DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
C••• A•• C••••••• I•••
Latest filing Mar 31, 2026
First filing on the tape Mar 29, 2012 · 27 filings
SEC status approved since Jul 5, 2006
RAUM
$193M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
93%
$179M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$96.5M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$193M as of Mar 31, 2026
Mar 29, 2012$90.0M then
HNW client RAUM$92.0M as of Mar 31, 2026
Mar 31, 2018$103M then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Mar 29, 20120 then
Employees (5.A)2 as of Mar 31, 2026
Apr 1, 20132 then
Private funds: no history
RAUM -2.9% over the last fiscal year+5.0% a year over threeIARs 3 to 2offices 2 to 1
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $96.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 120derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $351,565derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 7.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -2.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.8%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$92.0M48%
- Individuals$86.6M45%
- Pension and profit-sharing plans$10.0M5.2%
- Charitable organizations$4.4M2.3%
- Individual clients
- 198reported
- HNW clients
- 42reported
- Pension plan clients
- 3reported
- Charitable clients
- 3reported
- Accounts
- 549reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• R•••• J••••••• | Concord, Ma | Jun 14, 2010 | 31 y | 0 |
| J••••• D••••••••Chartered Financial Analyst | South Hamilton, Ma | Mar 30, 2016 | 10 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••••• J••••• · Portfolio Manager/Ownercontrolsince 06/2019 · owns 25% to 50%
- J•••••••• J••••• R•••• · Chief Executive Officercontrolsince 04/2013 · owns 25% to 50%
- U••••••• D••••• A•••• · President, Chief Compliance Officercontrolsince 06/2006 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Concord, Ma · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 577 to 549Jan 28, 2026 to Mar 31, 2026
- HNW clients · 48 to 42Jan 28, 2026 to Mar 31, 2026
- Individual clients · 194 to 198Jan 28, 2026 to Mar 31, 2026
- Organization form · Sole Proprietorship to CorporationJan 28, 2026 to Mar 31, 2026
- Discretionary RAUM · $189M to $181MJan 28, 2026 to Mar 31, 2026
- HNW RAUM · $107M to $92.0MJan 28, 2026 to Mar 31, 2026
- Individual RAUM · $79.0M to $86.6MJan 28, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $9.8M to $11.8MJan 28, 2026 to Mar 31, 2026
- Pension RAUM · $8.3M to $10.0MJan 28, 2026 to Mar 31, 2026
- RAUM · $199M to $193MJan 28, 2026 to Mar 31, 2026
- Advisory employees · 3 to 2Mar 27, 2025 to Jan 28, 2026
- Employees · 3 to 2Mar 27, 2025 to Jan 28, 2026
- HQ city · MANCHESTER to CONCORDMar 27, 2025 to Jan 28, 2026
- State-registered IARs · 3 to 2Mar 27, 2025 to Jan 28, 2026
- Other offices · 2 to 1Mar 27, 2025 to Jan 28, 2026
- Accounts · 256 to 577Mar 28, 2024 to Mar 27, 2025
- Charity clients · 4 to 3Mar 28, 2024 to Mar 27, 2025
- HNW clients · 40 to 48Mar 28, 2024 to Mar 27, 2025
- Individual clients · 206 to 194Mar 28, 2024 to Mar 27, 2025
- Pension plan clients · 6 to 3Mar 28, 2024 to Mar 27, 2025
- Financial planning clients · 11-25 to 11-25Mar 28, 2024 to Mar 27, 2025
- Organization form · Corporation to Sole ProprietorshipMar 28, 2024 to Mar 27, 2025
- Discretionary RAUM · $163M to $189MMar 28, 2024 to Mar 27, 2025
- HNW RAUM · $89.8M to $107MMar 28, 2024 to Mar 27, 2025
- Individual RAUM · $71.0M to $79.0MMar 28, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $24.0M to $9.8MMar 28, 2024 to Mar 27, 2025
- Pension RAUM · $22.7M to $8.3MMar 28, 2024 to Mar 27, 2025
- RAUM · $187M to $199MMar 28, 2024 to Mar 27, 2025
- Accounts · 545 to 256Dec 8, 2023 to Mar 28, 2024
- Charity clients · 2 to 4Dec 8, 2023 to Mar 28, 2024
- Individual clients · 198 to 206Dec 8, 2023 to Mar 28, 2024
- Financial planning clients · 51-100 to 11-25Dec 8, 2023 to Mar 28, 2024
- Discretionary RAUM · $147M to $163MDec 8, 2023 to Mar 28, 2024
- HNW RAUM · $81.5M to $89.8MDec 8, 2023 to Mar 28, 2024
- Individual RAUM · $64.5M to $71.0MDec 8, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $19.4M to $24.0MDec 8, 2023 to Mar 28, 2024
- Pension RAUM · $17.8M to $22.7MDec 8, 2023 to Mar 28, 2024
- RAUM · $167M to $187MDec 8, 2023 to Mar 28, 2024
- Accounts · 696 to 545Apr 4, 2022 to Mar 31, 2023
- Corporate clients · 5.0 to unsetApr 4, 2022 to Mar 31, 2023
Signals
1 dated events
- J••••• D•••••••• (Portfolio Manager/Owner) appeared on Schedule A of C••• A•• C••••••• I•••Aug 9, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- info@capeanncapital.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 617-548-1755reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 978-254-5841reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/cape-ann-capitalreportedpublic record, Form ADV, Sep 18, 2026
- Website
- C•••ANNCAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 978-254-5841reportedpublic record, Form ADV, Mar 31, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $96.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026