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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

DELTA INVESTMENT MANAGEMENT, LLC

CRD 149596

SAN FRANCISCO, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1912356a-3d00-9288-e277-1f49d816b629

Data as of Apr 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 40
Dated events: 6
On other graphs: 0
Observed: Aug 20, 2018 to Apr 17, 2026
45 observations

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $857MItem 5.F on the latest filing (2026-04-17); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $857M
Private client RAUM: $853MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 26
RAUM per advisor: $32.9Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 25
Advisory employees: 25
Offices: 10Schedule D 1.F, beyond the principal office
Accounts: 2,459
Individual clients: 934
High net worth clients: 165
Custody, client assets: $263M
SEC number: 801-114006
CRD: 149596
Filings on the tape: 45
First filed: Aug 20, 2018
Latest filed: Apr 17, 2026
Organised: Limited Liability Company, CA

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first; showing 25 of 26

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
ANDREW DOOLING HOUGHTON	n/a	San Francisco, CA	17	29	2	no
NICHOLAS GRANGER ATKESON	n/a	San Francisco, CA	17	29	2	no
MICHAEL PAUL KRESS	n/a	San Francisco, CA	8	47	5	no
KYLER WILLIS HASSON	n/a	San Francisco, CA	8	15	2	no
EDWIN ANTHONY BARRETTO	n/a	San Francisco, CA	7	36	1	no
GEORGE ARTHUR FOSSING	n/a	Greenville, SC	7	18	3	no
MARK ANDREW TREWITT	n/a	Plano, TX	7	45	6	no
Steven Michael Mallory	n/a	Scottsdale, AZ	7	10	1	no
JOHN CLARENCE KIEBER	n/a	Scottsdale, AZ	7	12	1	no
MELISSA PATRICE KIELBERG	n/a	San Ramon, CA	6	33	2	no
Zachary Thomas Jenkins	n/a	Greenville, SC	6	10	n/a	no
Winston Bromley Gaffron	n/a	San Francisco, CA	6	12	n/a	no
Jason Christopher Rheinfelder	n/a	Prescott, AZ	5	15	1	no
JAMES PATRICK PRITCHARD	n/a	Durango, CO	5	43	4	no
Kellie Lee Miller	Certified Financial Planner	Boise, ID	5	11	n/a	no
KEVIN DEAN KELLER	n/a	Catawba, SC	5	34	2	no
Dow Spencer Barton	n/a	Greenville, SC	4	13	1	no
HOWARD BERNARD ASCHWALD	Chartered Financial Analyst	San Francisco, CA	4	43	4	no
DANIEL CRAIG YOUNG	Certified Financial Planner	San Francisco, CA	4	24	3	no
Drew A Marchitello	n/a	West Sacramento, CA	2	36	6	no
TIMOTHY PATRICK ANDERSON	n/a	San Francisco, CA	2	37	5	no
Xuan Wang	n/a	San Francisco, CA	2	11	1	no
Matthew Burke	n/a	Greenville, SC	0	21	n/a	no
TRAVIS BLUE SMITH	Personal Financial Specialist	Greenville, SC	0	19	6	no
Christopher Timothy Atkeson	n/a	San Francisco, CA	0	13	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ATKESON, NICHOLAS, GRANGER	MANAGING MEMBER/CHIEF COMPLIANCE OFFICER	D	yes	12/2008	Aug 20, 2018	Dec 20, 2024
HOUGHTON, ANDREW, DOOLING	MANAGING MEMBER	D	yes	12/2008	Aug 20, 2018	Dec 20, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Greenville	Sc	United States	4	no
Scottsdale	Az	United States	2	no
Lowell	Ar	United States	1	no
Chicago	IL	United States	1	no
Hendersonville	Nc	United States	1	no
Plano	TX	United States	1	no
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 8 of 9

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 17, 2026	$857M	$857M	25	25	10	n/a	n/a
2024	Mar 26, 2025	$771M	$771M	25	25	10	n/a	n/a
2023	Mar 26, 2024	$629M	$629M	25	25	11	n/a	n/a
2022	Mar 30, 2023	$532M	$532M	24	24	10	n/a	n/a
2021	Mar 18, 2022	$514M	$514M	21	21	9	n/a	n/a
2020	Mar 30, 2021	$510M	$510M	19	18	7	n/a	n/a
2019	Mar 10, 2020	$417M	$417M	21	20	7	n/a	n/a
2018	Mar 7, 2019	$134M	$134M	13	13	4	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	1	0	3.8%	0	0	0	4	3

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$857M	$771M	11.1%	$532M	17.2%	25	25	10	10

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
CHICAGO CAPITAL MANAGEMENT ADVISORS, LLC	2	Dec 31, 2021	Jan 1, 2025	LOS ANGELES, CA	Team lift out	Other	9.5%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
Lido	3	Dec 20, 2022	Aug 8, 2024	SAN FRANCISCO, CA	Team lift out	RIA to RIA	4.1%
BROOKSTONE CAPITAL MANAGEMENT LLC	2	Aug 28, 2019	Sep 4, 2019	WHEATON, IL	Team lift out	RIA to RIA	0.9%
VFG ADVISORS, INC.	2	Dec 31, 2018	Nov 1, 2018	LOS ANGELES, CA	Team lift out	Other	50.0%

Relationships

Registered with (34)

← Peyton S MalloryAdvisorregistration: current employment
May 18, 2026 to presentfactForm ADV
← Christopher Timothy AtkesonAdvisorregistration: current employment
Jan 26, 2026 to presentfactForm ADV
← TRAVIS BLUE SMITHAdvisorregistration: current employment
Jan 5, 2026 to presentfactForm ADV
← Matthew BurkeAdvisorregistration: current employment
Jan 2, 2026 to presentfactForm ADV
← Xuan WangAdvisorregistration: current employment
Aug 8, 2024 to presentfactForm ADV
← TIMOTHY PATRICK ANDERSONAdvisorregistration: current employment
Apr 18, 2024 to presentfactForm ADV
← Drew A MarchitelloAdvisorregistration: current employment
Apr 9, 2024 to presentfactForm ADV
← DANIEL CRAIG YOUNGAdvisorregistration: current employment
Sep 15, 2022 to presentfactForm ADV
← HOWARD BERNARD ASCHWALDAdvisorregistration: current employment
Apr 1, 2022 to presentfactForm ADV
← Dow Spencer BartonAdvisorregistration: current employment
Nov 3, 2021 to presentfactForm ADV
← KEVIN DEAN KELLERAdvisorregistration: current employment
Aug 12, 2021 to presentfactForm ADV
← Kellie Lee MillerAdvisorregistration: current employment
Jun 3, 2021 to presentfactForm ADV
← JAMES PATRICK PRITCHARDAdvisorregistration: current employment
Apr 14, 2021 to presentfactForm ADV
← Jason Christopher RheinfelderAdvisorregistration: current employment
Mar 31, 2021 to presentfactForm ADV
← Winston Bromley GaffronAdvisorregistration: current employment
Jul 6, 2020 to presentfactForm ADV
← Zachary Thomas JenkinsAdvisorregistration: current employment
Jan 2, 2020 to presentfactForm ADV
← MELISSA PATRICE KIELBERGAdvisorregistration: current employment
Oct 4, 2019 to presentfactForm ADV
← JOHN CLARENCE KIEBERAdvisorregistration: current employment
Sep 4, 2019 to presentfactForm ADV
← MARK ANDREW TREWITTAdvisorregistration: current employment
Sep 3, 2019 to presentfactForm ADV
← Steven Michael MalloryAdvisorregistration: current employment
Sep 3, 2019 to presentfactForm ADV
← GEORGE ARTHUR FOSSINGAdvisorregistration: current employment
Mar 11, 2019 to presentfactForm ADV
← EDWIN ANTHONY BARRETTOAdvisorregistration: current employment
Mar 7, 2019 to presentfactForm ADV
← KYLER WILLIS HASSONAdvisorregistration: current employment
Apr 11, 2018 to presentfactForm ADV
← MICHAEL PAUL KRESSAdvisorregistration: current employment
Feb 1, 2018 to presentfactForm ADV
← ANDREW DOOLING HOUGHTONAdvisorregistration: current employment
Apr 6, 2009 to presentfactForm ADV
← NICHOLAS GRANGER ATKESONAdvisorregistration: current employment
Apr 6, 2009 to presentfactForm ADV
← JOHN ROBERT SOUTERAdvisorregistration: previous registration
Jul 16, 2024 to Mar 23, 2026factForm ADV
← HARDEEP SINGHAdvisorregistration: previous registration
Sep 28, 2020 to Jun 12, 2025factForm ADV
← DARREN JAMES VILARDOAdvisorregistration: previous registration
Oct 14, 2020 to Apr 7, 2025factForm ADV
← JASON BRYCE VANCLEFAdvisorregistration: previous registration
Nov 26, 2018 to Dec 31, 2021factForm ADV
and 4 more

Moved with (4)

→ CHICAGO CAPITAL MANAGEMENT ADVISORS, LLCRegistered adviser2 advisors, team lift out, same day
Dec 31, 2021 to Jan 1, 2025factForm ADV
← LIDORegistered adviser3 advisors, team lift out
Dec 20, 2022 to Aug 8, 2024factForm ADV
← BROOKSTONE CAPITAL MANAGEMENT LLCRegistered adviser2 advisors, team lift out, same day
Aug 28, 2019 to Sep 4, 2019factForm ADV
← VFG ADVISORS, INC.Registered adviser2 advisors, team lift out, same day
Dec 31, 2018 to Nov 1, 2018factForm ADV

Controls (2)

← HOUGHTON, ANDREW, DOOLINGOwnerMANAGING MEMBER, ownership code D, individual
Aug 20, 2018 to Dec 20, 2024factForm ADV
← ATKESON, NICHOLAS, GRANGEROwnerMANAGING MEMBER/CHIEF COMPLIANCE OFFICER, ownership code D, individual
Aug 20, 2018 to Dec 20, 2024factForm ADV

