# Delta Capital Management, LLC

> 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.

- CRD: 128350
- Filed as: DELTA CAPITAL MANAGEMENT, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Maitland, FL
- Filing period: October 2026
- Form ADV filing dated: March 31, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/128350
- AdvisorCensus page: https://advisorcensus.com/firm/delta-capital-management-llc-maitland-fl-128350

## Quick answers

**How is Delta Capital Management, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Delta Capital Management, LLC reports these compensation arrangements: a percentage of assets under its management.

**How much does Delta Capital Management, LLC charge?**
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.

**Where is Delta Capital Management, LLC located?**
Delta Capital Management, LLC's principal office is in Maitland, FL, according to its Form ADV.

**Is Delta Capital Management, LLC registered with the SEC or a state?**
Delta Capital Management, LLC is an SEC-registered investment advisory firm, registered since 2020. Status as filed: Approved. CRD 128350.

**How much does Delta Capital Management, LLC manage?**
Delta Capital Management, LLC reports $277,361,855 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (0% discretionary).

**How have Delta Capital Management, LLC's assets and staff changed since 2021?**
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.

**What types of clients does Delta Capital Management, LLC serve?**
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).

**Does Delta Capital Management, LLC report any disciplinary disclosures?**
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

**Does Delta Capital Management, LLC state an account minimum?**
Its Form ADV Part 2A brochure dated March 31, 2026 says: "DCM does not have a minimum account size."

**What changed in Delta Capital Management, LLC's recent Form ADV filings?**
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%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Fees and minimums (Form ADV Part 2A brochure dated March 31, 2026)

- Asset-based fee: up to 1% of assets a year (the maximum the brochure states)

> DCM charges a fee of up to 1% of plan assets annually to be paid quarterly in arrears as indicated on the advisory contract.

- Account minimum: None

> DCM does not have a minimum account size.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Regulatory assets under management (Item 5.F)
- Total: $277,361,855
- Discretionary: $0
- Non-discretionary: $277,361,855

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 108 | $277,361,855 |

### Advisory services (Item 5.G)
- Pension consulting services

### Firm details
- Registered since: 2020 (6 years)
- Employees: 9 total, 6 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: FL
- Disclosures (Item 11): Reports 6 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.D(2): 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?
- 11.D(3): 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?
- 11.D(5): 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?
- 11.E(2): 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?
- 11.E(3): 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?
- 11.E(4): 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?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/128350

### Websites listed on Form ADV (Item 1.I)
- deltaadvisor.com
- Facebook @DELTA-CAPITAL-MANAGEMENT-263058940550406

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $173,711,254 | 13 | February 26, 2021 |
| October 2022 | $212,237,614 | 12 | March 31, 2022 |
| October 2023 | $202,000,000 | 7 | May 1, 2023 |
| October 2024 | $220,000,000 | 7 | April 1, 2024 |
| October 2025 | $248,375,866 | 8 | March 31, 2025 |
| October 2026 | $277,361,855 | 9 | March 31, 2026 |

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.

## Changes in the filing (last 12 months)

### April 2026
- Employees performing advisory functions went from 5 to 6.
- Regulatory assets under management went from $248,375,866 to $277,361,855 (+12%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Delta Capital Management, LLC (CRD 128350): Form ADV filing data as of October 2026.