Gerald Paul Dietz

Cape Investment Advisory, INC.

21 Years of Experience

6 DisclosuresBrokerSells Insurance

View SEC Summary

Areas of Practice

Investment Management

Cape Investment Advisory, INC.

Compensation

Fee-Only (AUM)

Firm Size

33 advisors

Number of Clients

1,634 clients

Average Client Portfolio

$246K average

Assets Under Management

$402.4M

Fee Structure

Minimum Investment:$25K

Financial Planning:Investment management only

Minimum Annual Fee:$350

Location

1600 Pennsylvania Ave., Mcdonough, GA, 30253

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History

Regulatory History (6)

What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.

Judgment / Lien

December 2011

Customer Dispute

April 2009

Settled

Employment Separation After Allegations

December 2008

Customer Dispute

October 2008

Settled

Customer Dispute

March 2008

Settled

Customer Dispute

January 2008

Settled

View Full SEC Report How to Read Disclosures

Other Business ActivitiesSells Insurance

Gerald is an agent through Bell & Associates selling fixed insurance, life insurance, and fixed annuities since 2018, dedicating a few hours per week. He is also a college adjunct instructor, spending a few hours per week for 6 weeks, which is non-investment related.

Employment History

Current Registrations

American Global Wealth Management, INC.

May 2025 - Present · 9 mos

American Global Wealth Management, INC.Broker

May 2025 - Present · 9 mos

Cape Investment Advisory, INC.

February 2018 - Present · 8 yrs

Cape Securities INC.Broker

January 2018 - Present · 8 yrs 1 mo

Previous Registrations

Wbb Securities, LLCBroker

November 2016 - December 2017 · 1 yr 1 mo

Keystone Capital Corporation

July 2014 - October 2016 · 2 yrs 3 mos

Keystone Capital CorporationBroker

July 2014 - October 2016 · 2 yrs 3 mos

Girard Securities, INC.

April 2011 - May 2014 · 3 yrs 1 mo

Girard Securities, INC.Broker

February 2011 - May 2014 · 3 yrs 3 mos

Qa3 Financial LLC

March 2009 - February 2011 · 1 yr 11 mos

Qa3 Financial CORP.Broker

February 2009 - February 2011 · 2 yrs

Chase Investment Services CORP.

April 2006 - January 2009 · 2 yrs 9 mos

Chase Investment Services CORP.Broker

November 2004 - January 2009 · 4 yrs 2 mos

Wells Fargo Investments, LLCBroker

May 2004 - June 2004 · 1 mo

Wells Fargo Investments, LLC

May 2004 - June 2004 · 1 mo

Morgan Stanley

January 2002 - December 2002 · 11 mos

Morgan Stanley Dw INC.Broker

December 2001 - December 2002 · 1 yr

State Registrations2 states

CATX

AdvisorBrokerBoth

Exams

No exam information available for this advisor.