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Investment Adviser Firm Summary

CAPE INVESTMENT ADVISORY, INC. (CRD# 146384 / SEC# 801-71349)
Alternate Names: ADVANTAGE ADVISORY GROUP , AMERICAN GLOBAL ADVISORY SERVICES , BABB FINANCIAL GROUP , CAPE INVESTMENT ADVISORY, INC. , CAPITAL CHOICE ADVISORS , CMA FINANCIAL SERVICES , FINANCIAL NSIGHTS INC , HERITAGE PLANNING GROUP P.C. , INVESTMENT FIDUCIARY PLANNERS, LLC , MD PLANNING GROUP , PARADIGM FINANCIAL GROUP LLC , RETIRE BY DESIGN , RIA MATCH , S. ENOCHS INVESTMENTS LLC , TANNER INVESTMENT GROUP

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 04/29/2010
Georgia Terminated 05/25/2010

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 05/03/2010
California 05/03/2010
Colorado 03/30/2012
Connecticut 12/10/2014
Florida 03/07/2012
Georgia 05/03/2010
Indiana 03/30/2012
Louisiana 03/30/2012
Maryland 02/25/2014
Massachusetts 10/07/2016
Michigan 12/03/2015
Mississippi 03/06/2012
Missouri 07/01/2010
Montana 04/01/2015
Nevada 03/06/2012
New Jersey 05/03/2012
New Mexico 02/25/2014
New York 03/18/2011
North Carolina 03/30/2012
Ohio 03/30/2012
Oklahoma 03/31/2017
Pennsylvania 08/08/2012
South Carolina 05/03/2010
Tennessee 03/07/2013
Texas 02/25/2014
Virginia 03/30/2012
Wisconsin 03/06/2012

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser