{"url":"https://nivawealth.com/firms/delta-wealth-management-111368","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/111368","regulatoryAum":522450532,"crd":"111368","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"1082264","suffix":null,"lastName":"BOOTH","firstName":"PAUL","middleName":"DOUGLAS"}],"total":1,"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":"2021-02-02","regulatoryAum":376710971,"clients":62,"employees":2,"offices":1},{"filedOn":"2022-02-17","regulatoryAum":474760435,"clients":43,"employees":2,"offices":1},{"filedOn":"2023-03-02","regulatoryAum":395037345,"clients":43,"employees":2,"offices":1},{"filedOn":"2024-02-28","regulatoryAum":473020272,"clients":47,"employees":2,"offices":1},{"filedOn":"2025-03-18","regulatoryAum":484773497,"clients":43,"employees":2,"offices":1},{"filedOn":"2026-03-03","regulatoryAum":522450532,"clients":41,"employees":2,"offices":1}],"secFileNumber":"801-44823","legalName":"Delta Wealth Management","displayName":"Delta Wealth Management","slug":"delta-wealth-management-111368","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"California corporation","fiscalYearEnd":"December","headquarters":{"street":"","city":"","state":"","stateName":"","country":"","postalCode":null},"tradeNames":[],"registration":{"secApproved":"23 September 1993","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":2,"advisory":1,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":522450532,"discretionary":522450532,"discretionaryAccounts":188,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":null,"fewerThan5":true,"regulatoryAum":977994},{"label":"High-net-worth individuals","clients":34,"regulatoryAum":362472236},{"label":"Pension and profit-sharing plans","clients":null,"fewerThan5":true,"regulatoryAum":2679604},{"label":"Charitable organizations","clients":7,"regulatoryAum":156287335},{"label":"Corporations and other businesses","clients":null,"fewerThan5":true,"regulatoryAum":33363}],"feePrograms":[{"role":"main","program":"Advisory Fees","feeBasis":"marginal","fee_tiers":[{"to":5000000,"pct":0.5,"from":0},{"to":null,"pct":0.25,"from":5000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1014152","versionId":1014152,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-03-03","documentName":"DISCLOSURE DOCUMENT FOR ALL CLIENTS","fee_rate_low":0.25,"fee_rate_high":0.5,"fee_negotiable":false,"minimum_account":null,"feeMinimumPeriod":"quarterly","fee_minimum_annual":10000}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T08:28:26.346231+00:00","documents":[{"name":"DISCLOSURE DOCUMENT FOR ALL CLIENTS","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1014152","versionId":1014152,"submittedOn":"2026-03-03"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Phoenix, AZ","smaAssets":522450532}],"custodyNote":"Delta Wealth Management has custody of $133M in client assets for 13 clients.","leadership":[{"name":"Paul Booth","title":"President/Chief Compliance Officer","crd":"1082264"},{"name":"Judith Booth","title":"Vice President","crd":"5209164"}],"ownership":[{"label":"The Booth Family Trust","detail":"Shareholder in the 75% or more ownership band and a control person, since June 2003."},{"label":"Paul Booth","detail":"Trustee in the 50% to 75% ownership band and a control person, since June 2001."},{"label":"Judith Booth","detail":"Trustee in the 50% to 75% ownership band and a control person, since June 2001."}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"209-224-8534","stateRegisteredReps":1,"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","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":28},{"label":"U.S. government/agency bonds","percent":9},{"label":"Securities issued by registered investment companies or business development companies","percent":61},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"3 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/111368/PDF/111368.pdf","brochureDate":"3 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1014152","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 Delta Wealth Management have?","answer":"Delta Wealth Management has 41 clients and manages $522 million for them, as of March 2026. They include 34 high-net-worth individuals and 7 charitable organizations.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 3 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Delta Wealth Management offer?","answer":"Delta Wealth Management provides financial planning, portfolio management for individuals and small businesses, and selecting other managers.","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 Wealth Management charge?","answer":"Delta Wealth Management charges 0.25%–0.50% a year for its Advisory Fees. Each asset band is charged at its own rate. The fee is billed in advance, is not negotiable and has a $10,000 annual minimum.","source":"DISCLOSURE DOCUMENT FOR ALL CLIENTS, filed 3 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Delta Wealth Management use?","answer":"Delta Wealth Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Phoenix, AZ), with $522M. 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 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Delta Wealth Management have?","answer":"Delta Wealth Management has 1 investment adviser representative registered with state securities authorities, out of 2 employees, and 1 perform investment advisory functions. None are registered representatives of a broker-dealer or 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 Wealth Management invest in?","answer":"At the end of its last fiscal year, Delta Wealth Management’s separately managed accounts held 61% registered funds (mutual funds, ETFs, BDCs), 28% exchange-traded equities, 9% U.S. government and agency bonds and 2% cash and equivalents.","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 Wealth Management?","answer":"Delta Wealth Management’s direct owners are the Booth Family Trust (75% or more), Paul Booth (50% to 75%) and Judith Booth (50% to 75%).","source":"Form ADV Part 1A, Schedules A and B, filed 3 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Delta Wealth Management get paid?","answer":"Delta Wealth 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":"Is Delta Wealth Management registered with the SEC?","answer":"Yes, Delta Wealth Management has been registered with the SEC as an investment adviser since 23 September 1993. Its CRD number is 111368 and its SEC file number is 801-44823.","source":"Form ADV Part 1A, Item 1, filed 3 March 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Delta Wealth Management?","answer":"Its phone number is 209-224-8534.","source":"Form ADV Part 1A, Item 1.F, filed 3 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."}