting – Top 100 Firms (2022, 2023)

Rank is based upon net revenue of more than 500 accounting firms across North America. Applicants complete an in-depth financial and operational survey. Ranking is based primarily on net revenue of the firm. Data provided is evaluated for other lists and rankings issued by Inside Public Accounting described below.

Inside Public Accounting – Fastest Growing Firms (2021, 2022)

Ranking is based primarily on net revenue of the firm.

Inside Public Accounting – Top 200 Firms (2010, 2011, 2012, 2013, 2014, 2015, 2016, 2017, 2018, 2019, 2020, 2021)

Inside Public Accounting – All Star Firms (2012)

This award is no longer issued.

Award given in a variety of categories, CWA received rank for largest percentage of fees among firms providing financial services.

Inside Public Accounting – Beyond the Top 100 (2015, 2016, 2018, 2020)

Ranking is based primarily on net revenue of the firm.

Inside Public Accounting – Top 100 Firms (2022,2023)

Ranking is based primarily on net revenue of the firm.

Accounting Today – Regional Leaders Top Firms (2012, 2015, 2016, 2018, 2020,2023,2024)

Region includes Arizona, New Mexico, Oklahoma and Texas. Rank is based upon firm revenue.

Accounting Today – Beyond Top 100: Firms to Watch (2020,2022, 2023,2024)

Ranking is based primarily on net revenue of the firm.

Accounting Today – Top Firms by AUM (2023)

Ranking is based primarily on leading CPA financial planners by assets under management.

Top Workplaces – Regional (2022,2023)

Ranking is based primarily on employee feedback gathered through the Energage employee engagement survey.

Top Workplaces – USA (2024)

Ranking is based primarily on employee feedback gathered through the Energage employee engagement survey.

Top Workplaces – Remote Work (2024)

Ranking is based primarily on employee feedback gathered through the Energage and Monster Partner employee engagement survey.