TrueAdvisor
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CK
CFP
CK
CFP

Cain Benjamin Kobert

LPL Financial LLC
28 Years of Experience
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary
Areas of Practice
Investment ManagementRetirement PlanningEducation PlanningEstate PlanningFinancial Planning & CoachingTax Planning
LPL Financial LLC
Compensation
Commission-BasedFee-Only (AUM)Fixed/Hourly
Firm Size
26657 advisors
Number of Clients
1,676,192 clients
Average Client Portfolio
$369K average
Assets Under Management
$618.9B

Fee Structure

Minimum Investment:$1K

Location

200 Aviation Drive N. Ste 9, Naples, FL, 34104

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
August 2024
Final
Customer Dispute
March 2024
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Cain operates Rocky Mountain Wealth Management, LLC as a DBA for LPL business and is an IAR for IHT Wealth Management, providing investment advisory services full-time. Cain also owns bucking bulls for agricultural purposes, dedicating minimal time to this activity.

Employment History
Current Registrations
LPL Financial LLC
May 2023 - Present · 2 yrs 9 mos
Iht Wealth Management LLC
June 2019 - Present · 6 yrs 8 mos
LPL Financial LLCBroker
June 2006 - Present · 19 yrs 8 mos
Previous Registrations
Independent Financial Partners
November 2017 - July 2019 · 1 yr 8 mos
LPL Financial LLC
November 2016 - August 2018 · 1 yr 9 mos
Western Wealth Management LLC
June 2016 - November 2017 · 1 yr 5 mos
Western Wealth Management LLC
February 2015 - June 2016 · 1 yr 4 mos
LPL Financial LLC
June 2006 - September 2016 · 10 yrs 3 mos
Piper Jaffray & CO.
March 2001 - June 2006 · 5 yrs 3 mos
Piper Jaffray & CO.Broker
February 2001 - June 2006 · 5 yrs 4 mos
Dean Witter Reynolds INC.Broker
October 1998 - February 2001 · 2 yrs 4 mos
Painewebber IncorporatedBroker
December 1996 - October 1998 · 1 yr 10 mos
State Registrations23 states
AZCACOFLGAIAILKSMAMIMNNCNENMNVNYOKORSDTXVAWIWY
AdvisorBrokerBoth
Exams
No exam information available for this advisor.