Financial Professionals-Operations

Support to maximize productivity and profitability

Our knowledgeable and friendly operations staff is here to support your business in an effective and practical manner, so that you can focus on what you do best: helping your clients navigate the waters of financial planning. Cape supports your practice operationally, whether managing for today or building for tomorrow.

Our support encompasses a variety of services and tools:

  • Sales Assistance
    Expertise to help you with equity and fixed income; a trading team that is readily available to assist you with quotes, constructing bond ladders and answering your trading questions.
  • Cape Wealth Alliance System
    Designed to enable our advisors to service high net worth individuals and enterprises on a comprehensive basis. Includes access to professionals who can assist with legal, accounting, payroll, employee benefits and estate needs.
  • Cape Selling Agreements
    Our extensive list of selling agreements with traditional and alternative investment choices, enables you to meet the needs of your clients with the strategy you wish to implement.
  • Cape Resource Management
    Key platforms that allow you to offer non-transaction fee funds to your clients that are both inexpensive and  comprehensive.
  • Back Office Support / Administration
    We ensure that your efforts on the front lines are fully supported in all areas, from licensing, commissions to new  business, trading and client service.