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Cape Investment Advisory, Inc. — 13F Holdings & Portfolio

CIK 1944437 · latest 13F-HR filed 2026-10-13

Backtest portfolio

Cape Investment Advisory, Inc. manages $388.4M in 13F-reported U.S. long-equity assets across 2,097 reported positions as of its 2026-09-30 13F-HR filing. Its largest disclosed positions are SCHB (12.20%), SCHV (5.15%), BINC (3.00%). Quarter over quarter (versus its 2026-06-30 filing) the fund opened 98 new positions and exited 75; 461 existing positions rose in reported value and 539 fell.

AUM is the long-equity portion reported on Form 13F-HR. Excludes short positions, cash, foreign holdings, and non-13F assets. For informational purposes only — not investment advice.

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AUM
$388.4M

Long-equity book

Holdings
2,097

Distinct positions

Period
2026-09-30

Filed 2026-10-13

Q/Q Activity
+98 / −75 / ↑461 / ↓539

vs 2026-06-30

Portfolio charts

Latest quarter's book, what changed, and how the portfolio has evolved across filings.

Portfolio map

Q3 26
SCHB12.3% · +2%SCHV5.2% · +0%BINC3.0% · +4%MSFT2.4% · +6%SCHG2.3% · -1%SCHJ2.2% · +2%SCHM1.7% · +1%SPY1.7% · +0%RSP1.6% · +0%SCHD1.6% · +4%AAPL1.5% · +9%AMZN1.5% · +3%GOOGL1.4% · -5%SCHE1.2% · +1%SCHF1.1% · +1%IVV1.1% · -26%VNLA1.1% · +3%KO1.1% · -3%MGMT1.0% · +0%CVX1.0% · +2%NVDA1.0% · +3%BIL1.0% · +840%META1.0% · -6%SHV0.8% · +31066%GOOG0.8% · -4%IUSB0.7% · +20%MU0.7% · -13%TSM0.7% · -17%QQQ0.6% · -3%ILCG0.6% · 0%PJUN0.6% · 0%SO0.5% · -0%SCHW0.5% · -10%MCBS0.5% · -1%PNOV0.5% · -0%V0.5% · -9%PSEP0.5% · +8%XOM0.5% · +35%POCT0.5% · +4%JAAA0.5% · -4%AMAT0.5% · -10%SCHY0.4% · +4%SCHH0.4% · -1%DYNF0.4% · +22%QQQM0.4% · +7%DDFM0.4% · 0%BKNG0.4% · -10%SCHA0.4% · +2%SPYM0.4% · -63%AVGO0.4% · +106%EJAN0.4% · -1%DIS0.4% · -8%IVW0.4% · +28%JPM0.4% · -1%PMAY0.4% · +11%VEA0.4% · -1%ELV0.4% · -10%MA0.3% · -10%ICE0.3% · -4%IQV0.3% · -49%

Box size = position value; colour = change in share count vs the prior quarter (green added, red trimmed, blue new). Rows split across managers or share classes are combined. Click a box for the stock.

Sector mix

% of 13F value

Sectors from each company's SIC code; funds and ETFs grouped separately.

Biggest buys and sells

Q2 26 → Q3 26

Estimated from the change in shares held × the quarter-end price, so price moves alone don't count as buying. New and exited positions are included.

13F assets and positions

5 quarters

Total reported 13F value (bars) and number of positions (line) each quarter. Value changes include market moves.

Top positions over time

reported value

The eight largest current positions, valued at each quarter end.

Concentration

top 10 = 34%

Cumulative share of the portfolio held in the largest N positions.

Firm Profile & Key People

As of the firm’s regulatory filing dated Jul 10, 2026.

Assets Under Management
$473.7M
Discretionary
$466.2M
Employees
34
Accounts
1,660
Address
1600 PENNSYLVANIA AVE.
MCDONOUGH, GA 30253
Phone
(678) 583-1120
Website
This firm reports 10 disclosure items on its registration.
Name Title / Status Ownership Type
Faulk, Rachel ControlCHIEF COMPLIANCE OFFICER
since Jul 2026
Less than 5%Individual
May, James, David ControlDIRECTOR OF OPERATIONS
since Jul 2026
Less than 5%Individual
WEBB, JAMES, RANDALL ControlCEO
since Mar 2008
75% or moreIndividual
Ownership & leadership changes · 19 filings with changes since Mar 6, 2012

From the firm’s regulatory filings, newest first. Dates are filing dates: a filing that no longer lists someone does not say when they left.

