CAPE ANN CAPITAL, INC.
Adviser information for CAPE ANN CAPITAL, INC. last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Massachusetts, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 248 | $163.0M |
| Non-Discretionary | 8 | $24.0M |
| Total | 256 | $187.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 206 | $71.0M |
| HNW Individuals | 40 | $89.8M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 6 | $22.7M |
| Charitable organizations | 4 | $3.5M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 256 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-66982 |
|---|---|
| SEC ERA File Number | 801-66982 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 128942 |
| Legal Entity Identifier | None |
Principal Office
13 WOODCREST ROADMANCHESTER
MA
United States
Monday - Friday, 9:00 AM - 4:00 PM
Tel: 978-526-7541, Fax: 978-526-7542
Chief Compliance Officer
DAVID A. UMSTEAD
MANAGING PRINCIPAL & FOUNDER
13 WOODCREST RD
MANCHESTER
MA
United States
Tel:
978-526-7541
Fax:
978-526-7542
D****@*****************M
(Full email address available in API data)
Regulatory Contact
JEREMY M. DISTEFANO
MANAGING PRINCIPAL
205 WILLOW ST
SOUTH HAMILTON
MA
United States
Tel:
978-626-1292
Fax:
978-526-7542
J******@*****************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| UMSTEAD, DAVID, ALLAN | Individual | – | PRESIDENT, CHIEF COMPLIANCE OFFICER | 06/2006 | > 75% |
| JASINSKI, JAMES, RALPH | Individual | – | CHIEF EXECUTIVE OFFICER | 04/2013 | 25-50% |
| DISTEFANO, JEREMY | Individual | – | PORTFOLIO MANAGER/OWNER | 06/2019 | 25-50% |