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fees may be negotiable.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1056959","versionId":1056959,"submittedOn":"2026-09-03","documentName":"DEL-SETTE ADV 2A (\"DISCLOSURE BROCHURE\") AND ADV2B (\"BROCHURE SUPPLEMENT\")"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T14:24:02.17434+00:00","documents":[{"name":"DEL-SETTE ADV 2A (\"DISCLOSURE BROCHURE\") AND ADV2B (\"BROCHURE SUPPLEMENT\")","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1056959","versionId":1056959,"submittedOn":"2026-09-03"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":190471596}],"custodyNote":"Del-Sette Capital Management has custody of $78.5M in client assets for 124 clients.","otherCustodians":[],"leadership":[{"name":"Hermes Del-Sette","title":"Managing Member/Chief Compliance Officer","crd":"3098267"},{"name":"Ann Arceo","title":"Member","crd":"5869801"},{"name":"BriAnna Esposito","title":"Member","crd":"6687206"}],"ownership":[{"label":"Hermes Del-Sette","detail":"Managing member/chief compliance officer in the 75% or more ownership band and a control person, since November 2011."},{"label":"Ann Arceo","detail":"Member in the 5% to 10% ownership band, since January 2026."},{"label":"BriAnna Esposito","detail":"Member in the 5% to 10% ownership band, since January 2026."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":3,"privateResidences":3},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"New York","offices":1,"addresses":[{"street":"1332 Union St.","city":"Schenectady","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"518-793-3851","stateRegisteredReps":5,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Educational seminars/workshops"],"financialPlanningClients":"101-250","assetMix":[{"label":"Exchange-traded equity securities","percent":88},{"label":"U.S. government/agency bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":8},{"label":"Cash and cash equivalents","percent":2},{"label":"Other","percent":1,"detail":"Annuities"}],"privateFunds":0},"sources":{"adv1FilingDate":"3 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/159052/PDF/159052.pdf","brochureDate":"3 September 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1056959","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Del-Sette Capital Management have?","answer":"Del-Sette Capital Management has 240 clients and manages $193 million for them, as of September 2026. They include 184 individual clients and 56 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 3 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Del-Sette Capital Management offer?","answer":"Del-Sette Capital Management provides financial planning, portfolio management for individuals and small businesses, and educational seminars.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Del-Sette Capital Management use?","answer":"Del-Sette Capital Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $190M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 3 September 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Del-Sette Capital Management have?","answer":"Del-Sette Capital Management has 5 investment adviser representatives registered with state securities authorities, out of 8 employees, and 5 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Del-Sette Capital Management invest in?","answer":"At the end of its last fiscal year, Del-Sette Capital Management’s separately managed accounts held 88% exchange-traded equities, 8% registered funds (mutual funds, ETFs, BDCs), 2% cash and equivalents, 1% U.S. government and agency bonds and 1% other. The 1% other category is described as: Annuities.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Del-Sette Capital Management?","answer":"Del-Sette Capital Management’s direct owners are Hermes Del-Sette (75% or more), Ann Arceo (5% to 10%) and BriAnna Esposito (5% to 10%).","source":"Form ADV Part 1A, Schedules A and B, filed 3 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Del-Sette Capital Management get paid?","answer":"Del-Sette Capital Management is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Del-Sette Capital Management?","answer":"Del-Sette Capital Management’s main office is at 1332 Union St., Schenectady, NY 12308. Its phone number is 518-793-3851. 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Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}