Scott Capace has been Chief Compliance Officer/Managing Director of Open Source Investments since January 2017, is a control person of the firm and directly owns between 50% and 75% of it. Scott Capace studied at the University of New Orleans.
Open Source Investments, LLC is a firm with $131M under management, 239 clients and 2 advisers in one office, as of its March 2026 filing.
Scott Capace is Owner / Investment Advisor of Open Source Investments, which he started with Joseph Zinsel. He has worked in the financial services industry since 1995 and has been an investment manager for over 15 years. Before that he spent almost five years providing advice to clients at Charles Schwab, and he later spent several years as a host of a national radio show giving financial and investment advice.
Scott Capace’s longest registration is the current one, 9 years at Open Source Investments since 2017. Before joining Open Source Investments in 2017, Scott Capace was registered through Financial Engines Advisors L.L.C. and Financial Engines Advisor Center, LLC.
- Open Source Investments, LLCCurrent– present · 9 yearsMandeville, LA · Adviser representative · Firm CRD 287501
- Financial Engines Advisors L.L.C.– · under a yearSunnyvale, CA · Adviser representative · Firm CRD 104510
- Financial Engines Advisor Center, LLC– · 1 yearMandeville, LA · Adviser representative · Firm CRD 109238
- The Mutual Fund Store– · 3 yearsMandeville, LA · Adviser representative · Firm CRD 159151
- The Mutual Fund Store– · 5 yearsMetairie, LA · Adviser representative · Firm CRD 132720
Professional designations
Listed by Open Source Investments
- Chartered Mutual Fund Counselor (CMFC)
Investment adviser representative registrations
Scott Capace is registered as an investment adviser representative in 2 states. The first approvals date from February 2017; the most recent is Mississippi, in July 2018.
- LouisianaSince 3 February 2017
- MississippiSince 5 July 2018
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 9 September 2004 |
| Series 7 | General Securities Representative Examination | 16 June 1999 |
| Series 63 | Uniform Securities Agent State Law Examination | 4 November 1998 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 11 August 1998 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Scott Michael Capace
- CRD
- 2962585
- Firm
- Open Source Investments · CRD 287501
- Role
- Chief Compliance Officer/Managing Director
- Office
- Mandeville, LA
- Registration
- Investment adviser registration
- In the industry since
- May 2006
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- opensourceinvestments.com
Where does Scott Capace work?
Scott Capace has been Chief Compliance Officer/Managing Director of Open Source Investments, LLC since January 2017, and is a control person of the firm.
Is Scott Capace a financial advisor?
Yes. Scott Capace has a current investment-adviser registration in Louisiana and Mississippi, through Open Source Investments since February 2017.
How many years of experience does Scott Capace have?
Scott Capace has 20 years in the financial industry, since May 2006, across 5 adviser firms.
What exams has Scott Capace passed?
Scott Capace has passed 4 licensing exams: the Series 6, Series 63, Series 7 and Series 65. The earliest, the Series 6, was passed in August 1998.
Where did Scott Capace work before Open Source Investments?
Before Open Source Investments, Scott Capace was registered through Financial Engines Advisor Center, LLC, July 2015 to November 2016; The Mutual Fund Store, November 2011 to September 2015; The Mutual Fund Store, June 2006 to November 2011.
Where is Scott Capace based?
Scott Capace’s registered office is in Mandeville, LA.
Is Scott Capace registered with FINRA?
No. Scott Capace has no current broker registration.
How can I verify Scott Capace’s record?
Search CRD 2962585 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Scott Capace’s full registration record.