Alison L. Cain

CAPITOL PRIVATE WEALTH GROUP LLC

VIENNA, VA 22182

Some features on this profile are disabled

CRD#: 4507708

Professional summary

Alison Leigh Cain is a registered financial advisor currently at CAPITOL PRIVATE WEALTH GROUP LLC located in Vienna, Virginia.

Alison is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Alison has worked at 3 firms and has passed the Series 66, 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 Alison Leigh Cain'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

March 13, 2017 - Present

CAPITOL PRIVATE WEALTH GROUP LLC

Office #1: 8150 Leesburg Pike Suite 630, Vienna, VA 22182

RIA

CRD#: 283257

VIENNA, VA

Past

May 10, 2002 - March 14, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

Vienna, VA

Past

April 24, 2002 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

April 24, 2002 - March 14, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Vienna, VA

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".

CAPITOL PRIVATE WEALTH GROUP LLC

CAPITOL PRIVATE WEALTH GROUP LLC | TYSONS WEALTH GROUP LLC | DALIMONTE AND ASSOCIATES LLC

CRD#: 283257 / SEC#: 801-111009

RIA

Registered Investment Advisory firm - (8/17/2017 Approved)

District of Columbia

Registered Investment Advisory firm - (12/8/2017 Terminated)

Virginia

Registered Investment Advisory firm - (12/11/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Virginia
(3/13/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/9/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 3/14/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/23/2002

General Securities Representative Examination

Current Firm

CAPITOL PRIVATE WEALTH GROUP LLC

CAPITOL PRIVATE WEALTH GROUP LLC | TYSONS WEALTH GROUP LLC | DALIMONTE AND ASSOCIATES LLC

CRD#: 283257 / SEC#: 801-111009

RIA

Registered Investment Advisory firm - (8/17/2017 Approved)

District of Columbia

Registered Investment Advisory firm - (12/8/2017 Terminated)

Virginia

Registered Investment Advisory firm - (12/11/2017 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

8150 Leesburg Pike Suite 630, Vienna, VA 22182

Mailing Address

Phone number

(703) 226-0008

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A-CAPITOL PRIVATE WEALTH GROUP LLC (2/11/2025)

Regulatory assets under management

Total Number of Accounts	1,696
AUM (Assets Under Management)	$ 450,705,752

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.

Similar Advisors

Raylonte Roach

EAGLE STRATEGIES LLC

IAR

BETHESDA, MD

Matthew Halverson

MORGAN STANLEY

IAR

Washington, DC

Erin Caines

EAGLE STRATEGIES LLC

IAR

DERWOOD, MD

Why AdvisorCheck

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Alison L. Cain

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alison Leigh Cain's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPITOL PRIVATE WEALTH GROUP LLC

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CAPITOL PRIVATE WEALTH GROUP LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/9/2002

SIE

Date: 3/14/2017

Series 7

Date: 4/23/2002

Current Firm

CAPITOL PRIVATE WEALTH GROUP LLC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPITOL PRIVATE WEALTH GROUP LLC

TRUST BUT VERIFY

Similar Advisors