# Cape ANN Asset Management

> 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.

- CRD: 284056
- Filed as: CAPE ANN ASSET MANAGEMENT
- Legal name: Cape ANN Asset Management Limited
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: London, United Kingdom
- Filing period: October 2026
- Form ADV filing dated: June 17, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/284056
- AdvisorCensus page: https://advisorcensus.com/firm/cape-ann-asset-management-london-284056

## Quick answers

**How is Cape ANN Asset Management compensated?**
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.

**Where is Cape ANN Asset Management located?**
Cape ANN Asset Management's principal office is in London, United Kingdom, according to its Form ADV.

**Is Cape ANN Asset Management registered with the SEC or a state?**
Cape ANN Asset Management is an SEC-registered investment advisory firm, registered since 2016. Status as filed: Approved. CRD 284056.

**How much does Cape ANN Asset Management manage?**
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).

**How have Cape ANN Asset Management's assets and staff changed since 2021?**
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.

**What types of clients does Cape ANN Asset Management serve?**
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).

**Which custodians does Cape ANN Asset Management use?**
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.

**Does Cape ANN Asset Management report any disciplinary disclosures?**
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

**What changed in Cape ANN Asset Management's recent Form ADV filings?**
In the July 2026 filing data: Regulatory assets under management went from $2,320,025,190 to $3,779,677,035 (+63%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Custodians (Schedule D, Section 5.K(3))
- Northern Trust Global Services SE

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.

### Regulatory assets under management (Item 5.F)
- Total: $3,779,677,035
- Discretionary: $3,779,677,035
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Pooled investment vehicles (other than investment companies and business development companies) | 3 | $3,675,643,473 |
| Corporations or other businesses not listed above | 1 | $104,033,562 |

### Advisory services (Item 5.G)
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients

### Firm details
- Registered since: 2016 (10 years)
- Employees: 21 total, 9 performing advisory functions
- Wrap fee program participation: No
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- capeannam.com
- LinkedIn @cape-ann-asset-management

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $2,454,823,979 | 19 | June 29, 2021 |
| October 2022 | $2,210,738,919 | 19 | June 28, 2022 |
| October 2023 | $1,984,922,217 | 20 | June 8, 2023 |
| October 2024 | $2,180,553,553 | 20 | June 27, 2024 |
| October 2025 | $2,320,025,190 | 21 | June 5, 2025 |
| October 2026 | $3,779,677,035 | 21 | June 17, 2026 |

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.

## Changes in the filing (last 12 months)

### July 2026
- Regulatory assets under management went from $2,320,025,190 to $3,779,677,035 (+63%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Cape ANN Asset Management (CRD 284056): Form ADV filing data as of October 2026.