Delta Investment Management, LLC

RIASEC RegisteredEst. 2018
Total AUM
$857M
Discretionary
$857M
100% of AUM
Avg account
$348K
Accounts
2,459
Employees
25
Advisory reps
26

Firm details

Headquarters
San Francisco, California
CRD number
149596
Registered since
September 19, 2018
Website
deltaim.com
Custodians
CHARLES SCHWAB & CO., INC.
Fee structure
Percentage of AUM
Client types
  • HNWI67.08%
  • Individuals32.43%
  • Charitable Organizations0.49%
Services
Financial PlanningPortfolio Management for Individuals

Firm profile

FINTRX

Overview

Delta Investment Management, LLC is an independent, SEC-registered registered investment adviser formed as an LLC in 2018 and owned by an individual. The firm advises individuals, families and small-business clients, providing financial planning and portfolio management on a fee-for-assets basis. Delta does not position itself as an ESG-focused manager and reports providing primarily traditional advisory services rather than pension consulting or capital allocation functions.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Read the full firm profile in FINTRX →

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 77%, Non-Exchange Traded Equities 6%, Public Funds/Mutual Funds 6%, Private Funds 5%, Cash & Cash Equivalents 3%, Other 2%, US Government Bonds 1%77%
  • Exchange Traded Equities77%
  • Non-Exchange Traded Equities6%
  • Public Funds/Mutual Funds6%
  • Private Funds5%
  • Cash & Cash Equivalents3%

Owners & executives

1 of 1
  • George Fossing

    George Fossing

    President, CEOCRD 5902032

Contacts

3 of 25
  • Steven Mallory

    Steven Mallory

    Wealth ManagementCRD 7028370

  • Zachary Jenkins

    Zachary Jenkins

    Investment Advisor RepresentativeCRD 6221420

  • John Kieber

    John Kieber

    OwnerCRD 6379711

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Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 115

Active vs passive

$364M in ETFs

Passive

30%

$108M

Active

57%

$256M

ETFProviderStyleCategoryValueShares% of portfolio
PIMCO ULTRA SHORT GOVERNMENT ACTIVE EXCHANGE-TRADED FUND (BILZ)PIMCOActiveUltrashort Bond$56.4M559,11315.50%
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Location

Primary office

San Francisco, CA

San Francisco

Location

San Francisco, CA

Headquartered in San Francisco, CA, anchoring the San Jose-San Francisco-Oakland, CA metro in the West.

Metro area
San Jose-San Francisco-Oakland, CA
Region
West
County
San Francisco
Address
708 Montgomery St
Time zone
PT (UTC-8)
Office locations

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