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CAPE ANN CAPITAL, INC.
CRD 128942File 801-66982
APPROVED
Retail clients
Disclosure events
Filing as of Mar 31, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$193.0M
Below cohort median (national)
Discretionary AUM
$181.2M
Non-discretionary $11.8M
Clients
246
549 accounts
Employees
2
Bottom 25% of cohort in MA
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- BRO
- Registration date
- Jul 5, 2006
- Principal office
- 22 GROVE STREET, CONCORD, MA, 01742-1509
- Phone
- 978-254-5841
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $193.0M
- Discretionary AUM
- $181.2M
- Non-discretionary AUM
- $11.8M
- Discretionary accounts
- 543
- Non-discretionary accounts
- 6
- Total accounts
- 549
- AUM per client
- $785K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Charitable organizations | 3 | $4.4M |
| High net worth individuals | 42 | $92.0M |
| Pension and profit sharing plans | 3 | $10.0M |
| Individuals (other than high net worth individuals) | 198 | $86.6M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Clients | 248 | 246 | decreased by2 |
| Apr 1, 2026 | AUM | $198,794,469 | $193,009,183 | decreased by$5,785,286 |
| Apr 1, 2026 | Accounts | 577 | 549 | decreased by28 |
| Feb 1, 2026 | Employees | 3 | 2 | decreased by1 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 246 | 248 | increased by2 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $202,165,118 | $198,794,469 | decreased by$3,370,649 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 696 | 577 | decreased by119 |
| May 1, 2022 | Disclosures | No | Yes | |
| May 1, 2022 | Clients | 239 | 246 | increased by7 |
| May 1, 2022 | AUM | $186,471,075 | $202,165,118 | increased by$15,694,043 |
| May 1, 2022 | Accounts | 523 | 696 | increased by173 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “CAPE ANN” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“CAPE ANN” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.