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DELTA INVESTMENT MANAGEMENT, LLC

SAN FRANCISCO, CA · CRD 149596 · IAPD ↗ · (415) 249-6337

$856.7MRegulatory AUM
25Advisory reps
25Employees
0Clients
11-25Planning clients
0Private funds
23States
2Disclosures
wealthSegment
ApprovedSEC status

Filing changes

53
May 2026 — DELTA INVESTMENT MANAGEMENT, LLC added office(s): 9 -> 10 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
53
August 2024 — DELTA INVESTMENT MANAGEMENT, LLC added office(s): 10 -> 11 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
49
April 2024 — DELTA INVESTMENT MANAGEMENT, LLC notice-filed in GA, NH, TN.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
April 2024 — DELTA INVESTMENT MANAGEMENT, LLC added office(s): 10 -> 11 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
61
April 2024 — DELTA INVESTMENT MANAGEMENT, LLC reports 11-25 financial-planning clients, up from 1-10.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.