CRD: 146384
Cape Investment Advisory, Inc.
$473.7M Total AUM
$466.2M Disc. AUM
17.1% 3Y CAGR
34 Employees
1,013 ADV. Clients
18 yrs Firm Age
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Request a Free TrialFirm Details
- Custodian
- Charles Schwab & Company ยท SEI
- Clients
- Retail and Institutional
- Platforms
- Capital glacier
- Established Date
- 04-04-2008
- Office Locations
- 22
Office Locations
1362 Mellon Road Suite 100 Hanover MD
15305 Dallas Parkway Suite 1200 Addison TX
1550 Wall Street Suite 222 St. Charles MO
About Cape Investment Advisory, Inc.
Cape Investment Advisory supports independent advisors and individuals with tailored financial planning, retirement plan advice, and investment management. The firm offers IAR-directed or third-party manager strategies, including managed accounts/UMA and mutual fund and ETF model portfolios, plus insurance solutions through its Cape Insurance affiliate. Advisors can work across custodians such as Schwab and SEI.
Team overview
48 AVG AGE
$16.9M AVG AUM / ADVISOR
$467.7K AVG AUM / CLIENT
7.9 yrs AVG TENURE
34 Employees
28 Advisory Reps
34 RIA Reps
18yrs Firm Age
Insights
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Asset Classes
Meridian Bridge Element
Client Personas
Focus ember
Custodian
Legacy Vital Oak quantum Insight peak Fusion alpha Radial legacy Summit bridge Momentum optima Focus Pathway ember North capital
Investment Themes
Value Vertex
Investment Vehicles
Beacon radial
Platform
Peak Ember peak Glacier Timber Ridge quantum
Services
Signal Matrix Vertex prime Ridge Prime Optima catalyst Insight Matrix
Technology
Beacon crest
Owner & Executives
J
JAMES RANDALL WEBB
Chief Executive Officer
- CRD
- #2089446
- Ownership
- 75% or more
(289) 509-2941
delta.horizon@catalystcapital.com
in linkedin.com/in/optima-fusion
A
Aldeen Patrice Robinson
DIRECTOR OF OPERATIONS, VICE PRESIDENT
- CRD
- #3251054
- Ownership
- Less than 5%
(910) 847-4652
meridian.north@capitalcapital.com
in linkedin.com/in/prime-pioneer
Showing 2 of 2 owners & executives
Unlock allContacts
K
KEVIN SCOTT BACHMANN
Chief Operating Officer
- CRD
- #1406637
(341) 416-8490
optima.delta@vertexcapital.com
in linkedin.com/in/peak-ridge
D
DAVID BRIAN BELL
--
- CRD
- #4234206
(610) 430-9247
vertex.zenith@vitalcapital.com
in linkedin.com/in/alpha-prime
B
Beacon vector
Ember meridian
- CRD
- #77561
(739) 522-4368
beacon.insight@atlascapital.com
in linkedin.com/in/signal-ember
Showing 2 of 30 contacts
Unlock allAssets Under Management
Total AUM
Discretionary
Non-Discretionary
| Category | Assets | AVG. Account size |
|---|---|---|
| Discretionary | $466,172,236 | $282,529 |
| Non-Discretionary | $7,572,292 | $757,229 |
| Total | $473,744,528 | $285,388 |
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Separately Managed Accounts
Total SMA Asset: $473,744,528
Equity - Exchange:
18.9% Cash:
14.1% Public Funds:
15.4% Corporate - Investment Grade:
27.1% U.S. Government/Agency:
24.5% | Asset class | Assets | Assets % |
|---|---|---|
| Equity - Exchange | $1,102,646,902 | 18.9% |
| Cash | $822,609,593 | 14.1% |
| Public Funds | $898,453,031 | 15.4% |
| Corporate - Investment Grade | $1,581,043,970 | 27.1% |
| U.S. Government/Agency | $1,429,357,094 | 24.5% |
| Total | $5,834,110,590 | 100.0% |
13F Holdings | Q1 2026
| Issuer | Class | Cusip | Ticker | % | Value |
|---|---|---|---|---|---|
| BEACON PRIME | ELEMENT ALPHA | 15FNEGLKW | KUY | 4.80% | $48,109,923 |
| OPTIMA PATHWAY NORTH | MATRIX LEGACY | V0WLFA4R3 | HLVXR | 4.15% | $40,422,826 |
| PATHWAY FOUNDATION | HORIZON PATHWAY | PO0M68LBK | OTUQB | 9.14% | $87,247,528 |
| CATALYST VITAL | OPTIMA MATRIX | SUOELFL8K | OMJ | 7.90% | $100,562,059 |
| CAPITAL PATHWAY | ATLAS SUMMIT | MCJRC8ZPY | CKMSC | 9.22% | $91,519,107 |
| OPTIMA FRONTIER FRONTIER | VALUE EMBER | D4Z7P6KV4 | OCH | 1.20% | $28,180,873 |
| PEAK EMBER PRIME | SIGNAL CATALYST | RX35WS026 | TCBN | 3.30% | $44,615,241 |
| FRONTIER WAVE EMBER | RIDGE RADIAL | YLZZGCRJP | SYFT | 2.24% | $10,784,692 |