DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

DELTA ASSOCIATES INC

DELTA ASSOCIATES INC DBA D.R.G. INVESTMENT MANAGENT, CRD 106232

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:a3f3579c-d830-a7f4-40be-38dc4009d2d9

Data as of May 15, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 1
Dated events: 0
On other graphs: 0
Observed: Nov 28, 2011 to May 15, 2012
7 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $27.5MItem 5.F on the latest filing (2012-05-15); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $27.5M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 19
SEC number: 801-19735
CRD: 106232
Filings on the tape: 7
First filed: Nov 28, 2011
Latest filed: May 15, 2012
Organised: Corporation, Illinois

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
GEIS, DAVID, ROBERTSON	PRESIDENT/ 'CHIEF COMPLIANCE OFFICER'	E	yes	06/1983	Nov 28, 2011	May 15, 2012

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

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Feb 9, 2012	$27.5M	$27.5M	n/a	n/a	n/a	n/a	n/a

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
2011	$27.5M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (1)

← GEIS, DAVID, ROBERTSONOwnerPRESIDENT/ 'CHIEF COMPLIANCE OFFICER', ownership code E, individual
Nov 28, 2011 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a3f3579c-d830-a7f4-40be-38dc4009d2d9
First observed: Nov 28, 2011
Last observed: May 15, 2012 174 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 ASSOCIATES INC

DELTA ASSOCIATES INC DBA D.R.G. INVESTMENT MANAGENT, CRD 106232

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:a3f3579c-d830-a7f4-40be-38dc4009d2d9

Data as of May 15, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:27 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

GEIS, DAVID, ROBERTSON

PRESIDENT/ 'CHIEF COMPLIANCE OFFICER'

yes

06/1983

Nov 28, 2011

May 15, 2012

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Feb 9, 2012

$27.5M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$27.5M

n/a