{"url":"https://nivawealth.com/firms/delta-advisory-group-105966","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/105966","regulatoryAum":216326482,"crd":"105966","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"8209700","suffix":null,"lastName":"Baker","firstName":"Madeline","middleName":"Grace"},{"crd":"7208553","suffix":null,"lastName":"DeLuca","firstName":"Anthony","middleName":"Alexander"},{"crd":"1139046","suffix":null,"lastName":"MIRANDA","firstName":"ROY","middleName":"FRANCISCO"},{"crd":"1055907","suffix":null,"lastName":"NESTOR","firstName":"DONALD","middleName":"CARL"},{"crd":"6355555","suffix":null,"lastName":"PETSOS","firstName":"ALEXANDER","middleName":"PHILLIP"},{"crd":"871804","suffix":"JR","lastName":"SMITH","firstName":"CHARLES","middleName":"CLARENCE"}],"total":6,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2023-03-31","regulatoryAum":153628041,"clients":447,"employees":7,"offices":2},{"filedOn":"2024-04-01","regulatoryAum":174006935,"clients":446,"employees":7,"offices":2},{"filedOn":"2025-03-31","regulatoryAum":192575198,"clients":464,"employees":7,"offices":2},{"filedOn":"2026-03-31","regulatoryAum":216326482,"clients":468,"employees":8,"offices":2}],"secFileNumber":"801-126783","legalName":"Delta 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Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":27906346},{"name":"John Hancock Distributors LLC","shortName":"John Hancock Distributors","location":"Boston, MA","smaAssets":322962},{"name":"Invesco Distributors, Inc.","shortName":"Invesco Distributors","location":"Houston, TX","smaAssets":894136}],"custodyNote":"Delta Advisory Group has custody of $99M for 218 clients.","otherCustodians":[],"leadership":[{"name":"Donald Nestor","title":"Senior Vice President","crd":"1055907"},{"name":"Charles Smith","title":"Chairman, President","crd":"871804"},{"name":"Megan Johnson","title":"Chief Compliance Officer","crd":"6911479"}],"ownership":[{"label":"Clarence-Pelton, LTD.","detail":"Shareholder/owner in the 75% or more ownership band and a control person, since January 1996."},{"label":"Charles Smith","detail":"Indirect owner: general partner of Clarence-Pelton, LTD. and a control person, since January 1996.","parent":"Clarence-Pelton, 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They include 413 individual clients and 55 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Delta Advisory Group offer?","answer":"Delta Advisory Group provides financial planning, portfolio management for individuals and small businesses, and publishing newsletters.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Delta Advisory Group charge?","answer":"Delta Advisory Group charges up to 2.95% a year for its Portfolio management. The fee is billed in advance and is negotiable.","source":"DAG ADV PART 2A MARCH 2026, filed 31 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Delta Advisory Group use?","answer":"Delta Advisory Group’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $27.9M, Invesco Distributors, Inc. (Houston, TX), with $894K and John Hancock Distributors LLC (Boston, MA), with $323K. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 31 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Delta Advisory Group have?","answer":"Delta Advisory Group 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 3 employees are licensed insurance agents.","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 Delta Advisory Group invest in?","answer":"At the end of its last fiscal year, Delta Advisory Group’s separately managed accounts held 86% exchange-traded equities, 8% cash and equivalents, 4% registered funds (mutual funds, ETFs, BDCs), 1% investment grade corporate bonds and 1% high-yield corporate bonds.","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 Delta Advisory Group?","answer":"Delta Advisory Group’s direct owner is Clarence-Pelton, LTD. (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Delta Advisory Group get paid?","answer":"Delta Advisory Group is paid through a percentage of assets under management and hourly charges. 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 Delta Advisory Group?","answer":"Delta Advisory Group’s main office is at 698 N Maitland Avenue, Ste 201, Maitland, FL 32751. Its phone number is 407-331-9213. Its website is deltaadvisory.com.","source":"Form ADV Part 1A, Item 1.F, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. 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."}