Jul 10, 2026 filing
  • No longer listedRobinson, Aldeen, Patrice · CHIEF COMPLIANCE OFFICER / DIRECTOR OF OPERATIONS · Less than 5% · control person · listed since Jan 2021
  • AddedFaulk, Rachel · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
  • AddedMay, James, David · DIRECTOR OF OPERATIONS · Less than 5% · control person
Oct 21, 2023 filing
  • No longer listedPATEL-SANDERS, NISHA, N · CHIEF COMPLIANCE OFFICER · Less than 5% · control person · listed since Nov 2022
  • ChangedRobinson, Aldeen, Patrice · title DIRECTOR OF OPERATIONS → CHIEF COMPLIANCE OFFICER / DIRECTOR OF OPERATIONS
Dec 1, 2022 filing
  • No longer listedSMITH, DAVID, LEON · CHIEF COMPLIANCE OFFICER · Less than 5% · control person · listed since Mar 2021
  • ChangedPATEL-SANDERS, NISHA, N · title DIRECTOR OF SUPERVISION → CHIEF COMPLIANCE OFFICER
Apr 28, 2022 filing
  • AddedPATEL-SANDERS, NISHA, N · DIRECTOR OF SUPERVISION · Less than 5% · control person
Mar 4, 2022 filing
  • No longer listedWILKERSON, VICTOR, PATRICK · MANAGING DIRECTOR / PRESIDENT · Less than 5% · control person · listed since Sep 2019
Apr 21, 2021 filing
  • AddedRobinson, Aldeen, Patrice · DIRECTOR OF OPERATIONS · Less than 5% · control person
Mar 31, 2021 filing
  • No longer listedBond Williams, LaTasha · CHIEF OPERATING OFFICER · Less than 5% · control person · listed since Oct 2019
  • AddedSMITH, DAVID, LEON · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
  • ChangedWEBB, JAMES, RANDALL · title CEO / CHIEF COMPLIANCE OFFICER → CEO
Nov 6, 2020 filing
  • ChangedBond Williams, LaTasha · title CHIEF COMPLIANCE OFFICER / CHIEF OPERATING OFFICER → CHIEF OPERATING OFFICER
  • ChangedWEBB, JAMES, RANDALL · title CEO → CEO / CHIEF COMPLIANCE OFFICER
Oct 23, 2019 filing
  • No longer listedMARTIN, DAVID, JAINDL · MANAGING DIRECTOR · Less than 5% · control person · listed since Jan 2019
  • ChangedBond Williams, LaTasha · title CHIEF COMPLIANCE OFFICER → CHIEF COMPLIANCE OFFICER / CHIEF OPERATING OFFICER
  • ChangedWILKERSON, VICTOR, PATRICK · title MANAGING DIRECTOR → MANAGING DIRECTOR / PRESIDENT; now a control person
Sep 6, 2019 filing
  • No longer listedBIGOT, FRANCOIS, ROGER · MANAGING DIRECTOR · Less than 5% · listed since Apr 2016
  • AddedWILKERSON, VICTOR, PATRICK · MANAGING DIRECTOR · Less than 5%
Older changes (10 more filings)
Apr 23, 2019 filing
  • AddedBond Williams, LaTasha · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
  • ChangedBIGOT, FRANCOIS, ROGER · title CHIEF COMPLIANCE OFFICER / MANAGING DIRECTOR → MANAGING DIRECTOR
Jan 30, 2019 filing
  • AddedMARTIN, DAVID, JAINDL · MANAGING DIRECTOR · Less than 5% · control person
Jul 8, 2016 filing
  • No longer listedHOBGOOD, CALEB, MARK · MANAGING DIRECTOR · Less than 5% · listed since Jan 2016
  • No longer listedLEVINE, ERIC, STOCHEK · CHIEF COMPLIANCE OFFICER · Less than 5% · listed since Dec 2015
  • ChangedBIGOT, FRANCOIS, ROGER · title ASSOCIATE DIRECTOR → CHIEF COMPLIANCE OFFICER / MANAGING DIRECTOR
Apr 29, 2016 filing
  • AddedBIGOT, FRANCOIS, ROGER · ASSOCIATE DIRECTOR · Less than 5%
Apr 5, 2016 filing
  • AddedHOBGOOD, CALEB, MARK · MANAGING DIRECTOR · Less than 5%
Feb 18, 2016 filing
  • No longer listedGUINN, WILLIAM, MATTHEW J · CHIEF COMPLIANCE OFFICER · Less than 5% · control person · listed since Oct 2015
  • AddedLEVINE, ERIC, STOCHEK · CHIEF COMPLIANCE OFFICER · Less than 5%
Oct 27, 2015 filing
  • No longer listedPALMER, HARRISON, PIERCE · CHIEF COMPLIANCE OFFICER · Less than 5% · control person · listed since Jan 2014
  • AddedGUINN, WILLIAM, MATTHEW J · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
Apr 1, 2015 filing
  • No longer listedYAGER, LARRY, WAYNE · MANAGER · Less than 5% · control person · listed since Jan 2014
Apr 1, 2014 filing
  • AddedPALMER, HARRISON, PIERCE · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
  • ChangedWEBB, JAMES, RANDALL · title MANAGING MEMBER → CEO
  • ChangedYAGER, LARRY, WAYNE · title CHIEF COMPLIANCE OFFICER → MANAGER
Mar 6, 2012 filing (earliest on record)
  • ListedWEBB, JAMES, RANDALL · MANAGING MEMBER · 75% or more · control person
  • ListedYAGER, LARRY, WAYNE · CHIEF COMPLIANCE OFFICER · Less than 5% · control person

