DELTA ADVISORY GROUP, INC.
Adviser information for DELTA ADVISORY GROUP, INC. last updated from Form ADV on March 31st, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Florida, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 882 | $153.6M |
| Non-Discretionary | 0 | $0 |
| Total | 882 | $153.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 394 | $61.8M |
| HNW Individuals | 53 | $90.0M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $1.8M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPublication of periodicals or newsletters |
|---|---|
| Compensation | % of AUMHourly charges |
Identifiers
| SEC RIA File Number | 801-126783 |
|---|---|
| SEC ERA File Number | 801-126783 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 105966 |
| Legal Entity Identifier | None |
Principal Office
696 N MAITLAND AVENUEMAITLAND
FL
United States
Monday - Friday, 9:00 A.M.-4:30 P.M.
Tel: 407-331-9213, Fax: 407-331-0307
Websites
Chief Compliance Officer
MEGAN JOHNSON
696 N MAITLAND AVENUE
MAITLAND
FL
United States
Tel:
407-331-9213
Fax:
407-331-0307
M*******@****************M
(Full email address available in API data)
Regulatory Contact
CHARLES SMITH
PRESIDENT
696 N MAITLAND AVENUE
MAITLAND
FL
United States
Tel:
407-331-9213
Fax:
407-331-0307
C*****@****************M
(Full email address available in API data)
Industry Affiliates
| AEGIS WEALTH MANAGEMENT, LLC | Other investment adviser, including financial planners |
| DELTA CAPITAL MANAGEMENT, LLC | Other investment adviser, including financial planners |
| DELTA INSURANCE GROUP, LLC | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CLARENCE-PELTON, LTD. | Domestic Entity | – | SHAREHOLDER/OWNER | 01/1996 | > 75% |
| SMITH, CHARLES, CLARENCE | Individual | – | CHAIRMAN, PRESIDENT | 01/1996 | < 5% |
| NESTOR, DONALD, CARL | Individual | – | SENIOR VICE PRESIDENT | 01/2006 | < 5% |
| SMITH, CHARLES, CLARENCE | Individual | CLARENCE-PELTON, LTD | GENERAL PARTNER | 01/1996 | |
| SMITH, REBECCA, ELLIOTT | Individual | CLARENCE-PELTON, LTD | LIMITED PARTNER | 01/1996 | |
| Johnson, Megan, Rebecca | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2018 | < 5% |