DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Delta Advisory Group, Inc.
Latest filing Mar 31, 2026
First filing on the tape Dec 9, 2011 · 25 filings
SEC status approved since Jan 18, 2023
RAUM
$216M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$215M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$43.3M
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$216M as of Mar 31, 2026
Mar 28, 2012$21.4M then
HNW client RAUM$135M as of Mar 31, 2026
May 7, 2018$9.5M then
State-registered IARs (5.B.3)5 as of Mar 31, 2026
Mar 25, 20130 then
Employees (5.A)8 as of Mar 31, 2026
Mar 25, 20132 then
Private funds: no history
RAUM +12% over the last fiscal year+12% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $43.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 94derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $232,609derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.9%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, publicationsreportedItem 5.G
- Custody
- $99.0M, 218 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$135M62%
- Individuals$80.8M37%
- Corporations and businesses$897,9880.4%
- Individual clients
- 413reported
- HNW clients
- 55reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 930reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $99.0M for 218 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Donald Carl NestorCertified Financial Planner | Maitland, Fl | Jan 5, 2006 | 43 y | 2 |
| Charles Clarence Smith | Maitland, Fl | Oct 20, 2009 | 48 y | 2 |
| Roy Francisco Miranda | Maitland, Fl | Jul 27, 2010 | 43 y | 2 |
| Anthony Alexander DelucaCertified Financial Planner | Maitland, Fl | Dec 26, 2019 | 10 y | 0 |
| Alexander Phillip Petsos | Maitland, Fl | Jul 21, 2021 | 14 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Larry Eugene Foster to Horter Investment Management, LLCJan 25, 2023 · RIA to RIA
- Alexander Joseph Moore to Aegis Wealth Management, LLCJun 30, 2022 · RIA to RIA
- Christopher Elliott Truesdell to Delta Capital Management, LLCOct 6, 2017 · Other
- Myra Pearle Nicholson to International Assets Investment Management, LLCMar 28, 2017 · Other
- Barbara Gayle Deboer to Morgan StanleyNov 10, 2004 · Other
Joined, latest
- Larry Eugene Foster from Delta Capital Management, LLCSep 6, 2022 · RIA to RIA
- Alexander Joseph Moore from Delta Capital Management, LLCApr 27, 2015 · Other
- Roy Francisco Miranda from Mutual Service CorporationJul 27, 2010 · Other
- Myra Pearle Nicholson from Dynetech Capital CorporationFeb 24, 2010 · Other
- Charles Clarence Smith from Dynetech Capital CorporationOct 20, 2009 · Other
- Donald Carl Nestor from SpcJan 5, 2006 · Other
- Barbara Gayle Deboer from Premieretrade Securities, Inc.Mar 17, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Rebecca Megan Johnson · Chief Compliance Officercontrolsince 01/2018 · owns less than 5%
- Clarence Charles Smith · Chairman, Presidentcontrolsince 01/1996 · owns less than 5%
- Clarence Charles Smith · General Partnercontrolsince 01/1996 · owns F of Clarence-Pelton, Ltd
- Elliott Rebecca Smith · Limited Partnercontrolsince 01/1996 · owns F of Clarence-Pelton, Ltd
- Carl Donald Nestor · Senior Vice Presidentsince 01/2006 · owns less than 5%
Entity owners
- Clarence-Pelton, Ltd. · Shareholder/Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- Aegis Wealth Management, LLCinvestment advisernRAUM $190M
- Delta Capital Management, LLCinvestment advisernRAUM $277M
- Delta Insurance Group, LLCreal estaten
Advisers that list Delta Advisory Group, Inc. as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Maitland, Fl · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Maitland, FL3 employees
