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 Investment Management, LLC
Latest filing Apr 17, 2026
First filing on the tape Aug 20, 2018 · 45 filings
SEC status approved since Sep 19, 2018
RAUM
$857M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$853M individuals and HNW
Advisors
26
registered through the firm on IAPD
RAUM per advisor
$32.9M
derived; firm RAUM over IAPD count
Employees
25
25 advisory (5.B.1)
Offices
10
beyond the principal office
Private funds
0
reported on Schedule D
History
45 filings and snapshots on the tape
RAUM$857M as of Apr 17, 2026
Mar 7, 2019$134M then
HNW client RAUM$575M as of Apr 17, 2026
Mar 7, 2019$84.0M then
State-registered IARs (5.B.3)25 as of Apr 17, 2026
Mar 7, 201913 then
Employees (5.A)25 as of Apr 17, 2026
Mar 7, 201913 then
Private funds: no history
RAUM +11% over the last fiscal year+17% a year over threeIARs 25 to 25
Practice profile
derived from the filing of Apr 17, 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
- RAUM per advisor
- $32.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 42derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $348,382derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.4derived11 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -9.3%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $263M, 701 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$575M67%
- Individuals$278M32%
- Charitable organizations$4.2M0.5%
- Individual clients
- 934reported
- HNW clients
- 165reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2,459reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $263M for 701 clientsreported
- Compensation
- % of AUMreported
- 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
26 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Nicholas Granger Atkeson | San Francisco, Ca | Apr 6, 2009 | 29 y | 2 |
| Andrew Dooling Houghton | San Francisco, Ca | Apr 6, 2009 | 29 y | 2 |
| Michael Paul Kress | San Francisco, Ca | Feb 1, 2018 | 47 y | 5 |
| Kyler Willis Hasson | San Francisco, Ca | Apr 11, 2018 | 15 y | 2 |
| Edwin Anthony Barretto | San Francisco, Ca | Mar 7, 2019 | 36 y | 1 |
| George Arthur Fossing | Greenville, Sc | Mar 11, 2019 | 18 y | 3 |
| Mark Andrew Trewitt | Plano, Tx | Sep 3, 2019 | 45 y | 6 |
| Steven Michael Mallory | Scottsdale, Az | Sep 3, 2019 | 10 y | 1 |
| John Clarence Kieber | Scottsdale, Az | Sep 4, 2019 | 12 y | 1 |
| Melissa Patrice Kielberg | San Ramon, Ca | Oct 4, 2019 | 33 y | 2 |
| Zachary Thomas Jenkins | Greenville, Sc | Jan 2, 2020 | 10 y | 0 |
| Winston Bromley Gaffron | San Francisco, Ca | Jul 6, 2020 | 12 y | 0 |
| Jason Christopher Rheinfelder | Prescott, Az | Mar 31, 2021 | 15 y | 1 |
| James Patrick Pritchard | Durango, Co | Apr 14, 2021 | 43 y | 4 |
| Kellie Lee MillerCertified Financial Planner | Boise, Id | Jun 3, 2021 | 11 y | 0 |
| Kevin Dean Keller | Catawba, Sc | Aug 12, 2021 | 34 y | 2 |
| Dow Spencer Barton | Greenville, Sc | Nov 3, 2021 | 13 y | 1 |
| Howard Bernard AschwaldChartered Financial Analyst | San Francisco, Ca | Apr 1, 2022 | 43 y | 4 |
| Daniel Craig YoungCertified Financial Planner | San Francisco, Ca | Sep 15, 2022 | 24 y | 3 |
| Drew A Marchitello | West Sacramento, Ca | Apr 9, 2024 | 36 y | 6 |
| Timothy Patrick Anderson | San Francisco, Ca | Apr 18, 2024 | 37 y | 5 |
| Xuan Wang | San Francisco, Ca | Aug 8, 2024 | 11 y | 1 |
| Matthew Burke | Greenville, Sc | Jan 2, 2026 | 21 y | 0 |
| Travis Blue SmithPersonal Financial Specialist | Greenville, Sc | Jan 5, 2026 | 19 y | 6 |
| Christopher Timothy Atkeson | San Francisco, Ca | Jan 26, 2026 | 13 y | 0 |
| Peyton S Mallory | Scottsdale, Az | May 18, 2026 | 10 y | 0 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 3.8% of current headcount3 left over 36 months
Left, latest
- John Robert Souter to Rail-Splitter Capital Management LLCMar 23, 2026 · RIA to a newly registered adviser
- Hardeep Singh to Pk Wealth AdvisorsJun 12, 2025 · RIA to a state-registered adviser
- Darren James Vilardo to Tekton Wealth AdvisorsApr 7, 2025 · RIA to a state-registered adviser
- Michael Diprimio to Chicago Capital Management Advisors, LLCDec 31, 2021 · RIA to RIA
- Jason Bryce Vanclef to Chicago Capital Management Advisors, LLCDec 31, 2021 · Other
- Patrick Morehead to Quiver Financial Holdings LLCFeb 16, 2021 · RIA to a state-registered adviser
- John Solari Baker to Atlas Capital Advisors Inc.Dec 31, 2020 · RIA to RIA
- Sheldon Singleton to Chicago Capital Management Advisors, LLCAug 20, 2020 · Other
Joined, latest
- Travis Blue Smith from Brookstone Wealth Advisors, LLCJan 5, 2026 · RIA to RIA
- Xuan Wang from LidoAug 8, 2024 · RIA to RIA
- Timothy Patrick Anderson from Stifel, Nicolaus & Company, IncorporatedApr 18, 2024 · Affiliated broker-dealer or bank to independent RIA
- Drew A Marchitello from Perigon Wealth Management, LLCApr 9, 2024 · RIA to RIA
- Daniel Craig Young from LidoSep 15, 2022 · RIA to RIA
- Howard Bernard Aschwald from LidoApr 1, 2022 · RIA to RIA
- Dow Spencer Barton from Secure Investment Management, LLCNov 3, 2021 · RIA to RIA
- Kevin Dean Keller from Brookstone Wealth Advisors, LLCAug 12, 2021 · RIA to RIA
- James Patrick Pritchard from Saxony Capital Management, LLCApr 14, 2021 · RIA to RIA
- Jason Christopher Rheinfelder from Brookstone Wealth Advisors, LLCMar 31, 2021 · RIA to RIA
- Darren James Vilardo from Brookstone Wealth Advisors, LLCOct 14, 2020 · RIA to RIA
- Hardeep Singh from Wedbush Securities Inc.Sep 28, 2020 · Affiliated broker-dealer or bank to independent RIA
- Melissa Patrice Kielberg from Prosperity Financial Group, Inc.Oct 4, 2019 · RIA to RIA
- John Clarence Kieber from Brookstone Capital Management LLCSep 4, 2019 · RIA to RIA
- Mark Andrew Trewitt from Vfg Advisors, Inc.Sep 3, 2019 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Chicago Capital Management Advisors, LLCDec 31, 2021 · Los Angeles, Ca
- 3 joined from LidoDec 20, 2022 · San Francisco, Ca
- 2 joined from Brookstone Capital Management LLCAug 28, 2019 · Wheaton, Il
- 2 joined from Vfg Advisors, Inc.Dec 31, 2018 · Los Angeles, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Granger Nicholas Atkeson · Managing Member/Chief Compliance Officercontrolsince 12/2008 · owns 50% to 75%
- Dooling Andrew Houghton · Managing Membercontrolsince 12/2008 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Francisco, Ca · principal | 11 | 1 | 0 | ||
| Greenville, Sc | 5 | 2 | 0 | ||
| Scottsdale, Az | 3 | 1 | 0 | ||
| Chicago, Il | 0 | 0 | 1 | ||
| Lowell, Ar | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Greenville, SC4 employees
- Scottsdale, AZ2 employees
- Chicago, IL1 employees
- Plano, TX1 employees
- , 1 employees
- Lowell, AR1 employees
- Hendersonville, NC1 employees
What changed
consecutive filings, newest first
- Other offices · 9 to 10Mar 29, 2026 to Apr 17, 2026
- Accounts · 2,625 to 2,459Jul 7, 2025 to Mar 29, 2026
- HNW clients · 137 to 165Jul 7, 2025 to Mar 29, 2026
- Individual clients · 1,075 to 934Jul 7, 2025 to Mar 29, 2026
- Assets in custody · $284M to $263MJul 7, 2025 to Mar 29, 2026
- Other offices · 10 to 9Jul 7, 2025 to Mar 29, 2026
- Discretionary RAUM · $771M to $857MJul 7, 2025 to Mar 29, 2026
- HNW RAUM · $487M to $575MJul 7, 2025 to Mar 29, 2026
- Individual RAUM · $279M to $278MJul 7, 2025 to Mar 29, 2026
- RAUM · $771M to $857MJul 7, 2025 to Mar 29, 2026
- Financial planning clients · 11-25 to 11-25Jun 13, 2025 to Jul 7, 2025
- Accounts · 2,127 to 2,625Dec 20, 2024 to Mar 26, 2025
- HNW clients · 92 to 137Dec 20, 2024 to Mar 26, 2025
- Individual clients · 1,083 to 1,075Dec 20, 2024 to Mar 26, 2025
- Assets in custody · $218M to $284MDec 20, 2024 to Mar 26, 2025
- Other offices · 11 to 10Dec 20, 2024 to Mar 26, 2025
- Discretionary RAUM · $629M to $771MDec 20, 2024 to Mar 26, 2025
- HNW RAUM · $346M to $487MDec 20, 2024 to Mar 26, 2025
- Individual RAUM · $280M to $279MDec 20, 2024 to Mar 26, 2025
- RAUM · $629M to $771MDec 20, 2024 to Mar 26, 2025
- Other offices · 10 to 11Jul 2, 2024 to Jul 16, 2024
- Other offices · 11 to 10Mar 26, 2024 to Apr 24, 2024
- Accounts · 1,978 to 2,127Nov 3, 2023 to Mar 26, 2024
- Advisory employees · 24 to 25Nov 3, 2023 to Mar 26, 2024
- HNW clients · 98 to 92Nov 3, 2023 to Mar 26, 2024
- Individual clients · 984 to 1,083Nov 3, 2023 to Mar 26, 2024
- Assets in custody · $20.9M to $218MNov 3, 2023 to Mar 26, 2024
- Employees · 24 to 25Nov 3, 2023 to Mar 26, 2024
- Financial planning clients · 1-10 to 11-25Nov 3, 2023 to Mar 26, 2024
- State-registered IARs · 24 to 25Nov 3, 2023 to Mar 26, 2024
- Other offices · 10 to 11Nov 3, 2023 to Mar 26, 2024
- Discretionary RAUM · $532M to $629MNov 3, 2023 to Mar 26, 2024
- HNW RAUM · $326M to $346MNov 3, 2023 to Mar 26, 2024
- Individual RAUM · $203M to $280MNov 3, 2023 to Mar 26, 2024
- RAUM · $532M to $629MNov 3, 2023 to Mar 26, 2024
- Accounts · 1,659 to 1,978Nov 4, 2022 to Mar 30, 2023
- Advisory employees · 21 to 24Nov 4, 2022 to Mar 30, 2023
- HNW clients · 79 to 98Nov 4, 2022 to Mar 30, 2023
- Individual clients · 961 to 984Nov 4, 2022 to Mar 30, 2023
- Assets in custody · $26.1M to $20.9MNov 4, 2022 to Mar 30, 2023
Signals
6 dated events
- John Robert Souter left Delta Investment Management, Llc for Rail-Splitter Capital Management Llc (registered 2026-03-03)Mar 23, 2026 · Advisor changed firm · fact
- Hardeep Singh left Delta Investment Management, Llc for Pk Wealth Advisors (registered 2025-06-30)Jun 12, 2025 · Advisor changed firm · fact
- Darren James Vilardo left Delta Investment Management, Llc for Tekton Wealth Advisors (registered 2024-09-16)Apr 7, 2025 · Advisor changed firm · fact
- 3 advisors left Lido (San Francisco, CA) for Delta Investment Management, LLC within 2 daysDec 20, 2022 · Team lift-out · derived
- Delta Investment Management, Llc reported RAUM $417.3M, up 211% from $134.0M (2019-12-06 to 2020-03-10)Mar 10, 2020 · RAUM change · derived
- Delta Investment Management, Llc filed its initial SEC registration (Form ADV)Aug 20, 2018 · First SEC registration · 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@deltaim.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 415-249-6337reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 415-738-0558reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/northstar-financial-and-retirement-planreportedpublic record, Form ADV, Sep 17, 2026
- Firm profile
- linkedin.com/company/delta-investment-management/aboutreportedpublic record, Form ADV, Sep 17, 2026
- Website
- deltaim.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (415) 249-6337reportedpublic record, Form ADV, Apr 17, 2026
- Team page
- deltaim.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
- $32.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026