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 Asset Management, LLC
Latest filing Jul 22, 2026
First filing on the tape Mar 27, 2012 · 36 filings
SEC status approved since Nov 21, 2001
RAUM
$1.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$1.4B individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$306M
derived; firm RAUM over IAPD count
Employees
10
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$1.5B as of Jul 22, 2026
Mar 27, 2012$507M then
HNW client RAUM$1.3B as of Jul 22, 2026
Mar 30, 2018$572M then
State-registered IARs (5.B.3)6 as of Jul 22, 2026
Mar 26, 20134 then
Employees (5.A)10 as of Jul 22, 2026
Mar 26, 20138 then
Private funds: no history
RAUM +6.1% over the last fiscal year+7.6% a year over threeIARs 5 to 6
Practice profile
derived from the filing of Jul 22, 2026; every figure names its basis
Archetypes, each a printed rule
- PE backed · a Schedule A entity owner at 25 percent or more whose exact legal name is a PE fund vehicle or a classified PE sponsor on the DFX private equity graph
- RAUM per advisor
- $306MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 109derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.4MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, educational seminarsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $505M, 280 clientsreportedItem 9.A
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.3B85%
- Individuals$120M7.9%
- Charitable organizations$43.9M2.9%
- Pension and profit-sharing plans$38.2M2.5%
- State and municipal entities$12.7M0.8%
- Corporations and businesses$8.8M0.6%
- Individual clients
- 303reported
- HNW clients
- 240reported
- Pension plan clients
- 4reported
- Charitable clients
- 4reported
- Accounts
- 1,130reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $2.9M managedreported
- Custody of client assets
- $505M for 280 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.06 related_bd=true 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 |
|---|---|---|---|---|
| Myron Merriell Mall | Memphis, Tn | Feb 9, 2004 | 34 y | 0 |
| David Charles SmithCertified Financial Planner, Chartered Financial Analyst | Memphis, Tn | Feb 23, 2011 | 29 y | 2 |
| Brandon Andrew ByrdCertified Financial Planner | Memphis, Tn | Feb 25, 2021 | 11 y | 0 |
| Christopher Calvert JonesChartered Financial Analyst | Memphis, Tn | Feb 26, 2024 | 21 y | 0 |
| James Todd Kirshbaum | Memphis, Tn | Dec 15, 2025 | 28 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
- Hugh W Gates to Legacy Wealth Management, LLCFeb 15, 2022 · RIA to RIA
Joined, latest
- Hugh W Gates from Valic Financial Advisors, Inc.Feb 10, 2015 · Other
- David Charles Smith from Neshoba Financial PlanningFeb 23, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Thomas John Boyle · Principalcontrolsince 09/2021 · owns less than 5%
- Merriell Myron Mall · Managing Directorcontrolsince 01/2006 · owns less than 5%
- Charles David Smith · Managing Directorcontrolsince 01/2012 · owns less than 5%
- Jeremy Daniel Berg · Executive Director Of Financesince 03/2019 · owns less than 5%
- Cole Dana Maury · Chief Compliance Officersince 02/2022 · owns less than 5%
Entity owners
- Wt Acquisition, LLC · Ownerdirect · owns 75% or more
- Hightower Holding, LLC · Ownerindirect · owns 75% or more of Wt Acquisition, LLC
- Thl Ht Spv, L.P · 25-50% Owner Of Applicant'S Holding Companyindirect · owns 25% to 50% of Hightower Holding, LLC
Related persons
Schedule D 7.A
- Duncker Streett & Co.investment advisernRAUM $707M
- Gms Surgent, LLCinsurancen
- Grant Tani Barash & Altman, LLCinvestment advisernRAUM $2.3B
- Harvey Investment Company, LLCinvestment advisernRAUM $1.0B
- Hightower Advisors, LLCinvestment advisernRAUM $199B
- Hightower Family Select Service Company, LLCinsurancen
- Hightower Securities, LLCbroker-dealern
- Hightower Trust Company N.A.n
- Kanawha Capital Management, LLCinvestment advisernRAUM $1.8B
- Madison Avenue Solutions, LLCinvestment advisernRAUM $2.1B
