{ "crd_number": 284056, "slug": "cape-ann-asset-management-london-284056", "primary_business_name": "CAPE ANN ASSET MANAGEMENT", "legal_name": "CAPE ANN ASSET MANAGEMENT LIMITED", "dbas": [], "city": "London", "state": null, "country": "United Kingdom", "cbsa_code": null, "metro": null, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2016-08-09", "years_registered": 10, "period": "2026-10-01", "filing_date": "2026-06-17", "carried_forward": false, "raum_total": 3779677035.0, "raum_discretionary": 3779677035.0, "raum_non_discretionary": 0.0, "raum_band": "1b_5b", "raum_band_label": "$1 billion to $5 billion", "total_employees": 21, "advisory_employees": 9, "client_count_bucket": null, "clients_by_type": { "pooled_investment_vehicles": { "raum": 3675643473.0, "count": 3 }, "corporations_other_businesses": { "raum": 104033562.0, "count": 1 } }, "compensation_types": [ "percentage_of_aum" ], "advisory_activities": [ "portfolio_management_businesses_institutional", "portfolio_management_pooled_vehicles" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [], "websites": [ "https://capeannam.com", "https://linkedin.com/company/cape-ann-asset-management" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/284056", "city_as_filed": "LONDON", "url": "https://advisorcensus.com/firm/cape-ann-asset-management-london-284056", "display_name": "Cape ANN Asset Management", "summary": "Cape ANN Asset Management is an SEC-registered investment advisory firm in London, United Kingdom, registered since 2016, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated June 17, 2026.", "citation": "AdvisorCensus. Cape ANN Asset Management (CRD 284056): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management" ], "advisory_activity_labels": [ "Portfolio management for pooled investment vehicles (other than investment companies)", "Portfolio management for businesses (other than small businesses) or institutional clients" ], "quick_answers": [ { "q": "How is Cape ANN Asset Management compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Cape ANN Asset Management reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Cape ANN Asset Management located?", "a": "Cape ANN Asset Management's principal office is in London, United Kingdom, according to its Form ADV." }, { "q": "Is Cape ANN Asset Management registered with the SEC or a state?", "a": "Cape ANN Asset Management is an SEC-registered investment advisory firm, registered since 2016. Status as filed: Approved. CRD 284056." }, { "q": "How much does Cape ANN Asset Management manage?", "a": "Cape ANN Asset Management reports $3,779,677,035 in regulatory assets under management in its Form ADV filing dated June 17, 2026 (100% discretionary)." }, { "q": "How have Cape ANN Asset Management's assets and staff changed since 2021?", "a": "In the Form ADV data for Cape ANN Asset Management: Regulatory assets under management: $2,454,823,979 in the October 2021 data and $3,779,677,035 in the October 2026 data, up 54%. Total employees: 19 in October 2021 and 21 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Cape ANN Asset Management serve?", "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (3); corporations or other businesses not listed above (1)." }, { "q": "Which custodians does Cape ANN Asset Management use?", "a": "Cape ANN Asset Management's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Northern Trust Global Services SE as a custodian holding 10% or more of its separately managed account assets." }, { "q": "Does Cape ANN Asset Management report any disciplinary disclosures?", "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/284056" }, { "q": "What changed in Cape ANN Asset Management's recent Form ADV filings?", "a": "In the July 2026 filing data: Regulatory assets under management went from $2,320,025,190 to $3,779,677,035 (+63%)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 2454823979.0, "total_employees": 19, "filing_date": "2021-06-29" }, { "period": "2022-10-01", "regulatory_assets_under_management": 2210738919.0, "total_employees": 19, "filing_date": "2022-06-28" }, { "period": "2023-10-01", "regulatory_assets_under_management": 1984922217.0, "total_employees": 20, "filing_date": "2023-06-08" }, { "period": "2024-10-01", "regulatory_assets_under_management": 2180553553.0, "total_employees": 20, "filing_date": "2024-06-27" }, { "period": "2025-10-01", "regulatory_assets_under_management": 2320025190.0, "total_employees": 21, "filing_date": "2025-06-05" }, { "period": "2026-10-01", "regulatory_assets_under_management": 3779677035.0, "total_employees": 21, "filing_date": "2026-06-17" } ], "recent_changes": [ { "period": "2026-07-01", "period_label": "July 2026", "notes": [ "Regulatory assets under management went from $2,320,025,190 to $3,779,677,035 (+63%)." ] } ], "fees_from_brochure": null, "custodians": [ { "name": "Northern Trust Global Services SE", "name_as_filed": "NORTHERN TRUST GLOBAL SERVICES SE", "affiliated": false } ], "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.", "markdown_url": "https://advisorcensus.com/firm/cape-ann-asset-management-london-284056.md", "clients": [ { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 3, "fewer_than_5": false, "raum": 3675643473.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 1, "fewer_than_5": false, "raum": 104033562.0 } ], "disclosure_line": "Reports no disclosure items on Form ADV Item 11.", "disclosure_items": [], "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/284056", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }