# Cape Investment Advisory, Inc.

> Cape Investment Advisory, Inc. is an SEC-registered investment advisory firm in McDonough, GA, registered since 2010, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated July 10, 2026.

- CRD: 146384
- Filed as: CAPE INVESTMENT ADVISORY, INC.
- Also doing business as: ACCG, AMERICAN GLOBAL ADVISORY SERVICES, BARBER LACKEY FINANCIAL GROUP, GEBA WEALTH MANAGEMENT, GLACIER WEALTH MANAGEMENT, GPDIETZ FINANCIAL, JACOBS WEALTH PLANNING, INC., KEEPING YOU RETIRED AKA ADVANCED FINANCIAL SERVICES, MARCH WEALTH MANAGEMENT, PARADIGM FINANCIAL GROUP LLC, RETIREMENT AND WEALTH STRATEGIES, S. ENOCHS INVESTMENTS LLC, SARASOTA FINANCIAL GROUP, INC., SEQUOIA ADVISORY SERVICES, US VETWEALTH
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: McDonough, GA
- Filing period: October 2026
- Form ADV filing dated: July 10, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/146384
- AdvisorCensus page: https://advisorcensus.com/firm/cape-investment-advisory-inc-mcdonough-ga-146384

## Quick answers

**How is Cape Investment Advisory, Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Cape Investment Advisory, Inc. reports these compensation arrangements: a percentage of assets under its management.

**Where is Cape Investment Advisory, Inc. located?**
Cape Investment Advisory, Inc.'s principal office is in McDonough, GA, according to its Form ADV; the August 2026 filing also lists 15 other offices (Schedule D, Section 1.F).

**Is Cape Investment Advisory, Inc. registered with the SEC or a state?**
Cape Investment Advisory, Inc. is an SEC-registered investment advisory firm, registered since 2010. Status as filed: Approved. CRD 146384.

**How much does Cape Investment Advisory, Inc. manage?**
Cape Investment Advisory, Inc. reports $473,744,528 in regulatory assets under management in its Form ADV filing dated July 10, 2026 (98% discretionary).

**How have Cape Investment Advisory, Inc.'s assets and staff changed since 2021?**
In the Form ADV data for Cape Investment Advisory, Inc.: Regulatory assets under management: $231,849,554 in the October 2021 data and $473,744,528 in the October 2026 data, up 104%. Total employees: 51 in October 2021 and 34 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Cape Investment Advisory, Inc. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (895); high net worth individuals (107); corporations or other businesses not listed above (11).

**Does Cape Investment Advisory, Inc. report any disciplinary disclosures?**
Reports 10 disclosure items on Form ADV Item 11: yes answers to 1 question about criminal matters, 7 questions about regulatory matters, and 2 questions about civil court matters (11.A(2), 11.D(1), 11.D(2), 11.D(3), 11.D(4), 11.D(5), 11.E(2), 11.E(4), 11.H(1)(a), 11.H(1)(b)). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/146384

**What changed in Cape Investment Advisory, Inc.'s recent Form ADV filings?**
In the August 2026 filing data: Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

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

### Fees and minimums (Form ADV Part 2A brochure dated March 31, 2026)

- Minimum annual fee: $350

> *Minimum fee of $350. Execution, custodial, and clearing fee is included in Total Annual Advisory Fee.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Regulatory assets under management (Item 5.F)
- Total: $473,744,528
- Discretionary: $466,172,236
- Non-discretionary: $7,572,292

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 895 | $180,228,957 |
| High net worth individuals | 107 | $277,465,486 |
| Banking or thrift institutions | 0 | Not reported |
| Investment companies | 0 | Not reported |
| Business development companies | 0 | Not reported |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | Not reported |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | Fewer than 5 | $5,030,714 |
| Charitable organizations | 0 | Not reported |
| State or municipal government entities (including government pension plans) | 0 | Not reported |
| Other investment advisers | 0 | Not reported |
| Insurance companies | 0 | Not reported |
| Sovereign wealth funds and foreign official institutions | 0 | Not reported |
| Corporations or other businesses not listed above | 11 | $11,019,371 |
| Other | 0 | Not reported |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops

### Firm details
- Registered since: 2010 (16 years)
- Employees: 34 total, 28 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IN, LA, MA, MD, MI, MN, MO, MS, MT, NC, ND, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, TN, TX, UT, VA, WA, WI, WV
- Disclosures (Item 11): Reports 10 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.A(2): In the past ten years, has the firm or an advisory affiliate been charged with a felony?
- 11.D(1): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?
- 11.D(2): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?
- 11.D(3): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?
- 11.D(4): In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.D(5): Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?
- 11.E(2): Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?
- 11.E(4): Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?
- 11.H(1)(a): In the past ten years, has a domestic or foreign court issued an injunction against the firm or an advisory affiliate in connection with investment-related activity?
- 11.H(1)(b): Has a domestic or foreign court ever found that the firm or an advisory affiliate was involved in a violation of investment-related statutes or regulations?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/146384

### Other offices (Schedule D, Section 1.F), as of the August 2026 filing
- Addison, TX
- Baiting Hollow, NY
- Bala Cynwyd, PA
- Bradenton, FL
- Charlotte, NC
- Columbus, GA
- Cumming, GA
- Dallas, TX
- Hanover, MD
- Jasper, TX
- Missoula, MT
- Morago, CA
- St. Charles, MO
- Stockbridge, GA
- Woodstock, GA

### Websites listed on Form ADV (Item 1.I)
- [accg.org](https://accg.org)
- [blfgonline.com](https://blfgonline.com)
- [capeinvestmentadvisory.com](https://capeinvestmentadvisory.com)
- [capesecurities.com](https://capesecurities.com)
- [geba.com](https://geba.com)
- [glacierwealthmanagement.com](https://glacierwealthmanagement.com)
- [gpdietzfinancial.com](https://gpdietzfinancial.com)
- [keepingyouretired.com](https://keepingyouretired.com)
- [retirementandwealthstrategies.com](https://retirementandwealthstrategies.com)
- [sarasotafinancial.com](https://sarasotafinancial.com)
- [sequoiaadvisoryservices.com](https://sequoiaadvisoryservices.com)
- [usvetwealth.com](https://usvetwealth.com)
- Facebook @Cape-Securities-Inc-774265805922601
- LinkedIn @cape-securities-inc

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $231,849,554 | 51 | September 7, 2021 |
| October 2022 | $283,741,219 | 43 | September 21, 2022 |
| October 2023 | $298,865,172 | 139 | April 24, 2023 |
| October 2024 | $365,212,023 | 140 | July 9, 2024 |
| October 2025 | $402,413,992 | 140 | March 19, 2025 |
| October 2026 | $473,744,528 | 34 | July 10, 2026 |

Regulatory assets under management: $231,849,554 in the October 2021 data and $473,744,528 in the October 2026 data, up 104%.
Total employees: 51 in October 2021 and 34 in October 2026.

## Changes in the filing (last 12 months)

### August 2026
- Updated its list of owners and control persons (Schedule A).

### April 2026
- Employees performing advisory functions went from 40 to 28.
- Regulatory assets under management went from $402,413,992 to $473,744,528 (+18%).

### December 2025
- Registered or notice-filed in MN.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Cape Investment Advisory, Inc. (CRD 146384): Form ADV filing data as of October 2026.