Delta Investment Management provides financial planning, portfolio management for individuals and small businesses, and insurance. Financial planning was provided to 11–25 clients last fiscal year.
Delta Investment Management reports 1,099 clients. They include 934 individual clients and 165 high-net-worth individuals. Of its assets, 100.0% ($857M across 2,459 accounts) are managed with discretion.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 85% | 32% |
| High-net-worth individuals | 15% | 67% |
| Charitable organizations | Fewer than 5 | <1% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 934 | $278M | 32.4% | $297K |
| High-net-worth individuals | 165 | $575M | 67.1% | $3.48M |
| Charitable organizations | Fewer than 5 | $4.16M | 0.5% | — |
| Total | 1,099 | $857M | 100% | — |
- Clients
- 934
- Regulatory AUM
- $278M
- AUM share
- 32.4%
- Avg. per client
- $297K
- Clients
- 165
- Regulatory AUM
- $575M
- AUM share
- 67.1%
- Avg. per client
- $3.48M
- Clients
- Fewer than 5
- Regulatory AUM
- $4.16M
- AUM share
- 0.5%
- Avg. per client
- —
Total
- Clients
- 1,099
- Regulatory AUM
- $857M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 11–25
Delta Investment Management is paid through a percentage of assets under management. The reviewed brochures do not disclose an asset-based fee rate. Read the SEC-filed brochure.
Nicholas Atkeson owns 50% to 75% of Delta Investment Management. The leadership team of Delta Investment Management includes Chief Compliance Officer Nicholas Atkeson. It has 25 employees.
Leadership
Nicholas AtkesonManaging Member/Chief Compliance Officer
Andrew HoughtonManaging Member
Investment adviser representatives
26 representatives listed in the SEC register as of 9 October 2026.
Staff
- 25 employees
- 25 in advisory functions
- 25 state-registered reps
- 11 insurance agents
- Owns 50% to 75% of Delta Investment Management, LLC
Nicholas Atkeson
Control person · since December 2008
- Owns 50% to 75% of Delta Investment Management, LLC
Andrew Houghton
Control person · since December 2008
Delta Investment Management’s regulatory assets grew 1.7× from $510M (May 2021) to $857M (April 2026); clients rose from 944 to 1,099 and employees from 19 to 25.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| April 2026 | $857M | 1,099 | 25 | 11 |
| July 2025 | $771M | 1,212 | 25 | 11 |
| July 2024 | $629M | 1,175 | 25 | 12 |
| July 2023 | $532M | 1,082 | 24 | 11 |
| April 2022 | $514M | 1,040 | 21 | 10 |
| May 2021 | $510M | 944 | 19 | 10 |
Besides its headquarters, Delta Investment Management has 10 offices (6 private residences, listed without an address), with 5 listed addresses across 5 states.
Arizona · 1 listed address
- 14300 N. Northsight Boulevard, Scottsdale
California · 1 listed address
- 708 Montgomery Street, San FranciscoHQ
North Carolina · 1 listed address
- 714 Oakland St., Hendersonville
South Carolina · 1 listed address
- 113 Whitsett Street, Greenville
Texas · 1 listed address
- 4324 Mapleshade Lane, Suite 131, Plano
Other business names
Delta Investment Management has reported 3 other business names to the SEC.
- Integrated Financial Solutions Group
- Northstar Financial & Retirement Planning, LLC
- Ura Group Az L.L.C.
Contact and registration details
- Legal name
- Delta Investment Management, LLC
- Headquarters
- 708 Montgomery Street, San Francisco, CA 94111
- Website
- deltawealthaz.com
- Phone
- 415-249-6337
- @delta-investment-management
- SEC file
- 801-114006
- Structure
- California LLC
- Fiscal year end
- December
Delta Investment Management uses Charles Schwab ($844M) as custodian for its separately managed accounts. Delta Investment Management has custody of $263M in client assets for 701 clients.
- Charles SchwabCharles Schwab & Co., Inc. · El Paso, TX · $844M100%
At year end, Delta Investment Management’s separately managed accounts were mostly in stocks (83%) and funds (11%). Its reported 13F holdings for the quarter ended 30 June 2026 total $608M across 293 positions; the largest are Pimco ETF TR (9.3%), Innovator ETFS Trust (3.5%) and Microsoft Corp. (3.4%).
What the accounts hold
- Stocks83%
- Exchange-traded equities77%
- Non-exchange-traded equities6%
- Funds11%
- Registered funds6%
- Pooled vehicles5%
- Bonds1%
- Cash3%
- Other2%
- Structured notes2%
Reported 13F holdings
- $608M
- Reported 13F value
- 293
- Positions
- 33.8%
- In the 10 largest
- +8.7%
- Value vs. prior quarter
- Pimco ETF TR · Ultr SH GO AC FD9.3%
- Innovator ETFS Trust · Quity Managd Flr3.5%
- Microsoft Corp.3.4%
- iShares TR · Core S&P500 ETF3.4%
- Apple Inc.2.9%
- Vanguard Instl Index FD · 0 3 MO TR BI ETF2.7%
- Alphabet Inc. · Cap Stk CL C2.4%
- Pimco ETF TR · Enhan Shrt MA AC2.2%
- Alphabet Inc. · Cap Stk CL A2.0%
- Listed Fds TR · Overlay Shares2.0%
Together, the ten largest are 33.8% of reported value.
How many clients does Delta Investment Management have?
Delta Investment Management has 1,099 clients and manages $857 million for them, as of April 2026. They include 934 individual clients and 165 high-net-worth individuals.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 17 April 2026
What services does Delta Investment Management offer?
Delta Investment Management provides financial planning, portfolio management for individuals and small businesses, and insurance.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4
Which custodians does Delta Investment Management use?
Delta Investment Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (El Paso, TX), with $844M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 17 April 2026
How many financial advisors does Delta Investment Management have?
Delta Investment Management has 25 investment adviser representatives registered with state securities authorities, out of 25 employees, and 25 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 11 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
What does Delta Investment Management invest in?
At the end of its last fiscal year, Delta Investment Management’s separately managed accounts held 77% exchange-traded equities, 6% non-exchange-traded equities, 6% registered funds (mutual funds, ETFs, BDCs), 5% pooled vehicles (private funds and similar), 3% cash and equivalents, 2% other and 1% U.S. government and agency bonds. The 2% other category is described as: Structured Notes.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Delta Investment Management?
Delta Investment Management’s direct owners are Nicholas Atkeson (50% to 75%) and Andrew Houghton (50% to 75%).
Source: Form ADV Part 1A, Schedules A and B, filed 17 April 2026
How does Delta Investment Management get paid?
Delta Investment Management is paid through a percentage of assets under management. 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
How do I contact Delta Investment Management?
Delta Investment Management’s main office is at 708 Montgomery Street, San Francisco, CA 94111. Its phone number is 415-249-6337. Its website is deltawealthaz.com.