Unclaimed Profile

David Allan Umstead

CAPE ANN CAPITAL, INC.·MANCHESTER, Massachusetts

Clean record26 years registeredCAPE 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. · 26 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: CAPE ANN CAPITAL, INC.

CAPE ANN CAPITAL, INC.

Oct 1999 – Jan 2026

MANCHESTER, MA

Registrations & Exams

Registration record

First registered · October 1, 1999

Years registered · 26

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

CAPE ANN CAPITAL, INC.

CRD 128942 · SEC 801-66982

AUM

$187M

Regulatory assets under management

Employees

256 client accounts

Services offered by CAPE ANN CAPITAL, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at CAPE ANN CAPITAL, INC. →

Introduction

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Frequently Asked Questions

What services does David Allan Umstead offer?

David Allan Umstead specializes in Financial Planning, Investment Management, Wealth Management.

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, last registered with CAPE ANN CAPITAL, INC..

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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