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CAPE INVESTMENT ADVISORY, INC.
CRD 146384File 801-71349
APPROVED
Retail clients
Disclosure events
Filing as of Jul 10, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$473.7M
Above cohort median (national)
Discretionary AUM
$466.2M
Non-discretionary $7.6M
Clients
1,013
1,660 accounts
Employees
34
Above cohort median in GA
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- ARO
- Registration date
- Apr 29, 2010
- Principal office
- 1600 PENNSYLVANIA AVE., MCDONOUGH, GA, 30253
- Phone
- 678-583-1120
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $473.7M
- Discretionary AUM
- $466.2M
- Non-discretionary AUM
- $7.6M
- Discretionary accounts
- 1,650
- Non-discretionary accounts
- 10
- Total accounts
- 1,660
- AUM per client
- $468K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 11 | $11.0M |
| High net worth individuals | 107 | $277.5M |
| Pension and profit sharing plans | Fewer than 5 | $5.0M |
| Individuals (other than high net worth individuals) | 895 | $180.2M |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Other
- Financial planning services
- Selection of other advisers
- Portfolio management for other
- 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
- Q11A2
- Q11D1
- Q11D2
- Q11D3
- Q11D4
- Q11D5
- Q11E2
- Q11E4
- Q11H1A
- Q11H1B
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 140 | 34 | decreased by106 |
| Apr 1, 2026 | Clients | 1,634 | 1,013 | decreased by621 |
| Apr 1, 2026 | AUM | $402,413,992 | $473,744,528 | increased by$71,330,536 |
| Apr 1, 2026 | Accounts | 1,769 | 1,660 | decreased by109 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 43 | 140 | increased by97 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 913 | 1,634 | increased by721 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $283,741,219 | $402,413,992 | increased by$118,672,773 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 913 | 1,769 | increased by856 |
| Oct 1, 2022 | Employees | 41 | 43 | increased by2 |
| Jun 1, 2022 | Employees | 42 | 41 | decreased by1 |
| Apr 1, 2022 | Employees | 51 | 42 | decreased by9 |
| Apr 1, 2022 | Clients | 946 | 913 | decreased by33 |
| Apr 1, 2022 | AUM | $231,849,554 | $283,741,219 | increased by$51,891,665 |
| Apr 1, 2022 | Accounts | 946 | 913 | decreased by33 |
| Aug 1, 2021 | Employees | 49 | 51 | increased by2 |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “CAPE INVESTMENT” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“CAPE INVESTMENT” 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.