Quarter-over-quarter changes

Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.

Cape Investment Advisory, Inc. Holdings (2026-09-30)

Rows tagged Call or Put are options positions, not stock. Per SEC Form 13F-HR, Value shows the notional value of the underlying (shares covered × underlying price), not the option premium. Shares is the number of underlying shares covered (divide by 100 for contract count).

# Issuer Symbol CUSIP Value Weight Shares Type
1 SCHWAB STRATEGIC TR SCHB 808524102 $47.4M 12.20% 1,616,443 SH
2 SCHWAB STRATEGIC TR SCHV 808524409 $20.0M 5.15% 600,761 SH
3 BLACKROCK ETF TRUST II BINC 092528603 $11.7M 3.00% 229,522 SH
4 SCHWAB STRATEGIC TR SCHG 808524300 $8.9M 2.29% 247,212 SH
5 SCHWAB STRATEGIC TR SCHJ 808524714 $8.5M 2.19% 353,343 SH
6 SCHWAB STRATEGIC TR SCHM 808524508 $6.7M 1.73% 197,194 SH
7 STATE STR SPDR S&P 500 ETF T SPY 78462F103 $6.5M 1.68% 8,551 SH
8 MICROSOFT CORP MSFT 594918104 $6.5M 1.67% 12,640 SH
9 INVESCO EXCHANGE TRADED FD T RSP 46137V357 $6.3M 1.61% 30,150 SH
10 SCHWAB STRATEGIC TR SCHD 808524797 $6.1M 1.56% 186,669 SH
11 APPLE INC AAPL 037833100 $5.2M 1.34% 15,623 SH
12 SCHWAB STRATEGIC TR SCHE 808524706 $4.5M 1.16% 123,291 SH
13 SCHWAB STRATEGIC TR SCHF 808524805 $4.3M 1.11% 157,318 SH
14 JANUS DETROIT STR TR VNLA 47103U886 $4.2M 1.08% 86,419 SH
15 COCA COLA CO KO 191216100 $4.1M 1.05% 47,270 SH
16 UNIFIED SER TR MGMT 90470L550 $4.0M 1.02% 81,520 SH
17 CHEVRON CORPORATION CVX 166764100 $3.8M 0.97% 18,478 SH
18 NVIDIA CORPORATION NVDA 67066G104 $3.3M 0.84% 14,303 SH
19 ALPHABET INC GOOGL 02079K305 $3.2M 0.83% 9,345 SH
20 AMAZON COM INC AMZN 023135106 $3.0M 0.78% 12,224 SH
21 MICROSOFT CORP MSFT 594918104 $2.9M 0.75% 5,663 SH
22 ALPHABET INC GOOG 02079K107 $2.9M 0.74% 8,414 SH
23 MICRON TECHNOLOGY INC MU 595112103 $2.7M 0.70% 2,560 SH
24 ISHARES TR IVV 464287200 $2.6M 0.68% 3,438 SH
25 SPDR SERIES TRUST BIL 78468R663 $2.6M 0.67% 28,385 SH
26 AMAZON COM INC AMZN 023135106 $2.6M 0.67% 10,420 SH
