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Dow Barton

Delta Investment Management, LLC
24 Years of Experience
Greenville, SC
Sells Insurance
View SEC Summary
View SEC Summary

Dow Barton is a registered investment advisor at Delta Investment Management, LLC, based in Greenville, SC, with 24 years of industry experience. Dow operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Alternative Investments, Investment Management, Retirement Planning. Their firm serves 1,099 clients with $860M in assets under management.

Delta Investment Management, LLC
Compensation
Fee-Only (% of Portfolio)
Firm Size
26 advisors
Number of Clients
1,099 clients
Average Client Portfolio
$780K average
Assets Under Management
$856.7M

Fee Structure

Minimum Investment:$50K
Planning is included in investment management
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any1.85%

Fees range from 1.00% to 1.85% based on the scope and complexity of services, account size, use of third-party strategies, and account history. Fees are negotiable in limited circumstances.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

113 Whitsett Street, Greenville, SC, 29601

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business ActivitiesSells Insurance

Dow is an insurance agent and Medicare consultant. He spends about a quarter of his time (20 hours during trading hours) advising and enrolling clients in Medicare plans, and nearly full-time (90 hours during trading hours) as a self-employed insurance agent.

Employment History
Current Registrations
Delta Investment Management, LLC
November 2021 - Present · 4 yrs 11 mos
Previous Registrations
Allstate Financial Services, LLCBroker
July 2018 - May 2019 · 10 mos
Secure Investment Management, LLC
May 2016 - May 2018 · 2 yrs
J.P. Turner & Company, L.L.C.Broker
December 1999 - December 2000 · 1 yr
Sunpoint Securities, INC.Broker
August 1998 - November 1999 · 1 yr 3 mos
Guardian Investor Services CorporationBroker
April 1994 - August 1998 · 4 yrs 4 mos
Robert W. Baird & CO. IncorporatedBroker
August 1992 - March 1994 · 1 yr 7 mos
Northwestern Mutual Investment Services, INC.Broker
November 1983 - March 1994 · 10 yrs 4 mos
State Registrations1 state
SC
Advisor

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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