Scott M. Capace

OPEN SOURCE INVESTMENTS

Mandeville, LA

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CRD#: 2962585

Professional summary

Scott Michael Capace is a registered financial advisor currently at OPEN SOURCE INVESTMENTS, LLC located in Mandeville, Louisiana.

Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Scott has worked at 9 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Michael Capace's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 3, 2017 - Present

OPEN SOURCE INVESTMENTS, LLC

RIA

CRD#: 287501

Mandeville, LA

Past

November 30, 2016 - March 13, 2017

EDELMAN FINANCIAL ENGINES

RIA

CRD#: 104510

SUNNYVALE, CA

Past

July 27, 2015 - November 30, 2016

FINANCIAL ENGINES ADVISOR CENTER, LLC

RIA

CRD#: 109238

MANDEVILLE, LA

Past

November 2, 2011 - September 3, 2015

THE MUTUAL FUND STORE

RIA

CRD#: 159151

MANDEVILLE, LA

Past

June 1, 2006 - November 2, 2011

THE MUTUAL FUND STORE

RIA

CRD#: 132720

METAIRIE, LA

Past

October 27, 1999 - August 16, 2004

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

June 17, 1999 - October 7, 1999

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

June 17, 1999 - October 7, 1999

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

August 13, 1998 - February 22, 1999

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

OPEN SOURCE INVESTMENTS, LLC

CRD#: 287501 / SEC#: 801-124704

RIA

Registered Investment Advisory firm - (4/22/2022 Approved)

Louisiana

Registered Investment Advisory firm - (1/10/2023 Terminated)

Mississippi

Registered Investment Advisory firm - (1/4/2023 Terminated)

Tennessee

Registered Investment Advisory firm - (1/4/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Louisiana
(2/3/2017)

IAR

Mississippi
(7/5/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/9/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/4/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/16/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/11/1998

Investment Company Products/Variable Contracts Representative Examination

Current Firm

OPEN SOURCE INVESTMENTS, LLC

CRD#: 287501 / SEC#: 801-124704

RIA

Registered Investment Advisory firm - (4/22/2022 Approved)

Louisiana

Registered Investment Advisory firm - (1/10/2023 Terminated)

Mississippi

Registered Investment Advisory firm - (1/4/2023 Terminated)

Tennessee

Registered Investment Advisory firm - (1/4/2023 Terminated)

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Contact information

Main Address

Mandeville, LA

Mailing Address

Phone number

(985) 231-0808

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2025 (3/6/2025)

Regulatory assets under management

Total Number of Accounts	599
AUM (Assets Under Management)	$ 114,089,204

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Scott M. Capace

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Michael Capace's CRS (Customer Relationship Summary).

Certified licenses

Experience

EDELMAN FINANCIAL ENGINES

FINANCIAL ENGINES ADVISOR CENTER, LLC

THE MUTUAL FUND STORE

THE MUTUAL FUND STORE

CHARLES SCHWAB & CO., INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

WS GRIFFITH SECURITIES, INC.

Primary Firm SEC Registration

OPEN SOURCE INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/9/2004

Series 63

Date: 11/4/1998

Series 7

Date: 6/16/1999

Series 6

Date: 8/11/1998

Current Firm

OPEN SOURCE INVESTMENTS, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OPEN SOURCE INVESTMENTS, LLC

TRUST BUT VERIFY

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