Dated events

Occurred
Mar 23, 2026
Advisor changed firm
John Robert Souter left Delta Investment Management, Llc for Rail-Splitter Capital Management Llc (registered 2026-03-03)
Form ADVobserved 5 days ago
Occurred
Jun 12, 2025
Advisor changed firm
Hardeep Singh left Delta Investment Management, Llc for Pk Wealth Advisors (registered 2025-06-30)
Form ADVobserved 5 days ago
Occurred
Apr 7, 2025
Advisor changed firm
Darren James Vilardo left Delta Investment Management, Llc for Tekton Wealth Advisors (registered 2024-09-16)
Form ADVobserved 5 days ago
Occurred
Dec 20, 2022
Team lift-out
3 advisors left Lido (San Francisco, CA) for Delta Investment Management, LLC within 2 days
Form ADVobserved 4 days ago
3 advisors
Occurred
Mar 10, 2020
Regulatory AUM changed
Delta Investment Management, Llc reported RAUM $417.3M, up 211% from $134.0M (2019-12-06 to 2020-03-10)
Form ADVobserved 5 days ago
$283M
Occurred
Aug 20, 2018
First Form ADV filing
Delta Investment Management, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1912356a-3d00-9288-e277-1f49d816b629
First observed: Aug 20, 2018
Last observed: Apr 17, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds 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.

DELTA INVESTMENT MANAGEMENT, LLC

CRD 149596

SAN FRANCISCO, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1912356a-3d00-9288-e277-1f49d816b629

Data as of Apr 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:18 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

ANDREW DOOLING HOUGHTON

n/a

San Francisco, CA

NICHOLAS GRANGER ATKESON

n/a

San Francisco, CA

MICHAEL PAUL KRESS

n/a

San Francisco, CA

KYLER WILLIS HASSON

n/a

San Francisco, CA

EDWIN ANTHONY BARRETTO

n/a

San Francisco, CA

GEORGE ARTHUR FOSSING

n/a

Greenville, SC

MARK ANDREW TREWITT

n/a

Plano, TX

Steven Michael Mallory

n/a

Scottsdale, AZ

JOHN CLARENCE KIEBER

n/a

Scottsdale, AZ

MELISSA PATRICE KIELBERG

n/a

San Ramon, CA

Zachary Thomas Jenkins

n/a

Greenville, SC

n/a

Winston Bromley Gaffron

n/a

San Francisco, CA

n/a

Jason Christopher Rheinfelder

n/a

Prescott, AZ

JAMES PATRICK PRITCHARD

n/a

Durango, CO

Kellie Lee Miller

Certified Financial Planner

Boise, ID

n/a

KEVIN DEAN KELLER

n/a

Catawba, SC

Dow Spencer Barton

n/a

Greenville, SC

HOWARD BERNARD ASCHWALD

Chartered Financial Analyst

San Francisco, CA

DANIEL CRAIG YOUNG

Certified Financial Planner

San Francisco, CA

Drew A Marchitello

n/a

West Sacramento, CA

TIMOTHY PATRICK ANDERSON

n/a

San Francisco, CA

Xuan Wang

n/a

San Francisco, CA

Matthew Burke

n/a

Greenville, SC

n/a

TRAVIS BLUE SMITH

Personal Financial Specialist

Greenville, SC

Christopher Timothy Atkeson

n/a

San Francisco, CA

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ATKESON, NICHOLAS, GRANGER

MANAGING MEMBER/CHIEF COMPLIANCE OFFICER

yes

12/2008

Aug 20, 2018

Dec 20, 2024

HOUGHTON, ANDREW, DOOLING

MANAGING MEMBER

yes

12/2008

Aug 20, 2018

Dec 20, 2024

City

State

Country

Employees

Also broker-dealer

Greenville

United States

Scottsdale

United States

Lowell

United States

Chicago

United States

Hendersonville

United States

Plano

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Apr 17, 2026

$857M

n/a

2024

Mar 26, 2025

$771M

n/a

2023

Mar 26, 2024

$629M

n/a

2022

Mar 30, 2023

$532M

n/a

2021

Mar 18, 2022

$514M

n/a

2020

Mar 30, 2021

$510M

n/a

2019

Mar 10, 2020

$417M

n/a

2018

Mar 7, 2019

$134M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

3.8%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$857M

$771M

11.1%

$532M

17.2%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CHICAGO CAPITAL MANAGEMENT ADVISORS, LLC

Dec 31, 2021

Jan 1, 2025

LOS ANGELES, CA

Team lift out

Other

9.5%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

Lido

Dec 20, 2022

Aug 8, 2024

SAN FRANCISCO, CA

Team lift out

RIA to RIA

4.1%

BROOKSTONE CAPITAL MANAGEMENT LLC

Aug 28, 2019

Sep 4, 2019

WHEATON, IL

Team lift out

RIA to RIA

0.9%

VFG ADVISORS, INC.

Dec 31, 2018

Nov 1, 2018

LOS ANGELES, CA

Team lift out

Other

50.0%