← Directory
DELTA INVESTMENT MANAGEMENT, LLC
CRD 149596File 801-114006
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Apr 17, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$856.7M
Above cohort median (national)
Discretionary AUM
$856.7M
Clients
1,099
2,459 accounts
Employees
25
Above cohort median in CA
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- SFRO
- Registration date
- Sep 19, 2018
- Principal office
- 708 MONTGOMERY STREET, SAN FRANCISCO, CA, 94111
- Phone
- (415) 249-6337
- Website
- https://www.deltaim.com
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $856.7M
- Discretionary AUM
- $856.7M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 2,459
- Non-discretionary accounts
- 0
- Total accounts
- 2,459
- AUM per client
- $780K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Charitable organizations | Fewer than 5 | $4.2M |
| High net worth individuals | 165 | $574.7M |
| Individuals (other than high net worth individuals) | 934 | $277.8M |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11D4
- Q11D5
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Clients | 1,212 | 1,099 | decreased by113 |
| Apr 1, 2026 | AUM | $770,787,222 | $856,670,613 | increased by$85,883,391 |
| Apr 1, 2026 | Accounts | 2,625 | 2,459 | decreased by166 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 21 | 25 | increased by4 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 1,040 | 1,212 | increased by172 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $513,891,606 | $770,787,222 | increased by$256,895,616 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 1,659 | 2,625 | increased by966 |
| Apr 1, 2022 | Employees | 19 | 21 | increased by2 |
| Apr 1, 2022 | Clients | 944 | 1,040 | increased by96 |
| Apr 1, 2022 | AUM | $509,602,867 | $513,891,606 | increased by$4,288,739 |
| Apr 1, 2022 | Accounts | 1,596 | 1,659 | increased by63 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “DELTA INVESTMENT” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“DELTA INVESTMENT” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.