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CRD 6312
ORANGE, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| DELTA CAPITAL HOLDINGS, LLC | GENERAL PARTNER | D | yes | 02/1999 | Oct 18, 2012 | Mar 31, 2023 |
| PAULSEN, DAROL KENNETH | MANAGING MEMBER | D | yes | 02/1999 | Dec 7, 2011 | Mar 31, 2023 |
| PAULSEN, DAROL KENNETH | CEO/DIR./TREASURER/SROP | Na | yes | 06/1999 | Dec 7, 2011 | Mar 31, 2023 |
| DELTA BROKER HOLDING, LLC | LIMITED PARTNER | C | no | 02/1999 | Dec 7, 2011 | Mar 31, 2023 |
| EDWARDS, DON MICHAEL | CFO/FINOP/CONTROLLER | Na | no | 09/2003 | Dec 7, 2011 | Mar 31, 2023 |
| FRENCH, JONATHAN LEE | PRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV. | Na | no | 09/2003 | Dec 7, 2011 | Mar 31, 2023 |
| PAULSEN, PHYLLIS JEAN | SR. VP/DIR/CAO DIR./LIC & REG/SEC | Na | no | 06/1999 | Dec 7, 2011 | Mar 31, 2023 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| CROWN CAPITAL SECURITIES, L.P. | n/a | Former SEC adviser | $1.2B | Y | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Cincinnati | Oh | United States | 6 | yes |
| Charlotte | Nc | United States | 5 | yes |
| Orange | CA | United States | 4 | yes |
| Placentia | CA | United States | 4 | yes |
| Portland | Or | United States | 4 | yes |
| Cayucos | CA | United States | 3 | yes |
| Lancaster | CA | United States | 3 | yes |
| SAN DIEGO | CA | United States | 3 | yes |
| SANTA ANA | CA | United States | 3 | yes |
| Honolulu | Hi | United States | 3 | yes |
| Chesterfield | Mo | United States | 3 | yes |
| LAS VEGAS | Nv | United States | 3 | yes |
| Amarillo | TX | United States | 3 | yes |
| NEVADA CITY | CA | United States | 2 | yes |
| SAN FRANCISCO | CA | United States | 2 | yes |
| Tarzana | CA | United States | 2 | yes |
| Valencia | CA | United States | 2 | yes |
| Aurora | Co | United States | 2 | yes |
| ANN ARBOR | Mi | United States | 2 | yes |
| Livonia | Mi | United States | 2 | yes |
| MAPLE GROVE | Mn | United States | 2 | yes |
| Lincoln | Ne | United States | 2 | yes |
| Erie | Pa | United States | 2 | yes |
| n/a | n/a | n/a | 2 | yes |
| LAS VEGAS | Nv | United States | 1 | yes |
| n/a | n/a | n/a | 1 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2022 | Mar 31, 2023 | $1.2B | $145M | 164 | 164 | 93 | n/a | n/a |
| 2021 | Mar 31, 2022 | $1.4B | $212M | 170 | 170 | 102 | n/a | n/a |
| 2020 | Mar 31, 2021 | $1.2B | $93.7M | 182 | 182 | 114 | n/a | n/a |
| 2019 | May 11, 2020 | $909M | $61.1M | 175 | 175 | 114 | n/a | n/a |
| 2018 | Mar 28, 2019 | $816M | $47.3M | 27 | 11 | 114 | n/a | n/a |
| 2017 | Mar 30, 2018 | $697M | $40.5M | 25 | 11 | 114 | n/a | n/a |
| 2016 | Mar 31, 2017 | $745M | $24.6M | 25 | 7 | n/a | n/a | n/a |
| 2015 | Mar 31, 2016 | $562M | $24.5M | 25 | 7 | n/a | n/a | n/a |
