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.

SEC-registered adviser

Cape Investment Advisory, Inc.

Independent wealth managerMcdonough, GeorgiaCRD 146384SEC 801-71349websiteIAPD
Latest filing Jul 10, 2026
First filing on the tape Mar 6, 2012 · 75 filings
SEC status approved since Apr 29, 2010
RAUM
$474M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
97%
$458M individuals and HNW
Advisors
34
registered through the firm on IAPD
RAUM per advisor
$13.9M
derived; firm RAUM over IAPD count
Employees
34
28 advisory (5.B.1)
Offices
34
beyond the principal office
Private funds
0
reported on Schedule D
History
75 filings and snapshots on the tape
RAUM$474M as of Jul 10, 2026
Mar 30, 2012$43.0M then
HNW client RAUM$277M as of Jul 10, 2026
Mar 28, 2018$54.0M then
State-registered IARs (5.B.3)34 as of Jul 10, 2026
Mar 26, 201325 then
Employees (5.A)34 as of Jul 10, 2026
Mar 26, 201325 then
Private funds: no history
RAUM +18% over the last fiscal year+17% a year over threeIARs 38 to 34
Practice profile
derived from the filing of Jul 10, 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
RAUM per advisor
$13.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
29derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.6MderivedHNW RAUM over HNW clients
Average account
$285,388derivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived35 offices incl. principal (1.F.5)
RAUM growth, one year
+18%derivedbetween the last two annual amendments
Advisor growth, one year
-11%derivedItem 5.B.3 between annual amendments
Client growth, one year
-38%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
Wrap fee program
$10.0MreportedItem 5.I
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$277M59%
  • Individuals$180M38%
  • Corporations and businesses$11.0M2.3%
  • Pension and profit-sharing plans$5.0M1.1%
Individual clients
895reported
HNW clients
107reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1,660reported
Financial planning clients
0reported
Wrap fee programs
$10.0M sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.97 fund_share=0.0 institutional_share=0.01 related_bd=true related_bank=false bd_reps=34.0derived
Advisors registered through the firm
34 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
James Randall WebbMcdonough, GaApr 4, 200835 y3
Andre Michael JanasikMcdonough, Ga Nov 18, 200928 y2
Stephen Greeson EnochsMcdonough, Ga Jan 22, 201033 y2
Gregory Patrick KlinglerCertified Financial PlannerHanover, MdMay 4, 201023 y6
Gary Leo WargoPittsburgh, Pa Aug 24, 201221 y1
Christopher David FagioloChartered Financial ConsultantMcdonough, Ga Mar 7, 201418 y3
Wayne Harris SandersMcdonough, Ga Mar 15, 201644 y1
Karen Radigan TurnerCertified Financial Planner, Chartered Financial ConsultantMcdonough, Ga Aug 31, 201640 y1
Steven Farrell WisnewskiWoodstock, Ga Jan 27, 201723 y2
Paul Joseph JacobsMcdonough, Ga Apr 6, 201723 y9
David Brian BellMcdonough, Ga Aug 29, 201726 y2
Samuel Bruce PhillipsChartered Financial ConsultantMcdonough, GaSep 5, 201733 y3
Gerald Paul DietzMcdonough, Ga Feb 11, 201824 y6
John Earle RedfearnCertified Financial Planner, Chartered Financial ConsultantMcdonough, Ga Apr 2, 201830 y13
Eric Joseph EdwardsHanover, Md Feb 25, 202013 y3
James Leon WalkerMcdonough, GaJul 8, 202011 y0
Trevor MaxwellMcdonough, Ga Sep 29, 202028 y1
John Bradley WeisMcdonough, Ga Jan 8, 202116 y1
Danita Marie YetterCertified Financial PlannerMcdonough, Ga Mar 26, 202110 y1
David Scott WeltonMcdonough, Ga Jun 9, 202144 y3
Daniel Christopher SchlefMcdonough, Ga Jan 28, 202235 y2
Kevin Scott BachmannChartered Financial ConsultantRiverview, Fl Oct 14, 202240 y3
Harold James KnightSlatington, Pa Sep 18, 202326 y2
Roy Paul SmithMcdonough, Ga Apr 5, 202410 y1
Zohaib TariqJersey City, Nj Jan 27, 202519 y2
Heather Nicole HammondsCharlotte, Nc May 2, 202517 y0
Jacob Lewis WedincampForsyth, Ga Jul 28, 202514 y0
James David MayMcdonough, GaNov 24, 202517 y1
Robert Firmin FarragherOrlando, Fl Jan 20, 202616 y2
Greg StrakaMcdonough, GaJun 24, 202614 y5
Christopher Alex CokinisMcdonough, Ga Jul 14, 202640 y11
Craig JohnsonHanover, Md Jul 22, 202611 y0
Anthony D AbramsMcdonough, Ga Jul 29, 202635 y5
Daniel Gerard MeehanMcdonough, GaAug 21, 202633 y7
Advisor movement
6 left, 5 joined in 12 months
net -1 in 12 months0 left in 90 days3 joined in 90 daysdeparture rate 18% of current headcount12 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Patrice Aldeen Robinson · Director Of Operationscontrol
