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David Allan Umstead

CAPE ANN CAPITAL, INC.·MANCHESTER, Massachusetts
Clean recordCAPE ANN CAPITAL, INC.
13 WOODCREST ROAD, MANCHESTER, MA 01944CRD# 4727346Firm CRD# 128942

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
David Allan Umstead · MANCHESTER, MA
Registration
CRD #4727346 · CAPE ANN CAPITAL, INC.
Brand Profile
Not yet started
Disclosure history
Clean record · no disclosure events on file
01

About

David Allan Umstead is a registered financial advisor based in MANCHESTER, Massachusetts, affiliated with CAPE ANN CAPITAL, INC.. This profile is generated from public SEC and FINRA registration data.

02

Focus Areas

Specialties
Financial Planning
Investment Management
Wealth Management
Client Types
Individuals
High Net Worth Individuals
Introduction

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03

Firm Overview

Firm
CAPE ANN CAPITAL, INC.
CAPE ANN CAPITAL, INC.
AUM
$187M
Regulatory assets under management
Employees
3
Total firm employees
View all advisors at CAPE ANN CAPITAL, INC. →
Services
Financial planning
Portfolio management (individuals)
Selection of other advisers
04

Background

Compensation
Percentage of AUM
Subscription fees
Regulatory
SEC/IARD CRD# 4727346
Firm CRD# 128942
View on FINRA BrokerCheck →

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05

Frequently Asked Questions

What services does David Allan Umstead offer?
David Allan Umstead specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in MANCHESTER, Massachusetts for a consultation.
What are David Allan Umstead's credentials?
David Allan Umstead is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is David Allan Umstead located?
David Allan Umstead is based in MANCHESTER, Massachusetts, working with CAPE ANN CAPITAL, INC.. Their office serves clients in the MANCHESTER metropolitan area and surrounding communities.
How does David Allan Umstead charge for services?
David Allan Umstead's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is CAPE ANN CAPITAL, INC.?
CAPE ANN CAPITAL, INC. has approximately 3 employees and manages $187M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Jeremy Distefano
MANCHESTER, MA
James Ralph Jasinski
MANCHESTER, MA

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Research
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