What changed
consecutive filings, newest first
- Accounts · 905 to 930Mar 31, 2025 to Mar 31, 2026
- HNW clients · 46 to 55Mar 31, 2025 to Mar 31, 2026
- Individual clients · 418 to 413Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $82.1M to $99.0MMar 31, 2025 to Mar 31, 2026
- Employees · 7 to 8Mar 31, 2025 to Mar 31, 2026
- Financial planning clients · 1-10 to 11-25Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $193M to $216MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $111M to $135MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $78.7M to $80.8MMar 31, 2025 to Mar 31, 2026
- RAUM · $193M to $216MMar 31, 2025 to Mar 31, 2026
- Accounts · 892 to 905Apr 1, 2024 to Mar 31, 2025
- HNW clients · 51 to 46Apr 1, 2024 to Mar 31, 2025
- Individual clients · 395 to 418Apr 1, 2024 to Mar 31, 2025
- Assets in custody · $75.0M to $82.1MApr 1, 2024 to Mar 31, 2025
- Financial planning clients · 1-10 to 1-10Apr 1, 2024 to Mar 31, 2025
- Discretionary RAUM · $174M to $193MApr 1, 2024 to Mar 31, 2025
- HNW RAUM · $107M to $111MApr 1, 2024 to Mar 31, 2025
- Individual RAUM · $67.1M to $78.7MApr 1, 2024 to Mar 31, 2025
- RAUM · $174M to $193MApr 1, 2024 to Mar 31, 2025
- Accounts · 882 to 892Mar 31, 2023 to Apr 1, 2024
- HNW clients · 53 to 51Mar 31, 2023 to Apr 1, 2024
- Individual clients · 394 to 395Mar 31, 2023 to Apr 1, 2024
- Discretionary RAUM · $154M to $174MMar 31, 2023 to Apr 1, 2024
- HNW RAUM · $90.0M to $107MMar 31, 2023 to Apr 1, 2024
- Individual RAUM · $61.8M to $67.1MMar 31, 2023 to Apr 1, 2024
- RAUM · $154M to $174MMar 31, 2023 to Apr 1, 2024
- Accounts · 919 to 882Jan 11, 2023 to Mar 31, 2023
- Advisory employees · 6 to 5Jan 11, 2023 to Mar 31, 2023
- HNW clients · 49 to 53Jan 11, 2023 to Mar 31, 2023
- Individual clients · 402 to 394Jan 11, 2023 to Mar 31, 2023
- Assets in custody · $75.8M to $75.0MJan 11, 2023 to Mar 31, 2023
- Employees · 8 to 7Jan 11, 2023 to Mar 31, 2023
- Insurance-licensed employees · 4 to 3Jan 11, 2023 to Mar 31, 2023
- State-registered IARs · 6 to 5Jan 11, 2023 to Mar 31, 2023
- Discretionary RAUM · $175M to $154MJan 11, 2023 to Mar 31, 2023
- HNW RAUM · $108M to $90.0MJan 11, 2023 to Mar 31, 2023
- Individual RAUM · $65.2M to $61.8MJan 11, 2023 to Mar 31, 2023
- RAUM · $175M to $154MJan 11, 2023 to Mar 31, 2023
- Accounts · 376 to 919Jul 25, 2018 to Sep 23, 2022
- Advisory employees · 5 to 6Jul 25, 2018 to Sep 23, 2022
Signals
4 dated events
- Larry Eugene Foster left Delta Advisory Group, Inc. for Horter Investment Management, Llc (registered 2023-02-21)Jan 25, 2023 · Advisor changed firm · fact
- Donovan Sean Casterline (Ceo/President) no longer on Schedule A of Delta Advisory Group, Inc. (listed 2018-07-25, absent 2022-09-23)Sep 23, 2022 · Control person left · inference
- Delta Advisory Group, Inc. filed its initial SEC registration (Form ADV)Sep 23, 2022 · First SEC registration · fact
- Alexander Joseph Moore left Delta Advisory Group, Inc. for Aegis Wealth Management, Llc (registered 2018-03-28)Jun 30, 2022 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- info@deltaadvisory.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 407-331-0307reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 407-331-9213reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- DELTAADVISORY.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 407-331-9213reportedpublic record, Form ADV, Mar 31, 2026
- Team page
- deltaadvisory.com/our-teamreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $43.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026