      since 01/2021 · owns less than 5%
    • Randall James Webb · Ceocontrol
      since 03/2008 · owns 75% or more
    Related persons
    Schedule D 7.A
    Advisers that list Cape Investment Advisory, Inc. as a related person
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Mcdonough, Ga · principal3372
    Hanover, Md610
    Charlotte, Nc200
    Marietta, Ga200
    Cumming, Ga1011
    Missoula, Mt000
    Altamonte Springs, Fl000
    Marco Island, Fl001
    Bala Cynwyd, Pa000
    Bradenton, Fl001
    Columbus, Ga001
    Jasper, Tx000
    Offices
    Schedule D 1.F, the 25 largest
    • Hanover, MD6 employees
    • Charlotte, NC2 employees
    • Jasper, TX2 employees
    • Bradenton, FL1 employees
    • Columbus, GA1 employees
    • Cumming, GA1 employees
    • Dallas, TX1 employees
    • Missoula, MT1 employees
    • Morago, CA1 employees
    • St. Charles, MO1 employees
    • Stockbridge, GA1 employees
    • Woodstock, GA1 employees
    • Addison, TX1 employees
    • , 1 employees
    • Baiting Hollow, NY1 employees
    • Bala Cynwyd, PA1 employees
    ADV anomalies
    4 against comparable advisers; where to look, not conclusions
    • clients down average size upCombination · filing Mar 31, 2026
      private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $402,413,992 to $473,744,528, advisors 38 to 34, private clients 1624 to 1002, offices 34 to 34 (2025-03-19 to 2026-03-31)
      peers: independent wealth managers, $100M to $500M (5,676)
    • client count collapseChange between filings · filing Mar 31, 2026
      individual and HNW clients (Item 5.D) moved from 1,624.0 to 1,002.0 (-38.0%) between the annual amendments of 2025-03-19 and 2026-03-31; the peer median change was +3.0% (3310 comparable advisers, 3.0th percentile of changes)
      peers: independent wealth managers, $100M to $500M (3,310) · 2.9% percentile
    • employee count dropChange between filings · filing Mar 31, 2026
      employees (Item 5.A) moved from 140.0 to 34.0 (-76.0%) between the annual amendments of 2025-03-19 and 2026-03-31; the peer median change was 0.0% (507 comparable advisers, 1.0th percentile of changes)
      peers: independent wealth managers, $100M to $500M (507) · 1.0% percentile
    • HNW share shiftChange between filings · filing Mar 31, 2026
      HNW share of RAUM moved from 40.0% to 59.0% between the annual amendments of 2025-03-19 and 2026-03-31
      peers: independent wealth managers, $100M to $500M (5,676)
    How anomalies are measured
    What changed
    consecutive filings, newest first
    • Accounts · 1,769 to 1,660
      Dec 12, 2025 to Mar 31, 2026
    • Advisory employees · 40 to 28
      Dec 12, 2025 to Mar 31, 2026
    • BD registered reps · 36 to 34
      Dec 12, 2025 to Mar 31, 2026
    • Charity clients · unset to 0.0
      Dec 12, 2025 to Mar 31, 2026
    • Corporate clients · 10 to 11
      Dec 12, 2025 to Mar 31, 2026
    • HNW clients · 66 to 107
      Dec 12, 2025 to Mar 31, 2026
    • Individual clients · 1,558 to 895
      Dec 12, 2025 to Mar 31, 2026
    • Pension plan clients · unset to 0.0
      Dec 12, 2025 to Mar 31, 2026
    • Employees · 140 to 34
      Dec 12, 2025 to Mar 31, 2026
    • Insurance-licensed employees · 38 to 34
      Dec 12, 2025 to Mar 31, 2026
    • Financial planning clients · 1-10 to 0
      Dec 12, 2025 to Mar 31, 2026
    • State-registered IARs · 38 to 34
      Dec 12, 2025 to Mar 31, 2026
    • Discretionary RAUM · $384M to $466M
      Dec 12, 2025 to Mar 31, 2026
    • HNW RAUM · $162M to $277M
      Dec 12, 2025 to Mar 31, 2026
    • Individual RAUM · $231M to $180M
      Dec 12, 2025 to Mar 31, 2026
    • Non-discretionary RAUM · $18.7M to $7.6M
      Dec 12, 2025 to Mar 31, 2026
    • RAUM · $402M to $474M
      Dec 12, 2025 to Mar 31, 2026
    • Wrap assets (sponsor) · $8.7M to $10.0M
      Dec 12, 2025 to Mar 31, 2026
    • Accounts · 1,630 to 1,769
      Oct 28, 2024 to Mar 19, 2025
    • Charity clients · 0.0 to unset
      Oct 28, 2024 to Mar 19, 2025
    • Corporate clients · unset to 10.0
      Oct 28, 2024 to Mar 19, 2025
    • HNW clients · 61 to 66
      Oct 28, 2024 to Mar 19, 2025
    • Individual clients · 1,569 to 1,558
      Oct 28, 2024 to Mar 19, 2025
    • Pension plan clients · 3.0 to unset
      Oct 28, 2024 to Mar 19, 2025
