Roy Smith is a registered investment advisor at Cape Investment Advisory, INC., based in Waycross, GA, with 7 years of industry experience. Roy operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 1,634 clients with $400M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $250K | 2.75% |
| $250K - $500K | 2.50% |
| $500K - $1.0M | 2.25% |
| $1M+ | 2.00% |
The annual fees may be negotiable.
Fee Estimator
Location
Waycross, GA
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Roy works as a regional client manager for ACCG's Retirement Solutions, supporting and educating Georgia plan participants. This role, which includes trading hours, takes nearly full-time.
Employment History
Current Registrations
Cape Investment Advisory, INC.
American Global Wealth Management, INC.
American Global Wealth Management, INC.Broker
Previous Registrations
Edward Jones
Edward JonesBroker
State Registrations1 state
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