Unclaimed Profile

David Leon Smith

CAPE INVESTMENT ADVISORY, INC.·MCDONOUGH, Georgia

SIE, Series 4, Series 7, Series 24, Series 52TO, Series 53, Series 63, Series 65, Series 99TOClean recordCAPE INVESTMENT ADVISORY, INC.

1600 PENNSYLVANIA AVE., MCDONOUGH, GA 30253CRD# 2246779Firm CRD# 146384

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

David Leon Smith · MCDONOUGH, GA

Registration

CRD #2246779 · CAPE INVESTMENT ADVISORY, INC.

Brand Profile

Not yet started

Registrations & Exams

FINRA examinations passed

SIE

Series 4

Series 7

Series 24

Series 52TO

Series 53

Series 63

Series 65

Series 99TO

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

CAPE INVESTMENT ADVISORY, INC.

CRD 146384 · SEC 801-71349

AUM

$365M

Regulatory assets under management

Employees

140

1,630 client accounts

Services offered by CAPE INVESTMENT ADVISORY, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Publication of periodicals/newsletters

Security ratings or pricing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at CAPE INVESTMENT ADVISORY, INC. →

Introduction

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Frequently Asked Questions

What services does David Leon Smith offer?

David Leon Smith specializes in Financial Planning, Investment Management, Fee-Only Advisory. Contact their office in MCDONOUGH, Georgia for a consultation.

What are David Leon Smith's credentials?

David Leon Smith is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is David Leon Smith located?

David Leon Smith is based in MCDONOUGH, Georgia, working with CAPE INVESTMENT ADVISORY, INC.. Their office serves clients in the MCDONOUGH metropolitan area and surrounding communities.

How does David Leon Smith charge for services?

David Leon Smith's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is CAPE INVESTMENT ADVISORY, INC.?

CAPE INVESTMENT ADVISORY, INC. has approximately 140 employees and manages $365M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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