| 2014 | Mar 31, 2015 | $565M | $29.8M | 25 | 7 | n/a | n/a | n/a |
| 2013 | Mar 28, 2014 | $544M | $15.6M | 25 | 7 | n/a | n/a | n/a |
| 2012 | Mar 28, 2013 | $518M | $30.3M | 25 | 7 | n/a | n/a | n/a |
| 2011 | Mar 28, 2012 | $416M | $22.7M | n/a | n/a | n/a | n/a | n/a |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2022 | $1.2B | $1.4B | -11.1% | $909M | 10.4% | 164 | 170 | 93 | 102 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| LPL FINANCIAL LLC | 5 | Apr 17, 2024 | Apr 17, 2024 | ORANGE, CA | Team lift out | Ibd to ibd | 8.2% |
| LEGACY INVESTMENT STRATEGIES, LLC | 4 | Apr 16, 2024 | May 28, 2024 | LA PALMA, CA | Team lift out | Ibd to state RIA | 6.1% |
| PRIVATE ADVISOR GROUP, LLC | 4 | Apr 16, 2024 | Jul 18, 2024 | SAN FRANCISCO, CA | Team lift out | Ibd to ibd | 6.1% |
| STONE HATCHER FINANCIAL | 2 | Mar 25, 2024 | Apr 20, 2018 | ORANGE, CA | Team lift out | Other | 2.8% |
| WEALTH ENHANCEMENT ADVISORY SERVICES, LLC | 2 | Mar 12, 2024 | Jan 6, 2026 | LOGAN, UT | Team lift out | Ibd to RIA | 2.6% |
| INDEPENDENT FINANCIAL GROUP, LLC | 3 | Feb 9, 2024 | Feb 2, 2024 | CAYUCOS, CA | Team lift out | Ibd to ibd | 3.6% |
| THE AMERIFLEX GROUP | 2 | Jan 24, 2024 | Jan 26, 2024 | LAS VEGAS, NV | Team lift out | Ibd to ibd | 2.2% |
| CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | 2 | Dec 31, 2023 | Jan 2, 2024 | AURORA, CO | Team lift out | Ibd to ibd | 2.1% |
| EAGLE WEALTH MANAGEMENT GROUP INC. | 3 | Nov 20, 2023 | Jul 7, 2024 | CHARLOTTE, NC | Team lift out | Ibd to RIA | 2.8% |
| MONEY CONCEPTS ADVISORY SERVICE | 2 | Nov 15, 2023 | Nov 8, 2023 | PLACENTIA, CA | Team lift out | Ibd to ibd | 1.8% |
| EAGLE WEALTH MANAGEMENT GROUP INC. | 2 | Oct 12, 2023 | Jan 1, 2025 | LOS ANGELES, CA | Team lift out | Ibd to new firm | 1.7% |
| INDEPENDENT FINANCIAL GROUP, LLC | 2 | Oct 11, 2023 | Oct 6, 2023 | IRVINE, CA | Team lift out | Ibd to ibd | 1.7% |
| GENEOS WEALTH MANAGEMENT, INC. | 2 | Sep 28, 2023 | Sep 21, 2023 | ERIE, PA | Team lift out | Ibd to ibd | 1.6% |
| DIVERSIFY ADVISORY SERVICES, LLC | 2 | Mar 9, 2020 | Dec 19, 2023 | ORANGE, CA | Team lift out | RIA to ibd | 1.6% |
| SUREVEST WEALTH MANAGEMENT | 2 | Jul 18, 2017 | Sep 17, 2012 | LAS VEGAS, NV | Team lift out | Other | 1.9% |
| CORNERSTONE SECURITIES LLC | 3 | Oct 2, 2015 | Sep 3, 2014 | ARLINGTON HEIGHTS, IL | Team lift out | Other | 3.3% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| STRATEGIC ADVOCATES, LLC | 2 | Jan 2, 2026 | Jan 5, 2023 | SACRAMENTO, CA | Team lift out | RIA to ibd | 33.3% |
| FORESTERS EQUITY SERVICES, INC. | 2 | Sep 10, 2018 | Sep 21, 2018 | VALENCIA, CA | Team lift out | Ibd to RIA | 3.5% |
| QUEST SECURITIES, INC. | 4 | Feb 3, 2017 | Feb 10, 2017 | SAN FRANCISCO, CA | Firm absorbed | Other | 100.0% |