{ "crd_number": 128350, "slug": "delta-capital-management-llc-maitland-fl-128350", "primary_business_name": "DELTA CAPITAL MANAGEMENT, LLC", "legal_name": "DELTA CAPITAL MANAGEMENT, LLC", "dbas": [], "city": "Maitland", "state": "FL", "country": "United States", "cbsa_code": "36740", "metro": { "cbsa_code": "36740", "common_name": "Orlando", "msa_name": "Orlando-Kissimmee-Sanford, FL", "path": "/advisors/fl/orlando" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2020-04-30", "years_registered": 6, "period": "2026-10-01", "filing_date": "2026-03-31", "carried_forward": false, "raum_total": 277361855.0, "raum_discretionary": 0.0, "raum_non_discretionary": 277361855.0, "raum_band": "100m_500m", "raum_band_label": "$100 million to $500 million", "total_employees": 9, "advisory_employees": 6, "client_count_bucket": null, "clients_by_type": { "pension_profit_sharing": { "raum": 277361855.0, "count": 108 } }, "compensation_types": [ "percentage_of_aum" ], "advisory_activities": [ "pension_consulting" ], "wrap_fee_participant": false, "disclosure_yes_count": 6, "states_registered": [ "FL" ], "websites": [ "https://deltaadvisor.com", "https://facebook.com/DELTA-CAPITAL-MANAGEMENT-263058940550406" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/128350", "disclosure_items": [ { "item": "11.D(2)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?" }, { "item": "11.D(3)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?" }, { "item": "11.D(5)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?" }, { "item": "11.E(2)", "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?" }, { "item": "11.E(3)", "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was the cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?" }, { "item": "11.E(4)", "question": "Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?" } ], "city_as_filed": "MAITLAND", "url": "https://advisorcensus.com/firm/delta-capital-management-llc-maitland-fl-128350", "display_name": "Delta Capital Management, LLC", "summary": "Delta Capital Management, LLC is an SEC-registered investment advisory firm in Maitland, FL, registered since 2020, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 31, 2026.", "citation": "AdvisorCensus. Delta Capital Management, LLC (CRD 128350): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management" ], "advisory_activity_labels": [ "Pension consulting services" ], "quick_answers": [ { "q": "How is Delta Capital Management, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Delta Capital Management, LLC reports these compensation arrangements: a percentage of assets under its management." }, { "q": "What does Delta Capital Management, LLC's brochure say about its fees?", "a": "Its Form ADV Part 2A brochure dated March 31, 2026 states: Asset-based fee: up to 1% of assets a year (the maximum the brochure states). Fees can differ by service and may be negotiable; the brochure is the complete statement." }, { "q": "Where is Delta Capital Management, LLC located?", "a": "Delta Capital Management, LLC's principal office is in Maitland, FL, according to its Form ADV." }, { "q": "Is Delta Capital Management, LLC registered with the SEC or a state?", "a": "Delta Capital Management, LLC is an SEC-registered investment advisory firm, registered since 2020. Status as filed: Approved. CRD 128350." }, { "q": "How much does Delta Capital Management, LLC manage?", "a": "Delta Capital Management, LLC reports $277,361,855 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (0% discretionary)." }, { "q": "How have Delta Capital Management, LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for Delta Capital Management, LLC: Regulatory assets under management: $173,711,254 in the October 2021 data and $277,361,855 in the October 2026 data, up 60%. Total employees: 13 in October 2021 and 9 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Delta Capital Management, LLC serve?", "a": "By number of clients on Form ADV Item 5.D: pension and profit sharing plans (but not the plan participants or government pension plans) (108)." }, { "q": "Does Delta Capital Management, LLC report any disciplinary disclosures?", "a": "Reports 6 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation), 11.D(3) (another regulator's finding of causing a business's authorization to be denied, suspended, revoked, or restricted), 11.D(5) (another regulator's denial, suspension, or revocation of a registration or license, bar, or restriction), 11.E(2) (self-regulatory organization's finding of a rule violation), 11.E(3) (self-regulatory organization's finding of causing a business's authorization to be denied, suspended, revoked, or restricted), and 11.E(4) (self-regulatory organization's expulsion, suspension, bar, or restriction). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/128350" }, { "q": "Does Delta Capital Management, LLC state an account minimum?", "a": "Its Form ADV Part 2A brochure dated March 31, 2026 says: \"DCM does not have a minimum account size.\"" }, { "q": "What changed in Delta Capital Management, LLC's recent Form ADV filings?", "a": "In the April 2026 filing data: Employees performing advisory functions went from 5 to 6. Regulatory assets under management went from $248,375,866 to $277,361,855 (+12%)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 173711254.0, "total_employees": 13, "filing_date": "2021-02-26" }, { "period": "2022-10-01", "regulatory_assets_under_management": 212237614.0, "total_employees": 12, "filing_date": "2022-03-31" }, { "period": "2023-10-01", "regulatory_assets_under_management": 202000000.0, "total_employees": 7, "filing_date": "2023-05-01" }, { "period": "2024-10-01", "regulatory_assets_under_management": 220000000.0, "total_employees": 7, "filing_date": "2024-04-01" }, { "period": "2025-10-01", "regulatory_assets_under_management": 248375866.0, "total_employees": 8, "filing_date": "2025-03-31" }, { "period": "2026-10-01", "regulatory_assets_under_management": 277361855.0, "total_employees": 9, "filing_date": "2026-03-31" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Employees performing advisory functions went from 5 to 6.", "Regulatory assets under management went from $248,375,866 to $277,361,855 (+12%)." ] } ], "fees_from_brochure": { "source": "Form ADV Part 2A brochure dated March 31, 2026", "tiers": [], "flat_rate": null, "stated_range": null, "stated_maximum": "1% of assets a year", "account_minimum": "None", "account_minimum_may_be_waived": false, "minimum_annual_fee": null, "figures": [ { "label": "Asset-based fee", "statements": [ "Asset-based fee: up to 1% of assets a year (the maximum the brochure states)" ], "quotes": [ "DCM charges a fee of up to 1% of plan assets annually to be paid quarterly in arrears as indicated on the advisory contract." ] }, { "label": "Account minimum", "statements": [ "Account minimum: None" ], "quotes": [ "DCM does not have a minimum account size." ] } ], "quotes": [ "DCM charges a fee of up to 1% of plan assets annually to be paid quarterly in arrears as indicated on the advisory contract.", "DCM does not have a minimum account size." ], "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable." }, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/delta-capital-management-llc-maitland-fl-128350.md", "clients": [ { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": 108, "fewer_than_5": false, "raum": 277361855.0 } ], "disclosure_line": "Reports 6 disclosure items on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/128350", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }