Cape Investment Advisory, Inc
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Overview
Cape Investment Advisory, Inc is located at 1600 Pennsylvania Ave., Mcdonough, GA. The firm employs 40 financial advisors to manage client portfolios and provide financial guidance. Cape Investment Advisory, Inc is not a registered broker-dealer.
Cape Investment Advisory, Inc oversees $365.2 million in assets under management across 1,630 accounts, of which 1,391 are discretionary and 239 are non-discretionary. Over the past year, the firm has provided financial planning services to between 1 and 10 clients. The services offered include financial planning services, portfolio management for individuals and small businesses, pension consulting services, selection of other advisers, and educational seminars. The firm caters to retail investors, high net worth investors, and pension plans, with retail investors being the largest client type by accounts. The fee structure at Cape Investment Advisory, Inc is asset-based. The firm has 61 high net worth clients and maintains affiliations with a broker-dealer or securities dealer and an insurance company or agency.
Cape Investment Advisory, Inc is registered in the states of Alabama, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, Florida, Georgia, Hawaii, Indiana, Louisiana, Maryland, Massachusetts, Michigan, Mississippi, Missouri, Montana, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Pennsylvania, Rhode Island, South Carolina, Tennessee, Texas, Virginia, Washington, and Wisconsin.
Assets Under Management
Number of Advisors
Disclosures
Office Location
Cape Investment Advisory, Inc by the Numbers
$365.2 million
140
1,630
$224.1 thousand
Products and Services
Cape Investment Advisory, Inc provides a number of financial services, which can consist of financial planning services, portfolio management for individuals and small businesses, pension consulting services, selection of other advisers, and educational seminars. In the prior fiscal year, Cape Investment Advisory, Inc provided 45301 of its clients with financial planning services. It is engaged in selling products or offering services other than investment advice to its customers.
Core Advisor Services
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Offered by 31% of firms
Financial Planning Services
This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.
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Offered by 46% of firms
Portfolio Management
This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.
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Find a firm that offers this service
Market Timing Services
This is the practice of attempting to make short-term profits on investments by buying low and selling high.
Other Services
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Offered by 20% of firms
Selection of Other Advisors
This is the firm's assistance with choosing other advisors to work with who may have different specialties.
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Find a firm that offers this service
Publication of Periodicals
This is the publication of various financial education materials.
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Offered by 6% of firms
Educational Seminars/Workshops
This is the hosting of seminars or workshops to educate investors on financial concepts.
Fee Structure
Financial management fees largely vary depending on the type of financial services offered. Fees billed by Cape Investment Advisory, Inc typically consist of the following fee type: asset-based.The firm does participate in a wrap fee program, in which the firm offers a bundle of services for a single fee.
Available
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Offered by 69% of firms
Percentage of Assets
Unavailable
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Find one of the 21% of firms that offer this fee type
Hourly
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Find one of the 1% of firms that offer this fee type
Commissions
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Find one of the 26% of firms that offer this fee type
Performance-based
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Find one of the 0% of firms that offer this fee type
Subscription
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Find one of the 32% of firms that offer this fee type
Fixed
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Find one of the 10% of firms that offer this fee type
Other
Types of Clients
The firm caters to retail investors, high net worth investors, and pension plans. Out of its 3 clients, Cape Investment Advisory, Inc's biggest client type by number of accounts is retail investors, though it also manages money for 61 high-net-worth individuals. A high-net-worth individual is defined by the SEC as a person who has at least $750,000 under management or a net worth of more than $1,50 million or who is deemed a "qualified purchaser" (a standard met by having at least $5 million in investments).
- High-Net-Worth Individuals* - 3.74%
- Other Individuals - 96.08%
- Corporations - 0.18%
- Charitable Organizations - 0%
* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.
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Disclosures
Cape Investment Advisory, Inc does not have any disclosures.
Please visit its Form ADV for more details.
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Financial Advisors at Cape Investment Advisory, Inc
Mcdonough, GA
Hanover, MD
Mcdonough, GA
Mcdonough, GA
Moraga, CA
Charlotte, NC
Mcdonough, GA
Mcdonough, GA
Mcdonough, GA
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