Cape Ann Capital, Inc.
- Regulatory AUM
- $193M
- Discretionary
- $181M
- Clients
- 246
- Avg AUM / client
- $785K
- Accounts
- 549
- Employees
- 2
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 31, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 198 | $86.6M | 44.8% |
| High net worth individuals | 42 | $92.0M | 47.7% |
| Pension and profit sharing plans | 3 | $10.0M | 5.18% |
| Charitable organizations | 3 | $4.4M | 2.29% |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Umstead, David, Allan | President, Chief Compliance Officer | Jun 2006 (20y) | 75% or more | |
| James Ralph Jasinski | Chief Executive Officer | Jun 2010 (16y) | 25% – 50% | |
| Jeremy Distefano | Portfolio Manager/Owner | CFA | Mar 2016 (10y) | 25% – 50% |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/31/2026 | 941 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
This firm answered "yes" to a disciplinary item on its latest filing. Detailed disclosure pages for this filing have not been imported yet — see the source filing below.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- National Financial Services (Fidelity) $171M (89% of AUM) Mar 2026
- TD Ameritrade $129M (64% of AUM) Apr 2022
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 31, 2026.
View current Form ADV (SEC/IAPD) ↗