SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Delta Investment Management, LLC
San Francisco, CA
CRD 149596
Firm filing updated April 17, 2026 ·
- $856.7MAssets
- 25Advisory staff
- 2,459Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesNo
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- Individuals934
- High net worth individuals165
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 934 | $277.8 million |
| High net worth individuals | 165 | $574.7 million |
| Charitable organizations | Fewer than 5 clients | $4.2 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Financial planning services
- Portfolio management for individuals and/or small businesses
Assets and accounts
- Regulatory assets$856.7 million
- Accounts2,459
- DiscretionaryAll accounts
People
- Employees25
- Advisory staff25
- Broker-dealer reps0
- Licensed insurance agents11
- Planning clients11 to 25
Advisors
9 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 149596, SEC file 801-114006.
- Registered with the SEC as an investment advisor (status date on record: September 19, 2018).
Is Delta Investment Management, LLC a fiduciary?
Short answer: Delta Investment Management, LLC is registered with the SEC as an investment advisor.
More detail
Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
11 staff are licensed insurance agents.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.