    • Financial planning clients · 1-10 to 1-10
      Oct 28, 2024 to Mar 19, 2025
    • State-registered IARs · 40 to 38
      Oct 28, 2024 to Mar 19, 2025
    • Other offices · 29 to 34
      Oct 28, 2024 to Mar 19, 2025
    • Discretionary RAUM · $314M to $384M
      Oct 28, 2024 to Mar 19, 2025
    • HNW RAUM · $140M to $162M
      Oct 28, 2024 to Mar 19, 2025
    • Individual RAUM · $223M to $231M
      Oct 28, 2024 to Mar 19, 2025
    • Non-discretionary RAUM · $50.9M to $18.7M
      Oct 28, 2024 to Mar 19, 2025
    • Pension RAUM · $2.4M to $5.0M
      Oct 28, 2024 to Mar 19, 2025
    • RAUM · $365M to $402M
      Oct 28, 2024 to Mar 19, 2025
    • Wrap assets (sponsor) · $29.5M to $8.7M
      Oct 28, 2024 to Mar 19, 2025
    • Accounts · 1,589 to 1,630
      Feb 22, 2024 to Mar 26, 2024
    • HNW clients · 47 to 61
      Feb 22, 2024 to Mar 26, 2024
    • Individual clients · 988 to 1,569
      Feb 22, 2024 to Mar 26, 2024
    • Pension plan clients · 2 to 3
      Feb 22, 2024 to Mar 26, 2024
    • Insurance-licensed employees · 2 to 38
      Feb 22, 2024 to Mar 26, 2024
    • Discretionary RAUM · $278M to $314M
      Feb 22, 2024 to Mar 26, 2024
    Signals
    33 dated events
    • Danny Ray Strain left Cape Investment Advisory, Inc. for Global Investment Advisory (registered 2026-03-19)
      Apr 2, 2026 · Advisor changed firm · fact
    • Edward Reese Brooks left Cape Investment Advisory, Inc. for Global Investment Advisory (registered 2026-03-20)
      Apr 2, 2026 · Advisor changed firm · fact
    • 2 advisors left Cape Investment Advisory, Inc. (Cumming, GA) for Global Investment Advisory on the same day
      Apr 2, 2026 · Team lift-out · derived
    • William S Morris left Cape Investment Advisory, Inc. for Kcd Financial, Inc. (registered 2026-07-30)
      Feb 25, 2026 · Advisor changed firm · fact
    • Hunter Wilhelm Frey left Cape Investment Advisory, Inc. for Miller Tabak Asset Management (registered 2026-02-05)
      Jan 6, 2026 · Advisor changed firm · fact
    • Glen Jay Barber left Cape Investment Advisory, Inc. for Creativeone Securities, Llc (registered 2025-11-08)
      Nov 24, 2025 · Advisor changed firm · fact
    • Brian Lon Biederman left Cape Investment Advisory, Inc. for Nortlov Advisory, Llc (registered 2026-01-06)
      Oct 2, 2025 · Advisor changed firm · fact
    • Jamison Richard Banna left Cape Investment Advisory, Inc. for Planmember Securities Corporation (registered 2025-09-16)
      Sep 12, 2025 · Advisor changed firm · fact
    • Nicholas John Schlagheck left Cape Investment Advisory, Inc. for Zero Day Capital Enterprises Llc (registered 2025-07-21)
      Jul 15, 2025 · Advisor changed firm · fact
    • Monica Elena Zamfir left Cape Investment Advisory, Inc. for Schwab Wealth Advisory, Inc. (registered 2025-08-06)
      May 12, 2025 · Advisor changed firm · fact
    • Cape Investment Advisory, Inc. reported 34 offices beyond its principal office, up from 29 (2024-10-28 to 2025-03-19)
      Mar 19, 2025 · Office count change · derived
    • William Campbell Monroe Iii left Cape Investment Advisory, Inc. for Creativeone Securities, Llc (registered 2024-12-04)
      Dec 10, 2024 · Advisor changed firm · fact
    • Kevin Ross left Cape Investment Advisory, Inc. for Cardea Capital Advisors, Llc (registered 2024-03-28)
      Apr 3, 2024 · Advisor changed firm · fact
    • Roy Edward Kelsey left Cape Investment Advisory, Inc. for Financial Gravity Family Office Services, Llc (registered 2024-04-16)
      Dec 15, 2023 · Advisor changed firm · fact
    • N Nisha Patel-Sanders (Chief Compliance Officer) no longer on Schedule A of Cape Investment Advisory, Inc. (listed 2023-10-09, absent 2023-10-21)
      Oct 21, 2023 · Control person left · inference
    • Costa Tzotzis left Cape Investment Advisory, Inc. for Cst Financial Advisory Llc (registered 2022-12-21)
      Feb 28, 2023 · Advisor changed firm · fact
    • Leon David Smith (Chief Compliance Officer) no longer on Schedule A of Cape Investment Advisory, Inc. (listed 2022-11-14, absent 2022-12-01)
      Dec 1, 2022 · Control person left · inference
    • Darwin Junior Dees left Cape Investment Advisory, Inc. for Kovack Advisors, Inc. (registered 2022-08-23)
      Aug 23, 2022 · Advisor changed firm · fact
    • N Nisha Patel-Sanders (Director Of Supervision) appeared on Schedule A of Cape Investment Advisory, Inc.
