{"url":"https://nivawealth.com/firms/cape-ann-capital-128942","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/128942","regulatoryAum":193009183,"crd":"128942","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5091113","suffix":null,"lastName":"DISTEFANO","firstName":"JEREMY","middleName":null},{"crd":"2571023","suffix":null,"lastName":"JASINSKI","firstName":"JAMES","middleName":"RALPH"}],"total":2,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-31","regulatoryAum":186471075,"clients":239,"employees":3,"offices":3},{"filedOn":"2022-04-04","regulatoryAum":202165118,"clients":246,"employees":3,"offices":3},{"filedOn":"2023-03-31","regulatoryAum":166860673,"clients":246,"employees":3,"offices":3},{"filedOn":"2024-03-28","regulatoryAum":186992674,"clients":256,"employees":3,"offices":3},{"filedOn":"2025-03-27","regulatoryAum":198794469,"clients":248,"employees":3,"offices":3},{"filedOn":"2026-03-31","regulatoryAum":193009183,"clients":246,"employees":2,"offices":2}],"secFileNumber":"801-66982","legalName":"Cape Ann Capital, Inc.","displayName":"Cape Ann Capital","slug":"cape-ann-capital-128942","website":"https://capeanncapital.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/128942/9dc088d701e17b94-r1.webp","tone":"light","width":644,"height":200,"sourceUrl":"https://www.capeanncapital.com/","sourceLabel":"Cape ANN Capital, Inc., website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/cape-ann-capital/","founded":null,"organization":"Massachusetts corporation","fiscalYearEnd":"December","headquarters":{"street":"22 Grove Street","city":"Concord","state":"MA","stateName":"Massachusetts","country":"United States","postalCode":"01742-1509"},"tradeNames":[],"registration":{"secApproved":"5 July 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$3,000.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1035970","versionId":1035970,"submittedOn":"2026-03-31","documentName":"CAPE ANN CAPITAL, INC."}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T13:00:15.494162+00:00","documents":[{"name":"CAPE ANN CAPITAL, INC.","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1035970","versionId":1035970,"submittedOn":"2026-03-31"}]},"custodians":[{"name":"National Financial Services LLC","shortName":"Fidelity","location":"Boston, MA","smaAssets":171338785}],"custodyNote":"Cape Ann Capital does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"James Jasinski","title":"President","crd":"2571023"},{"name":"Jeremy Distefano","title":"CEO, Chief Compliance Officer","crd":"5091113"}],"ownership":[{"label":"James Jasinski","detail":"President in the 50% to 75% ownership band and a control person, since April 2013."},{"label":"Jeremy Distefano","detail":"Ceo, chief compliance officer in the 50% to 75% ownership band and a control person, since June 2019."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":1},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Massachusetts","offices":1,"addresses":[{"street":"22 Grove Street","city":"Concord","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"978-254-5841","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":"11-25","assetMix":[{"label":"Exchange-traded equity securities","percent":2},{"label":"Securities issued by registered investment companies or business development companies","percent":92},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":1},{"label":"Cash and cash equivalents","percent":2},{"label":"Other","percent":3,"detail":"Guaranteed Products"}],"privateFunds":0},"sources":{"adv1FilingDate":"31 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/128942/PDF/128942.pdf","brochureDate":"31 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1035970","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Cape Ann Capital have?","answer":"Cape Ann Capital has 246 clients and manages $193 million for them, as of March 2026. They include 198 individual clients, 42 high-net-worth individuals, and 3 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Cape Ann Capital offer?","answer":"Cape Ann Capital provides financial planning, portfolio management for individuals and small businesses, and portfolio management for institutions.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Cape Ann Capital use?","answer":"Cape Ann Capital’s separately managed account assets are held at National Financial Services LLC (Boston, MA), with $171M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 31 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Cape Ann Capital have?","answer":"Cape Ann Capital has 2 investment adviser representatives registered with state securities authorities, out of 2 employees, and 2 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Cape Ann Capital invest in?","answer":"At the end of its last fiscal year, Cape Ann Capital’s separately managed accounts held 92% registered funds (mutual funds, ETFs, BDCs), 3% other, 2% exchange-traded equities, 2% cash and equivalents and 1% pooled vehicles (private funds and similar). The 3% other category is described as: Guaranteed Products.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Cape Ann Capital?","answer":"Cape Ann Capital’s direct owners are James Jasinski (50% to 75%) and Jeremy Distefano (50% to 75%).","source":"Form ADV Part 1A, Schedules A and B, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Cape Ann Capital get paid?","answer":"Cape Ann Capital is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Cape Ann Capital?","answer":"Cape Ann Capital’s main office is at 22 Grove Street, Concord, MA 01742-1509. Its phone number is 978-254-5841. Its website is capeanncapital.com.","source":"Form ADV Part 1A, Item 1.F, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}