Cape Investment Advisory, Inc. (Mcdonough)

Name: Cape Investment Advisory, Inc.
Address: 1600 Pennsylvania Ave., Mcdonough, GA, 30253
Telephone: 678-583-1120

Cape Investment Advisory, Inc. is a large advisory firm based in Mcdonough. It manages $173.22 million of regulatory assets for 1,019 client accounts. It has been registered with the SEC as an adviser since 2010 and has operated in the jurisdictions of Alabama, Arizona, Arkansas, and 29 other states.

Cape Investment Advisory provides financial planning services, portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, pension consulting services, selection of other advisers, and educational seminars and workshops. It prepares financial plans for more than 100 clients. On top of advisory services, the firm doesn't engage in other business activities.

Cape Investment Advisory: assets under management

The assets under management (AUM) of Cape Investment Advisory, Inc. is $173.22 million. The firm's AUM has grown by 395% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $150.53 million in discretionary accounts and $22.68 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $158.62 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $324.04 thousand.

Investments

The firm invests in exchange traded securities the most. They account for 95% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 5% of the firm’s portfolio.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Cape Investment Advisory, Inc. for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Cape Investment Advisory serves?

The firm provides services to individuals, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Cape Investment Advisory is high net worth individuals with 39 clients and $88.71 million of assets under management. Among the 7 most similar advisory firms, Cape Investment Advisory has the 3rd lowest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $173.22 million for 651 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Cape Investment Advisory doesn't advise any private funds.

Careers at Cape Investment Advisory, Inc.

The company employs 42 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 34 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
James Randall Webb	Ceo	1 Mar 2008	75% - 100%	2089446
Kathi Renee Mansfield	Chief compliance officer	1 May 2008	Other	1196870
Larry Wayne Yager	Chief compliance officer	1 Jan 2011	Other	5691174
Harrison Pierce Palmer	Chief compliance officer	1 Jan 2014	Other	6135504
Larry Wayne Yager	Manager	1 Jan 2014	Other	5691174
William Matthew J Guinn	Chief compliance officer	1 Oct 2015	Other	5369988
Eric Stochek Levine	Chief compliance officer	1 Dec 2015	Other	2343564
Caleb Mark Hobgood	Managing director	1 Jan 2016	Other	5510775
Francois Roger Bigot	Managing director	1 Apr 2016	Other	2519250
Francois Roger Bigot	Chief compliance officer	1 Jun 2016	Other	2519250
David Jaindl Martin	Managing director	1 Jan 2019	Other	5202659
Latasha Bond Williams	Chief compliance officer	1 Apr 2019	Other	7049435
Victor Patrick Wilkerson	Managing director	1 Sep 2019	Other	2854435

Based in Mcdonough

The principal office where Cape Investment Advisory, Inc. performs its advisory services is located at 1600 Pennsylvania Ave., Mcdonough, GA 30253, which is also the mailing address of the firm. An additional office of the firm is in Stockbridge, GA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 678-583-1120 or by fax 678-583-1258. The normal business hours are 9:00 - 5:00 on Monday - Friday. You can find more information about the New York firm at capesecurities.com.