- The Rikoon Group, LLCinvestment advisernRAUM $72.2M
- Trust Company Of Illinoisn
- Axiom Asset Managementinvestment advisernRAUM $900M
Advisers that list Delta Asset Management, LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Memphis, Tn · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,123 to 1,130Nov 13, 2025 to Mar 31, 2026
- Advisory employees · 5 to 6Nov 13, 2025 to Mar 31, 2026
- HNW clients · 255 to 240Nov 13, 2025 to Mar 31, 2026
- Individual clients · 277 to 303Nov 13, 2025 to Mar 31, 2026
- Assets in custody · $931M to $505MNov 13, 2025 to Mar 31, 2026
- Employees · 8 to 10Nov 13, 2025 to Mar 31, 2026
- State-registered IARs · 5 to 6Nov 13, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.4B to $1.5BNov 13, 2025 to Mar 31, 2026
- HNW RAUM · $1.2B to $1.3BNov 13, 2025 to Mar 31, 2026
- Individual RAUM · $104M to $120MNov 13, 2025 to Mar 31, 2026
- Pension RAUM · $35.5M to $38.2MNov 13, 2025 to Mar 31, 2026
- RAUM · $1.4B to $1.5BNov 13, 2025 to Mar 31, 2026
- Wrap assets (manager) · $2.7M to $2.9MNov 13, 2025 to Mar 31, 2026
- Accounts · 1,166 to 1,123Nov 8, 2024 to Mar 31, 2025
- Advisory employees · 6 to 5Nov 8, 2024 to Mar 31, 2025
- HNW clients · 263 to 255Nov 8, 2024 to Mar 31, 2025
- Individual clients · 285 to 277Nov 8, 2024 to Mar 31, 2025
- Pension plan clients · 5 to 4Nov 8, 2024 to Mar 31, 2025
- Assets in custody · $878M to $931MNov 8, 2024 to Mar 31, 2025
- Employees · 9 to 8Nov 8, 2024 to Mar 31, 2025
- Financial planning clients · 1-10 to 1-10Nov 8, 2024 to Mar 31, 2025
- State-registered IARs · 6 to 5Nov 8, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.4B to $1.4BNov 8, 2024 to Mar 31, 2025
- HNW RAUM · $1.2B to $1.2BNov 8, 2024 to Mar 31, 2025
- Individual RAUM · $111M to $104MNov 8, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $4.9M to $0Nov 8, 2024 to Mar 31, 2025
- Pension RAUM · $41.5M to $35.5MNov 8, 2024 to Mar 31, 2025
- RAUM · $1.4B to $1.4BNov 8, 2024 to Mar 31, 2025
- Wrap assets (manager) · $2.4M to $2.7MNov 8, 2024 to Mar 31, 2025
- Related insurance company · false to trueMar 18, 2024 to Jun 25, 2024
- Accounts · 1,150 to 1,166Mar 30, 2023 to Mar 18, 2024
- HNW clients · 234 to 263Mar 30, 2023 to Mar 18, 2024
- Individual clients · 316 to 285Mar 30, 2023 to Mar 18, 2024
- Assets in custody · $771M to $878MMar 30, 2023 to Mar 18, 2024
- State-registered IARs · 5 to 6Mar 30, 2023 to Mar 18, 2024
- Discretionary RAUM · $1.2B to $1.4BMar 30, 2023 to Mar 18, 2024
- HNW RAUM · $1.0B to $1.2BMar 30, 2023 to Mar 18, 2024
- Individual RAUM · $127M to $111MMar 30, 2023 to Mar 18, 2024
- Non-discretionary RAUM · $0 to $4.9MMar 30, 2023 to Mar 18, 2024
- Pension RAUM · $36.2M to $41.5MMar 30, 2023 to Mar 18, 2024
Signals
3 dated events
- Tennent Edward Taylor (Managing Director) no longer on Schedule A of Delta Asset Management, Llc (listed 2024-08-09, absent 2024-11-08)Nov 8, 2024 · Control person left · inference
- Thomas John Boyle (Executive Director, Operations) appeared on Schedule A of Delta Asset Management, LlcFeb 28, 2022 · Control person joined · fact
- Hugh W Gates left Delta Asset Management, Llc for Legacy Wealth Management, Llc (registered 2022-02-25)Feb 15, 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
- website@deltaasset.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-234-4791reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 901-767-1224reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 901-767-4791reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/delta-asset-management-llcreportedpublic record, Form ADV, Sep 17, 2026
- Website
- DELTAASSET.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 901-767-4791reportedpublic record, Form ADV, Jul 22, 2026
- Contact form
- deltaasset.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- deltaasset.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- $306Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026