BB
Brian R. Bortz
CAIN, WATTERS & ASSOCIATES
PLANO, TX 75024
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CRD#: 3225344
BB
Professional summary
Brian Robert Bortz, who also goes by Brian R. Bortz, Bortz, is a registered financial advisor currently at CAIN, WATTERS & ASSOCIATES, LLC located in Plano, Texas.
Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Brian has worked at 3 firms and has passed the Series 65 exam.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brian R. Bortz | Bortz
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.
MR. BORTZ HAS A MINORITY OWNERSHIP INTEREST IN TECTONIC FINANCIAL, INC., A PUBLICLY TRADED ENTITY THAT OWNS THE FOLLOWING FINANCIAL INDUSTRY AFFILIATES: TECTONIC ADVISORS LLC; HWG INSURANCE AGENCY, LLC; SANDERS MORRIS HARRIS LLC; AND T BANK, N.A. THE BANK SERVES AS CUSTODIAN FOR SOME CWA CLIENTS. MR. BORTZ RECEIVES ADDITIONAL INDIRECT COMPENSATION IN THE FORM OF A SHARE OF PROFITS FROM THESE ENTITIES. MR. BORTZ SPENDS LESS THAN 5% OF HIS TIME ON MANAGEMENT, ADMINISTRATION AND/OR DEVELOPMENT OF THESE RELATED ENTITIES DURING TRADING HOURS.
IN ADDITION, MR. BORTZ MAINTAINS AN OWNERSHIP INTEREST IN EACH OF THREE ENTITIES RELATED TO CWA; NATIONAL DENTAL PLACEMENTS, LLC (NDP), BEST NEW PATIENTS, LLC (BNP) AND ELITE DENTAL ALLIANCE (EDA). EACH OF THESE ENTITIES IS LOCATED WITHIN THE PLANO HEADQUARTERS OF CWA.
THE ENTITIES PROVIDE ADDITIONAL SERVICES OR REFERRALS SPECIFICALLY RELATED TO THE CLIENTS BUSINESS OR INDUSTRY. NONE OF THE SERVICES RECOMMENDED ARE INVESTMENT RELATED, BUT COULD BE RECOMMENDED DURING THE FINANCIAL AND BUSINESS PLANNING PROCESS. MR. BORTZ MAY REFER CLIENTS TO THESE ENTITIES DIRECTLY OR IN THE CASE OF NDP, TO THIRD PARTIES WHO HAVE REFERRAL RELATIONSHIPS WITH THE FIRM. MR. BORTZ SPENDS LESS THAN 5% OF HIS TIME ON MANAGEMENT, ADMINISTRATION AND/OR DEVELOPMENT OF THE AFFILIATED ENTITIES DURING TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Brian Robert Bortz's 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®
NoneExperience
Current
May 16, 2005 - Present
CAIN, WATTERS & ASSOCIATES, LLC
Office #1: 6900 Dallas Parkway Ste 500, Plano, TX 75024RIA
CRD#: 111521
PLANO, TX
Past
January 10, 2005 - October 2, 2014
HORIZON WEALTH MANAGEMENT, LLC
RIA
CRD#: 132211
ROCKWALL, TX
Past
August 27, 2004 - December 31, 2004
HORIZON WEALTH MANAGEMENT, LLC
RIA
CRD#: 132211
ROWLETT, TX
Past
March 21, 2000 - June 4, 2004
ERNST & YOUNG INVESTMENT ADVISERS LLP
RIA
CRD#: 110921
DALLAS, TX
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".
CW
CAIN, WATTERS & ASSOCIATES, LLC
CAIN, WATTERS & ASSOCIATES, LLC | CAIN, WATTERS & ASSOCIATES, PC | CAIN, WATTERS & ASSOCIATES, P.L.L.C.
CRD#: 111521 / SEC#: 801-39899
RIA
Registered Investment Advisory firm - (9/30/1991 Approved)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
Louisiana(7/10/2009)
IAR
Texas(12/1/2005)
Current Firm
CW
CAIN, WATTERS & ASSOCIATES, LLC
CAIN, WATTERS & ASSOCIATES, LLC | CAIN, WATTERS & ASSOCIATES, PC | CAIN, WATTERS & ASSOCIATES, P.L.L.C.
CRD#: 111521 / SEC#: 801-39899
RIA
Registered Investment Advisory firm - (9/30/1991 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
17 Cowboys Way, Suite 300, Frisco, TX 75034
Mailing Address
Phone number
(972) 233-3323
Established
Firm type
Fiscal year end
# of Employees
337
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,602 |
| AUM (Assets Under Management) | $ 4,237,891,280 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 07/24/2024 | ||
| 03/18/2024 | ||
| 04/21/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CAIN, WATTERS & ASSOCIATES, LLC
CRD#: 111521Plano, TX 75024TRUST BUT VERIFY
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