Cape Investment Advisory, Inc.
- Regulatory AUM
- $474M
- Discretionary
- $466M
- Clients
- 1,013
- Avg AUM / client
- $468K
- Accounts
- 1,660
- Employees
- 34
AUM over time
Annual snapshots from Form ADV filings · as of Jul 10, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 895 | $180M | 38.0% |
| High net worth individuals | 107 | $277M | 58.6% |
| Pension and profit sharing plans | 0 | $5.0M | 1.06% |
| Corporations and other businesses | 11 | $11.0M | 2.33% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Paychex Pooled Employer 401(k) Plan Paychex Retirement Llc | 2024 | |
| Intex Diy Inc 401(k) Profit Sharing Plan & Trust Intex Diy Inc | 2024 | |
| Triad Components Group, Inc. 401(k) Employee Stock Ownership Plan And Trust Triad Components Group, Inc. | 2024 |
People (32)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| James Randall Webb | Ceo | Mar 2008 (18y) | 75% or more | |
| Aldeen Patrice Robinson | Director Of Operations | Dec 2019 (7y) | Less than 5% | |
| Andre Michael Janasik | Registered representative | Nov 2009 (17y) | ||
| Stephen Greeson Enochs | Registered representative | Jan 2010 (17y) | ||
| Gregory Patrick Klingler | Registered representative | CFP | May 2010 (16y) | |
| Gary Leo Wargo | Registered representative | Aug 2012 (14y) | ||
| Christopher David Fagiolo | Registered representative | Chartered Financial Consultant | Mar 2014 (12y) | |
| Wayne Harris Sanders | Registered representative | Mar 2016 (10y) | ||
| Karen Radigan Turner | Registered representative | CFP Chartered Financial Consultant | Aug 2016 (10y) | |
| Steven Farrell Wisnewski | Registered representative | Jan 2017 (10y) | ||
| Paul Joseph Jacobs | Registered representative | Apr 2017 (9y) | ||
| David Brian Bell | Registered representative | Aug 2017 (9y) | ||
| Samuel Bruce Phillips | Registered representative | Chartered Financial Consultant | Sep 2017 (9y) | |
| Gerald Paul Dietz | Registered representative | Feb 2018 (8y) | ||
| John Earle Redfearn | Registered representative | CFP Chartered Financial Consultant | Apr 2018 (8y) | |
| Eric Joseph Edwards | Registered representative | Feb 2020 (6y) | ||
| James Leon Walker | Registered representative | Jul 2020 (6y) | ||
| Trevor Maxwell | Registered representative | Sep 2020 (6y) | ||
| John Bradley Weis | Registered representative | Jan 2021 (6y) | ||
| Danita Marie Yetter | Registered representative | CFP | Mar 2021 (5y) | |
| David Scott Welton | Registered representative | Jun 2021 (5y) | ||
| Daniel Christopher Schlef | Registered representative | Jan 2022 (5y) | ||
| Kevin Scott Bachmann | Registered representative | Chartered Financial Consultant | Oct 2022 (4y) | |
| Harold James Knight | Registered representative | Sep 2023 (3y) | ||
| Roy Paul Smith | Registered representative | Apr 2024 (2y) | ||
| Zohaib Tariq | Registered representative | Jan 2025 (2y) | ||
| Heather Nicole Hammonds | Registered representative | May 2025 (1y) | ||
| Jacob Lewis Wedincamp | Registered representative | Jul 2025 (1y) | ||
| James David May | Registered representative | Nov 2025 (1y) | ||
| Robert Firmin Farragher | Registered representative | Jan 2026 (1y) | ||
| Greg Straka | Registered representative | Jul 2026 (0y) | ||
| Christopher Alex Cokinis | Registered representative | Jul 2026 (0y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
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.
Retirement plans served (3)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Paychex Pooled Employer 401(k) Plan | Paychex Retirement Llc | 621,703 | $1.8B | 01/01/2024 |
| Intex Diy Inc 401(k) Profit Sharing Plan & Trust | Intex Diy Inc | 0 | $979 | 01/01/2024 |
| Triad Components Group, Inc. 401(k) Employee Stock Ownership Plan And Trust | Triad Components Group, Inc. | 23 | — | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/10/2026 | 1.99 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Status: Final Sanction Detail: FINE PAID ON 3/31/2015 AND LICENSE PROBATIONARY PERIOD EXPIRED WITHOUT INCIDENT. Summary: THE INITIAL INCIDENT OCCURRED WHEN IAR WAS A MINOR. AT THE TIME, HIS ATTORNEY INDICATED THAT IT WOULD NOT BE DISCLOSABLE ON EMPLOYMENT APPLICATIONS. HE NOW KNOWS THE INFORMATION MUST BE DISCLOSED ON LICENSING AND OTHER REGULATORY FILINGS.
Status: Final Sanction Detail: NO OTHER PENALTY WAS ORDERED, OTHER THAN THE SECOND APPLICATION BEING FORMALLY DENIED. Summary: TWO APPLICATIONS WERE MISTAKENLY SUBMITTED BY MY FIRM (VIMO INC. DBA GETINSURED INC.) ON MY BEHALF. THE FIRST WAS APPROVED AND NEVER RESCENDED, MODIFIED OR DENIED AND WAS PERMITTED TO VOLUNTARILY LAPSE WHEN I DIDN'T NEED IT ANY LONGER. THE SECOND, CONTAINED AN INACCURATE RESPONSE DUE TO A CLERICAL ERROR MADE BY MY FIRM, AND WAS DENIED. WHEN VIEWING MY LICENSE STATUS ONLINE, IT CONSISTENTLY SHOWED AS VALID, UNTIL I PERMITTED IT TO VOLUNTARILY LAPSE.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Selection of other advisers
- • Educational seminars/workshops
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 10, 2026.
View current Form ADV (SEC/IAPD) ↗