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Wealth manager, independent · McDonough, GA

Cape Investment Advisory, Inc.

SEC-registered investment adviser · CRD 146384 · SEC 801-71349

At a glance

Cape Investment Advisory, Inc. is an SEC-registered investment adviser based in McDonough, Georgia, with $474 million in regulatory assets under management as of its Form ADV filed July 10, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 1,002 individual clients. By Form ADV it is a wealth manager, ranked 3,020th of 8,915 wealth managers and 8,047th of 17,210 SEC-registered advisers by assets.

Main office 678-583-1120capeinvestmentadvisory.comLinkedInAs filed on Form ADV

Regulatory AUM
$474M
Rank among wealth managers
#3,020 of 8,915
Rank among all SEC RIAs
#8,047 of 17,210
Rank in Georgia
#152 of 331
Individual clients
1,002
High-net-worth clients
107
Accounts
1,660
Discretionary
98% of AUM
Employees
34
Advisory staff
28
Offices
35

Owners and executives on its Form ADV

Custody and brokerage

Custodian

Cape Investment Advisory, Inc.’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.

Broker-dealer

Hybrid RIA

Cape Investment Advisory, Inc. is a hybrid RIA: 34 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: American Global Wealth Management, Inc., Cape Securities Inc., First Asset Financial Inc. and Wall Street Capital Corporation.

Its Form ADV brochure (filed March 2026) names American Global Wealth Management as the broker-dealer its advisers are registered with.

It is common for a CIA representative to also serve as a registered representative for AGWM.

Other hybrid RIAs

Who it serves

Client typeClientsRegulatory AUMShare
High-net-worth individuals107$277M59%
Individuals895$180M38%
Corporations or other businesses11$11M2%
Pension and profit sharing plans–$5M1%

Disciplinary disclosures

Cape Investment Advisory, Inc. answers yes to 14 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗

Services

  • Financial planning
  • Portfolio management for individuals and small businesses
  • Pension consulting
  • Selecting other advisers
  • Educational seminars and workshops

How it’s paid

  • A percentage of assets under management

Form ADV and brochures on the SEC’s adviser search ↗capeinvestmentadvisory.com ↗

AtlasMembers

The full record on Cape Investment Advisory, Inc.

Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.

Assets, accounts, clients and staff, ten years of filings
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Growth over one, three and five years
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Rank against 5,599 peers of its type and size
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Owners and executives, with titles and stakes
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Main office, fax and compliance officer
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Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Background

Questions

How much does Cape Investment Advisory, Inc. manage?

Cape Investment Advisory, Inc. reports $474 million in regulatory assets under management across 1,660 accounts, 98% of it on a discretionary basis, on its Form ADV filed July 10, 2026.

What kind of firm is Cape Investment Advisory, Inc.?

Cape Investment Advisory, Inc. is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.

Who are Cape Investment Advisory, Inc.’s clients?

By assets, its largest client types are high-net-worth individuals ($277 million, 107 clients); individuals ($180 million, 895 clients); corporations or other businesses ($11 million, 11 clients).

Does Cape Investment Advisory, Inc. have any disciplinary history?

Cape Investment Advisory, Inc. answers yes to 14 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.

Where these numbers come from

Every figure is Cape Investment Advisory, Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-07-10), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.

Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →