Andrew Houghton has been Managing Member of Delta Investment Management since December 2008, is a control person of the firm and directly owns between 50% and 75% of it. Andrew Houghton holds a BA in Economics from Boston University.
Delta Investment Management, LLC is a San Francisco, CA firm with $857M under management, 1,099 clients and 25 advisers across 11 offices, as of its April 2026 filing.
Andrew Houghton is a principal of Delta Investment Management, based in San Francisco. He has over 25 years of industry experience. Prior to founding Delta Investment Management, he held positions at Montgomery Securities, Banc of America Securities, Delta Force Capital, ThinkEquity, and Susquehanna.
Andrew Houghton’s longest registration is the current one, 17 years at Delta Investment Management since 2009. Before joining Delta Investment Management in 2009, Andrew Houghton was registered through Delta Force Capital, LLC.
- US Capital Wealth Management, LLC– · 1 yearSan Francisco, CA · Adviser representative · Firm CRD 284435
- – present · 17 yearsSan Francisco, CA · Adviser representative · Firm CRD 149596
- Delta Force Capital, LLC– · 3 yearsSan Francisco, CA · Adviser representative · Firm CRD 140329
Investment adviser representative registrations
Andrew Houghton is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from April 2009; the most recent is Texas, in May 2013.
- CaliforniaSince 6 April 2009
- TexasResidentSince 6 May 2013
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 10 February 2009 |
| Series 63 | Uniform Securities Agent State Law Examination | 13 January 1997 |
| Series 7 | General Securities Representative Examination | 7 January 1997 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Andrew Dooling Houghton
- CRD
- 2825725
- Firm
- Delta Investment Management · CRD 149596
- Role
- Managing Member
- Office
- 708 Montgomery Street, San Francisco, CA 94111
- Registration
- Investment adviser registration
- In the industry since
- May 2006
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- deltaim.com
Where does Andrew Houghton work?
Andrew Houghton has been Managing Member of Delta Investment Management, LLC since December 2008, and is a control person of the firm.
Is Andrew Houghton a financial advisor?
Yes. Andrew Houghton has a current investment-adviser registration in California and Texas, through Delta Investment Management since April 2009.
How many years of experience does Andrew Houghton have?
Andrew Houghton has 20 years in the financial industry, since May 2006, across 3 adviser firms.
What exams has Andrew Houghton passed?
Andrew Houghton has passed 3 licensing exams: the Series 7, Series 63 and Series 65. The earliest, the Series 7, was passed in January 1997.
Where is Andrew Houghton based?
Andrew Houghton’s registered office is in San Francisco, CA.
Is Andrew Houghton registered with FINRA?
No. Andrew Houghton has no current broker registration.
How can I verify Andrew Houghton’s record?
Search CRD 2825725 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Andrew Houghton’s full registration record.
