CAPE INVESTMENT ADVISORY, INC.
Firm details
- Headquarters
- MCDONOUGH, Georgia
- CRD number
- 146384
- Registered since
- April 29, 2010
- Fee structure
- Percentage of AUM
- Client types
- HNWI58.57%
- Individuals38.04%
- Corporations / Businesses2.33%
- Pension & Profit Sharing Plans1.06%
- Services
- Financial PlanningPortfolio Management for IndividualsPension ConsultingSelection of Other AdvisersEducational Seminars / Workshops
Firm profile
FINTRXOverview
Cape Investment Advisory, Inc. is a privately owned investment adviser that has been SEC-registered since 2010. The firm serves both individual & family clients and institutional accounts, charging fees as a percentage of assets under management. Its advisory activities span financial planning, discretionary portfolio management for individuals and small businesses, pension consulting and manager selection, and it runs educational seminars and workshops. Cape acts as a capital allocator, working with third-party managers, and maintains affiliations with broker-dealers and an insurance company. The firm does not identify as an active ESG investor.
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Exchange Traded Equities66%
- Cash & Cash Equivalents15%
- Public Funds/Mutual Funds14%
- Investment Grade Corp Bonds3%
- US Government Bonds2%
Owners & executives
3 of 3KEVIN BACHMANN
Chief Executive OfficerCRD 1406637
JAMES WEBB
Chief Executive OfficerCRD 2089446
GREGORY KLINGLER
Chief Operating OfficerCRD 4641806
Contacts
3 of 27ROBERT FARRAGHER
401(k) ConsultantCRD 5746101
Roy Smith
Registered RepresentativeCRD 6731037
GARY WARGO
Investment Advisor RepresentativeCRD 4915239
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 140Active vs passive
$227M in ETFs
73%
$166M
23%
$61.3M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| SCHWAB US BROAD MARKET ETF (SCHB) | Schwab | Passive | Large Blend | $39.8M | 1,584,194 | 17.52% |
Location
MCDONOUGH, GA
HENRY
Location
MCDONOUGH, GA
Headquartered in MCDONOUGH, GA, anchoring the Atlanta--Athens-Clarke County--Sandy Springs, GA-AL metro in the South.
- Metro area
- Atlanta--Athens-Clarke County--Sandy Springs, GA-AL
- Region
- South
- County
- HENRY
- Address
- 1600 Pennsylvania Ave
- Time zone
- ET (UTC-5)
- Office locations
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