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RJ

Rod C. Jones

CAIN CAPITAL MANAGEMENT, LP
Dallas, TX 75201
Some features on this profile are disabled
CRD#: 2401144
RJ

Professional summary

Rod Cain Jones is a registered financial advisor currently at CAIN CAPITAL MANAGEMENT, LP located in Dallas, Texas.

Rod is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Rod has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rod Cain Jones's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

April 22, 2014 - Present

CAIN CAPITAL MANAGEMENT, LP

Office #1: 300 Crescent Court Suite 1840, Dallas, TX 75201
RIA
CRD#: 113592
Dallas, TX
Past

September 22, 2015 - December 12, 2018

CHERTOFF CAPITAL, LLC

BD
CRD#: 145134
WASHINGTON, DC
Past

March 19, 2012 - February 3, 2014

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
DALLAS, TX
Past

January 26, 2012 - February 3, 2014

BLACKROCK FINANCIAL MANAGEMENT, INC

RIA
CRD#: 107105
NEW YORK, NY
Past

February 18, 2005 - June 29, 2012

CAIN CAPITAL MANAGEMENT, LP

RIA
CRD#: 113592
DALLAS, TX
Past

February 7, 2003 - December 31, 2004

CAIN CAPITAL MANAGEMENT, LP

RIA
CRD#: 113592
DALLAS, TX
Past

February 7, 2001 - June 6, 2002

MAPLEWOOD INVESTMENTS, INC.

BD
CRD#: 103723
DALLAS, TX
Past

January 29, 1998 - April 10, 2000

STONEGATE CAPITAL MARKETS, INC.

BD
CRD#: 6376
DALLAS, TX
Past

October 13, 1993 - November 12, 1996

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CC
CAIN CAPITAL MANAGEMENT, LP
CAIN CAPITAL L.L.C. | CAIN CAPITAL MANAGEMENT, LP

CRD#: 113592 / SEC#: 801-60959

RIA
Registered Investment Advisory firm - (2/25/2002 Approved)
Texas
Registered Investment Advisory firm - (12/31/2001 Failure to Renew)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Texas
(4/22/2014)

Exams

State Security Law Exam
RR
Series 63
Date: 3/4/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/17/2012
General Securities Representative Examination

Current Firm

CC
CAIN CAPITAL MANAGEMENT, LP
CAIN CAPITAL L.L.C. | CAIN CAPITAL MANAGEMENT, LP

CRD#: 113592 / SEC#: 801-60959

RIA
Registered Investment Advisory firm - (2/25/2002 Approved)
Texas
Registered Investment Advisory firm - (12/31/2001 Failure to Renew)
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Contact information

Main Address
300 Crescent Court Suite 1840, Dallas, TX 75201
Mailing Address
Phone number
(972) 685-1799
Established
Firm type
Fiscal year end
# of Employees
4

SEC notice filing (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

CAIN CAPITAL MANAGEMENT, LP ADV 2A (2/25/2025)

Regulatory assets under management

Total Number of Accounts96
AUM (Assets Under Management)$ 164,814,307

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
11/24/2025
Cover Page
Report
10/23/2024
Cover Page
Report
09/27/2023
Cover Page
Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

CAIN CAPITAL MANAGEMENT, LP

CRD#: 113592Dallas, TX 75201

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