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.

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

Feb 26, 2007earliest registration or exam on IAPD

Years in industry

19derivedfrom the industry start date

Years at current firm

1derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

1

Exams

S63|S66

First exam

Feb 26, 2007

First registration

Oct 14, 2022

Dual registered

yes, broker-dealer

IAPD individual key

5290948

• Occurred

  Sep 30, 2024
  Advisor changed firm

  Zohaib Tariq left Pruco Securities, Llc for Cape Investment Advisory, Inc. (registered 2025-01-27)

  Form ADVobserved 3 days ago
• Occurred

  Apr 23, 2024
  Advisor changed firm

  Zohaib Tariq left Citigroup Global Markets Inc. for Pruco Securities, Llc (registered 2024-07-01)

  Form ADVobserved 3 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:bf2dd629-e48c-ecbb-f03c-3532a160b33f

First observed

Oct 14, 2022

Last observed

Sep 14, 2026 5 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.