Delta Capital Management, LLC
Registered investment adviser · Maitland, FL · CRD #128350
Form ADV data as of 2026-09-01Regulatory assets
$277.4 million
Total accounts
108
Employees
9
Disclosure events
6
Firm details
- Website: http://www.deltaadvisor.com/
- Telephone: 407-422-2423
- SEC file number: 801-118594
- Most recent Form ADV filing: 2026-03-31
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm reports 6 disclosure questions answered Yes, covering 6 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.
- Another regulator found a violation of investment-related regulations or statutes
- Another regulator found the firm caused a business to lose or have its authorization restricted
- Another regulator denied, suspended, or revoked a registration or restricted activity
- A self-regulatory organization found a violation of its rules
- A self-regulatory organization found the firm caused a business to lose or have its authorization restricted
- A self-regulatory organization expelled, suspended, barred, or restricted the firm
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $0 |
| Non-discretionary regulatory assets under management | $277.4 million |
| Total regulatory assets under management | $277.4 million |
| Discretionary accounts | 0 |
| Non-discretionary accounts | 108 |
| Total accounts | 108 |
| Regulatory assets under management attributable to non-U.S. persons | $0 |
People
| Total employees (excluding clerical) | 9 |
| Employees performing investment advisory functions (including research) | 6 |
| Employees who are registered representatives of a broker-dealer | 0 |
| Employees registered as investment adviser representatives with a state | 6 |
| Employees registered as IARs for another investment adviser | 3 |
| Employees who are licensed insurance agents | 3 |
| Firms or persons who solicit advisory clients on the firm's behalf | 0 |
Custody
| Has custody of client cash or bank accounts | No |
| Has custody of client securities | No |
| A related person has custody of client cash or bank accounts | No |
| A related person has custody of client securities | No |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
How the firm is compensated
Advisory services offered
Affiliated related persons
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Recommends brokers or dealers to clients
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Pension and profit sharing plans (not the participants or government plans) | 108 | $277.4 million |