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RIA / WealthAdvisor43 years in industry

JAMES PATRICK PRITCHARD

Advisor at DELTA INVESTMENT MANAGEMENT, LLC

Durango, CO

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Search this name across graphsid dfx:ria:355b4c5b-09d1-27d7-bd75-0ab00e68568d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 1, 1999 to Sep 14, 2026

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

Current firm: DELTA INVESTMENT MANAGEMENT, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 14, 1982earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Oct 14, 1982
First registration: Jan 1, 1999
Dual registered: no
Other names: JIM PRITCHARD
IAPD individual key: 1063833

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
DELTA INVESTMENT MANAGEMENT, LLC	Independent wealth	Apr 14, 2021	n/a	yes	Durango, CO	Current employment
SAXONY CAPITAL MANAGEMENT, LLC	Independent wealth	Dec 8, 2020	May 14, 2021	no	DURANGO, CO\|SAINT LOUIS, MO	Previous registration
DONOGHUE FORLINES LLC	Asset manager	Jun 6, 2018	Apr 30, 2020	no	Cave Creek, AZ	Previous registration
SWAN GLOBAL INVESTMENTS, LLC	Other adviser	Aug 20, 2010	Apr 2, 2013	no	DURANGO, CO	Previous registration
PRITCHARD INVESTMENT MANAGEMENT	n/a	Jan 1, 1999	Dec 31, 2005	no	DURANGO, CO	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SAXONY CAPITAL MANAGEMENT, LLC	DELTA INVESTMENT MANAGEMENT, LLC	May 14, 2021	Apr 14, 2021	-30	Firm change	RIA to RIA
DONOGHUE FORLINES LLC	SAXONY CAPITAL MANAGEMENT, LLC	Apr 30, 2020	Dec 8, 2020	222	Firm change	Other
SWAN GLOBAL INVESTMENTS, LLC	DONOGHUE FORLINES LLC	Apr 2, 2013	Jun 6, 2018	1,891	Firm change after gap	Other
PRITCHARD INVESTMENT MANAGEMENT	SWAN GLOBAL INVESTMENTS, LLC	Dec 31, 2005	Aug 20, 2010	1,693	Firm change after gap	Other

Relationships

Registered with (5)

→ DELTA INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: current employment
Apr 14, 2021 to presentfactForm ADV
→ SAXONY CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Dec 8, 2020 to May 14, 2021factForm ADV
→ DONOGHUE FORLINES LLCRegistered adviserregistration: previous registration
Jun 6, 2018 to Apr 30, 2020factForm ADV
→ SWAN GLOBAL INVESTMENTS, LLCRegistered adviserregistration: previous registration
Aug 20, 2010 to Apr 2, 2013factForm ADV
→ PRITCHARD INVESTMENT MANAGEMENTRegistered adviserregistration: previous registration
Jan 1, 1999 to Dec 31, 2005factForm ADV

Dated events

No dated event names this entity yet.