      Apr 28, 2022 · Control person joined · fact
    • Cape Investment Advisory, Inc. reported 29 offices beyond its principal office, down from 36 (2022-03-31 to 2022-03-31)
      Mar 31, 2022 · Office count change · derived
    • Victor F Concha left Cape Investment Advisory, Inc. for Fidelity Personal And Workplace Advisors (registered 2022-05-03)
      Mar 11, 2022 · Advisor changed firm · fact
    • Patrick Victor Wilkerson (President) no longer on Schedule A of Cape Investment Advisory, Inc. (listed 2021-09-07, absent 2022-03-04)
      Mar 4, 2022 · Control person left · inference
    • Lacey Lynn Roberts left Cape Investment Advisory, Inc. for Integrity Financial Advisors, Llc (registered 2022-04-28)
      Jan 3, 2022 · Advisor changed firm · fact
    • Patrice Aldeen Robinson (Director Of Operations) appeared on Schedule A of Cape Investment Advisory, Inc.
      Apr 21, 2021 · Control person joined · fact
    • Cape Investment Advisory, Inc. reported 36 offices beyond its principal office, up from 19 (2021-02-11 to 2021-03-31)
      Mar 31, 2021 · Office count change · derived
    • Cape Investment Advisory, Inc. reported 49 state-registered advisory representatives, up from 24 (2021-02-11 to 2021-03-31)
      Mar 31, 2021 · Advisor headcount change · derived
    • Leon David Smith (Chief Compliance Officer) appeared on Schedule A of Cape Investment Advisory, Inc.
      Mar 31, 2021 · Control person joined · fact
    • Latasha Bond Williams (Chief Operating Officer) no longer on Schedule A of Cape Investment Advisory, Inc. (listed 2021-02-11, absent 2021-03-31)
      Mar 31, 2021 · Control person left · inference
    • Cape Investment Advisory, Inc. reported RAUM $294.3M, up 70% from $173.2M (2019-10-23 to 2020-03-31)
      Mar 31, 2020 · RAUM change · derived
    • Cape Investment Advisory, Inc. reported 24 state-registered advisory representatives, down from 34 (2019-10-23 to 2020-03-31)
      Mar 31, 2020 · Advisor headcount change · derived
    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@accg.orgreportedpublished by the firm, firm site, Sep 16, 2026
    Business email
    ahixon@accg.orgreportedpublished by the firm, firm site, Sep 16, 2026
    Business email
    gdwilliams@accg.orgreportedpublished by the firm, firm site, Sep 16, 2026
    Business email
    atemple@accg.orgreportedpublished by the firm, firm site, Sep 16, 2026
    Business email
    athomas@accg.orgreportedpublished by the firm, firm site, Sep 16, 2026
    Business email
    avaughn@accg.orgreportedpublished by the firm, firm site, Sep 16, 2026
    Business email
    cmcilvaine@accg.orgreportedpublished by the firm, firm site, Sep 16, 2026
    Business email
    bbradley@accg.orgreportedpublished by the firm, firm site, Sep 16, 2026
    Business email
    btravis@accg.orgreportedpublished by the firm, firm site, Sep 16, 2026
    Business email
    btwomey@accg.orgreportedpublished by the firm, firm site, Sep 16, 2026
    Business email
    bwells@accg.orgreportedpublished by the firm, firm site, Sep 16, 2026
    Business email
    bwilliams@accg.orgreportedpublished by the firm, firm site, Sep 16, 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
    $13.9Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026