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Paul Jacobs

Cape Investment Advisory, INC.
21 Years of Experience
Prescott Valley, AZ
3 DisclosuresSells Insurance
View SEC Summary
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Paul Jacobs is a registered investment advisor at Cape Investment Advisory, INC., based in Prescott Valley, AZ, with 21 years of industry experience. Paul operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 1,013 clients with $470M in assets under management.

Cape Investment Advisory, INC.
Compensation
Fee-Only (% of Portfolio)
Firm Size
34 advisors
Number of Clients
1,013 clients
Average Client Portfolio
$468K average
Assets Under Management
$473.7M

Fee Structure

Minimum Investment:$25K
Investment management only (planning not offered)
Minimum Annual Fee:$350
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K2.75%
$250K - $500K2.50%
$500K - $1.0M2.25%
$1.0M - $2.0M1.95%
$2.0M - $5.0M1.65%
$5M+1.35%

Fees are all-inclusive wrap fees covering management, execution, clearing, and custody. All fees are negotiable. There is a $350 minimum annual fee.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Prescott Valley, AZ

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History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
December 2015
Final
Criminal
May 2012
Final Disposition
Customer Dispute
February 2007
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Paul is the President/CEO of Jacobs Wealth Planning, Inc. since 2008, but it's only a DBA as all investment transactions are processed through Cape Securities. Paul is also an insurance agent with FIG/Cape Insurance Solutions since 2017, selling fixed and variable insurance, dedicating a few hours per week.

Employment History
Current Registrations
Cape Investment Advisory, INC.
April 2017 - Present · 9 yrs 6 mos
Previous Registrations
Cape Securities INC.Broker
February 2017 - April 2026 · 9 yrs 2 mos
Caldwell International Securities
January 2014 - August 2016 · 2 yrs 7 mos
Caldwell International SecuritiesBroker
October 2013 - July 2016 · 2 yrs 9 mos
Caldwell International SecuritiesBroker
August 2012 - September 2012 · 1 mo
Caldwell International Securities
August 2012 - August 2012 · 0 mos
Veritrust Financial, LLC
December 2011 - August 2012 · 8 mos
Veritrust Financial, LLCBroker
December 2011 - August 2012 · 8 mos
Waddell & Reed, INC.
February 2011 - December 2011 · 10 mos
Waddell & Reed, INC.Broker
January 2011 - December 2011 · 11 mos
Ameriprise Financial Services, INC.
August 2010 - January 2011 · 5 mos
Ameriprise Financial Services, INC.Broker
August 2010 - January 2011 · 5 mos
LPL Financial CorporationBroker
September 2008 - July 2010 · 1 yr 10 mos
LPL Financial Corporation
September 2008 - July 2010 · 1 yr 10 mos
Investment Professionals, INC.
June 2007 - September 2008 · 1 yr 3 mos
Investment Professionals, INC.Broker
June 2007 - September 2008 · 1 yr 3 mos
New England Securities Corporation
July 2006 - June 2007 · 11 mos
New England SecuritiesBroker
April 2006 - June 2007 · 1 yr 2 mos
Ameriprise Financial Services, INC.
July 2003 - April 2006 · 2 yrs 9 mos
Ameriprise Financial Services, INC.Broker
June 2003 - April 2006 · 2 yrs 10 mos
State Registrations2 states
AZTX
Advisor

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Exams
No exam information available for this advisor.
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