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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

GERALD PAUL DIETZ

Advisor at CAPE INVESTMENT ADVISORY, INC.

MCDONOUGH, GA | Addison, TX

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Search this name across graphsid dfx:ria:1eb3aa41-dfe6-00c6-158d-25db5fdc8f0b

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Jan 16, 2002 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CAPE INVESTMENT ADVISORY, INC.
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 15, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jan 15, 2002
First registration: Jan 16, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 4032865

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CAPE INVESTMENT ADVISORY, INC.	Independent wealth	Feb 11, 2018	n/a	yes	MCDONOUGH, GA\|Addison, TX	Current employment
KEYSTONE CAPITAL CORPORATION	Former SEC adviser	Jul 21, 2014	Oct 31, 2016	no	NEW YORK, NY\|SAN DIEGO, CA\|Dallas, TX	Previous registration
GIRARD SECURITIES, INC.	Former SEC adviser	Apr 7, 2011	May 7, 2014	no	SAN DIEGO, CA\|SOUTHLAKE, TX	Previous registration
QA3 FINANCIAL LLC	n/a	Mar 25, 2009	Feb 11, 2011	no	MCKINNEY, TX\|OMAHA, NE	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Apr 10, 2006	Jan 16, 2009	no	CARROLLTON, TX\|CARROLLTON, TX\|CARROLLTON, TX\|CARROLLTON, TX	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	May 12, 2004	Jun 17, 2004	no	EL PASO, TX	Previous registration
MORGAN STANLEY DW INC.	n/a	Jan 16, 2002	Dec 6, 2002	no	EL PASO, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
KEYSTONE CAPITAL CORPORATION	CAPE INVESTMENT ADVISORY, INC.	Oct 31, 2016	Feb 11, 2018	468	Firm change after gap	Other
GIRARD SECURITIES, INC.	KEYSTONE CAPITAL CORPORATION	May 7, 2014	Jul 21, 2014	75	Firm change	Other
QA3 FINANCIAL LLC	GIRARD SECURITIES, INC.	Feb 11, 2011	Apr 7, 2011	55	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	QA3 FINANCIAL LLC	Jan 16, 2009	Mar 25, 2009	68	Firm change	Other
WELLS FARGO INVESTMENTS, LLC	CHASE INVESTMENT SERVICES CORP.	Jun 17, 2004	Apr 10, 2006	662	Firm change after gap	Other
MORGAN STANLEY DW INC.	WELLS FARGO INVESTMENTS, LLC	Dec 6, 2002	May 12, 2004	523	Firm change after gap	Other

Relationships

Registered with (7)

→ CAPE INVESTMENT ADVISORY, INC.Registered adviserregistration: current employment
Feb 11, 2018 to presentfactForm ADV
→ KEYSTONE CAPITAL CORPORATIONRegistered adviserregistration: previous registration
Jul 21, 2014 to Oct 31, 2016factForm ADV
→ GIRARD SECURITIES, INC.Registered adviserregistration: previous registration
Apr 7, 2011 to May 7, 2014factForm ADV
→ QA3 FINANCIAL LLCRegistered adviserregistration: previous registration
Mar 25, 2009 to Feb 11, 2011factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Apr 10, 2006 to Jan 16, 2009factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
May 12, 2004 to Jun 17, 2004factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Jan 16, 2002 to Dec 6, 2002factForm ADV

Dated events

No dated event names this entity yet.