Roy Paul Smith
Investment adviser representative at Cape Investment Advisory, Inc.
10 yearsExperience
1 stateRegistered in
$473.7MFirm assets
16 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assets
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
10 years in the industry.
- Cape Investment Advisory, Inc.Apr 2024 to now
- American Global Wealth Management, Inc.Apr 2024 to now
- Paragon PartnersMar 2023 to Apr 2024
- UnemployedApr 2022 to Mar 2023
- Edward JonesNov 2016 to Apr 2022
- UnemployedJul 2016 to Nov 2016
Exams passed
- Series 66 · Uniform Combined State Law2017
State registrations
Registered as an investment adviser representative in 1 state (GA).
Cape Investment Advisory, Inc.
$473.7MAssets managed
1,013Clients
31Advisers
16 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 6731037
- Firm CRD
- 146384