Advisor at Cape Investment Advisory, Inc.
Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
Firm
Cape Investment Advisory, Inc.
Location
Waycross, GA
Credentials
Series 66
Industry experience
7 years
Roy Smith is a financial advisor at Cape Investment Advisory, Inc. with seven years of industry experience. He holds a Series 66 designation and previously worked at Edward Jones and Paragon Partners. In addition to his advisory role, he serves as a regional client manager supporting and educating state of Georgia plan participants for defined contribution plans through ACCG’s retirement solutions. Cape Investment Advisory provides investment management, financial planning, and retirement plan advisory services to individuals, trusts, corporations, and qualified plans. The firm supports over 1,600 clients through a multi-office network of approximately 40 advisors and uses a flexible investment approach that includes fundamental, technical, and macroeconomic analysis.
Based on Cape Investment Advisory, Inc.
Based on Cape Investment Advisory, Inc.
$0 - $250,000: 2.75% total fee (includes 0%–2.45% management fee + $0.30 execution/clearing fee) $250,000 - $500,000: 2.50% total fee (includes 0%–2.20% management fee + $0.30 execution/clearing fee) $500,000 - $1,000,000: 2.25% total fee (includes 0%–2.00% management fee + $0.25 execution/clearing fee) $1,000,000 - $2,000,000: 1.95% total fee (includes 0%–1.75% management fee + $0.20 execution/clearing fee) $2,000,000 - $5,000,000: 1.65% total fee (includes 0%–1.45% management fee + $0.20 execution/clearing fee) $5,000,000+: 1.35% total fee (includes 0%–1.20% management fee + $0.15 execution/clearing fee)
Account minimum: $25,000 Minimum fee: Minimum fee of $350 Fee-only: Fees are fee-only; no commissions on advisory fees.
Waycross, GA
Georgia
Cape Investment Advisory, Inc.
2024 - Present (2 years)
American Global Wealth Management, Inc.
2024 - Present (2 years)
Paragon Partners
2023 - 2024 (1 year)
UnEmployed
2022 - 2023 (1 year)
Edward Jones
2016 - 2022 (6 years)
Unemployed
2016 - 2016 (1 year)
Ware County Board of Commissioners
2002 - 2016 (14 years)
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Trust company
They provide trust and estate administration services, typically for separate fees.
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They offer tax and accounting services, typically for separate fees.
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Real estate agent
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Other specialized services
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Series 66
Blackshear, GA
Kestra Private Wealth Services, LLC
Series 66
Blackshear, GA
Kestra Private Wealth Services, LLC
Series 66
Waycross, GA
Kestra Private Wealth Services, LLC
Series 63, Series 65
Blackshear, GA
Kestra Private Wealth Services, LLC
Series 66
Waycross, GA
LPL Financial
CFP®, Series 63, Series 66
Waycross, GA
Edward Jones
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