27 ISHARES TR SHV 464288679 $2.5M 0.64% 22,367 SH
28 INVESCO QQQ TR QQQ 46090E103 $2.4M 0.62% 3,274 SH
29 ISHARES TR ILCG 464287119 $2.4M 0.61% 20,377 SH
30 ISHARES TR IUSB 46434V613 $2.2M 0.58% 50,799 SH
31 INNOVATOR ETFS TRUST PJUN 45782C748 $2.2M 0.57% 50,500 SH
32 ALPHABET INC GOOGL 02079K305 $2.2M 0.56% 6,348 SH
33 SOUTHERN CO SO 842587107 $2.1M 0.54% 25,478 SH
34 META PLATFORMS INC META 30303M102 $1.9M 0.50% 2,674 SH
35 METROCITY BANKSHARES INC MCBS 59165J105 $1.9M 0.49% 55,756 SH
36 INNOVATOR ETFS TRUST PNOV 45782C573 $1.9M 0.49% 41,634 SH
37 INNOVATOR ETFS TRUST PSEP 45782C656 $1.9M 0.48% 40,183 SH
38 META PLATFORMS INC META 30303M102 $1.9M 0.48% 2,591 SH
39 INNOVATOR ETFS TRUST POCT 45782C797 $1.9M 0.48% 38,650 SH
40 TAIWAN SEMICONDUCTOR MANUFAC TSM 874039100 $1.8M 0.48% 4,050 SH
41 JANUS DETROIT STR TR JAAA 47103U845 $1.8M 0.47% 36,357 SH
42 SCHWAB STRATEGIC TR SCHY 808524672 $1.7M 0.44% 54,677 SH
43 SCHWAB STRATEGIC TR SCHH 808524847 $1.7M 0.43% 76,641 SH
44 ISHARES TR IVV 464287200 $1.7M 0.43% 2,182 SH
45 CHARLES SCHWAB CORP (THE) SCHW 808513105 $1.6M 0.42% 16,854 SH
46 INVESCO EXCH TRADED FD TR II QQQM 46138G649 $1.6M 0.42% 5,300 SH
47 INNOVATOR ETFS TRUST DDFM 45784N379 $1.6M 0.41% 79,661 SH
48 EXXONMOBIL HOLDINGS CORP XOM 30233Q108 $1.6M 0.41% 9,730 SH
49 SCHWAB STRATEGIC TR SCHA 808524607 $1.5M 0.39% 46,691 SH
50 INNOVATOR ETFS TRUST EJAN 45782C516 $1.5M 0.38% 39,462 SH
Filing History
Period Filed AUM Holdings Accession
2026-09-30 2026-10-13 $388.4M 2,097 0001944437-26-000005
2026-06-30 2026-07-23 $374.1M 2,064 0001944437-26-000004
2026-03-31 2026-05-15 $300.7M 383 0001944437-26-000002
2025-12-31 2026-02-17 $325.1M 1,729 0001944437-26-000001
2025-09-30 2025-12-29 $101.7M 1,199 0001944437-25-000006
Filer Information
Address
1600 PENNSYLVANIA AVE
MCDONOUGH, GA 30253
Phone
(678) 583-1120
Filing Manager
Cape Investment Advisory, Inc.
MCDONOUGH, GA
Signatory
Rachel Faulk
Chief Compliance Officer