CAPE INVESTMENT ADVISORY, INC. of MCDONOUGH, GA is an SEC-registered investment adviser (CRD 146384). Regulatory assets under management: $473.7M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: Individuals, High net worth, Pensions, Charities.
| Name | Role | Location |
|---|---|---|
| James Randall Webb | CEO | — |
| Aldeen Patrice Robinson | CHIEF COMPLIANCE OFFICER; DIRECTOR OF OPERATIONS | — |
| James David May | DIRECTOR OF OPERATIONS | — |
| WEBB JAMES RANDALL | CEO; CHIEF COMPLIANCE OFFICER; MANAGING MEMBER | — |
| YAGER LARRY WAYNE | CHIEF COMPLIANCE OFFICER; MANAGER | — |
| MANSFIELD KATHI RENEE | CHIEF COMPLIANCE OFFICER | — |
| WILKERSON VICTOR PATRICK | MANAGING DIRECTOR; PRESIDENT | — |
| MARTIN DAVID JAINDL | MANAGING DIRECTOR | — |
| GUINN WILLIAM MATTHEW J | CHIEF COMPLIANCE OFFICER | — |
| PALMER HARRISON PIERCE | CHIEF COMPLIANCE OFFICER | — |
| SMITH DAVID LEON | CHIEF COMPLIANCE OFFICER | — |
| LEVINE ERIC STOCHEK | CHIEF COMPLIANCE OFFICER | — |
| HOBGOOD CALEB MARK | MANAGING DIRECTOR | — |
| BIGOT FRANCOIS ROGER | ASSOCIATE DIRECTOR; CHIEF COMPLIANCE OFFICER; MANAGING DIRECTOR | — |
| Bond Williams LaTasha | CHIEF COMPLIANCE OFFICER; CHIEF OPERATING OFFICER | — |
| Robinson Aldeen Patrice | CHIEF COMPLIANCE OFFICER; DIRECTOR OF OPERATIONS | — |
| PATEL-SANDERS NISHA N | CHIEF COMPLIANCE OFFICER; DIRECTOR OF SUPERVISION | — |
| Rachel Faulk | CHIEF COMPLIANCE OFFICER | McDonough, GA |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2017-02-17 | regulatory | 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 E… | Final | — |
| 2017-02-17 | regulatory | 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. | Final | $150 |
| 2015-12-31 | regulatory | — | — | — |
| 2011-12-07 | civil | — | — | — |
| — | criminal | — | — | — |
Showing 15 of 29 offices.
| City | State | Employees | Phone |
|---|---|---|---|
| HANOVER | MD | 6 | 410-657-8060 |
| JASPER | TX | 2 | 4093845713 |
| CHARLOTTE | NC | 2 | 704-334-7878 |
| — | — | 1 | (770) 880-6626 |
| — | — | 1 | (484) 649-0229 |
| BRADENTON | FL | 1 | (409) 489-2154 |
| BALA CYNWYD | PA | 1 | 484-557-0585 |
| DALLAS | TX | 1 | 469-426-5822 |
| MISSOULA | MT | 1 | 406-327-0112 |
| — | — | 1 | 813-629-6355 |
| — | — | 1 | 678-627-0290 |
| — | — | 1 | 248-807-3428 |
| — | — | 1 | (427) 525-9751 |
| — | — | 1 | 404-520-2054 |
| — | — | 1 | (770) 402-7343 |