CAPE INVESTMENT ADVISORY INC
8 known aliases resolved via the canonical alias map
Market position · 2024
Plans served5-2 YoYRank #1876 of mapped providers
Assets under administration$13.6B0.0%Market share · rank #936
Fees received$1MMedian $30,397/planSum across Schedule C direct + indirect
Net wins YoY-11 won · 2 lostPlan-level switch detection
Plans served · 5-year trajectory
Market-share plans percent annotated. Bar height is raw plan count.
Customer-base shape
What does a typical CAPE INVESTMENT ADVISORY INC plan look like?
Service mix · median fees per plan
Count of plans where CAPE INVESTMENT ADVISORY INC ships each service code, and the median compensation they report under it.
| Service | Plans | Median fees | Distribution |
|---|---|---|---|
Trustee (bank, trust company, or similar financial institution); Recordkeeping and information management (computing, tabulating, data processing, etc.); Direct payment from the plan; Other services; Recordkeeping fees; Other feesCode 15 | 2 | $21,845 | |
Investment advisory (participants)Code 26 | 1 | $290,081 | |
Investment advisory (plan)Code 27 | 1 | $1,970 | |
Investment management; Investment management fees paid directly by planCode 28 | 1 | $849,089 |
Competitor overlap
Percent of CAPE INVESTMENT ADVISORY INC's plans that also list each competitor on Schedule C. High numbers = co-living partners; low numbers = direct displacement targets.
Plans won in 2024
Appeared this year; did not appear last year under CAPE INVESTMENT ADVISORY INC.
| Sponsor | From | Assets |
|---|---|---|
TRIAD COMPONENTS GROUP, INC.CA · 330849488-002 | (new plan) | $2M |
Plans lost in 2024
Appeared last year under CAPE INVESTMENT ADVISORY INC; not this year.
| Sponsor | To | Assets |
|---|---|---|
T5 DATA CENTERS LLCGA · 261727066-001 | PAYCHEX, INC. | $13M |
Top plans by assets
Searchable full list lands with the commercial layer.
| Plan | Assets | Participants | Fees | Tenure | Flags |
|---|---|---|---|---|---|
MAYO CLINICMN · 416011702-001 | $11.8B | 93,747 | $849,089 | 4y | - |
PAYCHEX RETIREMENT LLCNY · 853275179-001 | $1.8B | 661,036 | $290,081 | 4y | 2 |
PHASE3 MEDIA, LLCGA · 582598836-001 | $8M | 227 | $30,397 | 9y | 1 |
9LINE LLCFL · 800389594-001 | $6M | 107 | $13,292 | 4y | - |
TRIAD COMPONENTS GROUP, INC.CA · 330849488-002 | $2M | 24 | $1,970 | 1y | - |
Flag exposure
60.0%Market: 89.2%
This provider
Market baseline
Share of this provider's plans tripping any deterministic red flag this year. Lower than market baseline = better risk surface.
Aliases resolved (8)
Raw Schedule C names collapsed into CAPE INVESTMENT ADVISORY INC.
- CAPE ANN ASSET MANAGEMENT
- CAPE INVESTMENT ADVISORY
- CAPE INVESTMENT ADVISORY INC
- CAPE INVESTMENT ADVISORY, INC
- CAPE INVESTMENT ADVISORY, INC.
- CAPE INVESTMENT ADVISORY,INC
- CAPE SECURITIES INC
- CAPE SECURITIES, INC
Book composition by plan size
Bars stack to total plans served; segments use the same asset cutoffs as the /retirement size filter. Up-and-to-the-right on the bigger segments = moving up-market.
Under $5M$5-50M$50-250M$250M-1B$1B+
Compliance posture vs market
Per-flag share for CAPE INVESTMENT ADVISORY INC's book against the same flag's overall prevalence across all filings. Negative delta = under-indexed (cleaner book); positive = elevated risk surface.
| Flag | Plans flagged | Provider % | Market % | Delta |
|---|---|---|---|---|
| Recently terminated | 0 | 0.00% | 7.76% | -7.76 pp |
| Fidelity bond gap | 0 | 0.00% | 26.94% | -26.94 pp |
| Late contributions | 1 | 20.00% | 1.71% | +18.29 pp |
| Failed to provide benefit | 0 | 0.00% | 0.14% | -0.14 pp |
| Corrective distributions | 2 | 40.00% | 1.76% | +38.24 pp |
| Loss discovered | 0 | 0.00% | 0.00% | -0.00 pp |
New-plan formation share
Share of plans filing for the first time each year that landed with CAPE INVESTMENT ADVISORY INC. Compare to the incumbent market share (0.0%) - higher = winning new business, lower = coasting on existing relationships.
0.0%-0.0 pp vs incumbent