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DM
DM

Drew a Marchitello

Delta Investment Management, LLC
34 Years of Experience
5 Disclosures
View SEC Summary
View SEC Summary
Areas of Practice
Investment ManagementFinancial Planning & CoachingRetirement Planning
Delta Investment Management, LLC
Compensation
Fee-Only (AUM)
Firm Size
24 advisors
Number of Clients
1,212 clients
Average Client Portfolio
$636K average
Assets Under Management
$770.8M

Fee Structure

Minimum Investment:$50K
Financial Planning:Included in AUM fee

Location

West Sacramento, CA

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History

Regulatory History (5)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
May 2021
Customer Dispute
October 2020
Settled
Financial
April 2016
Final
Employment Separation After Allegations
May 2004
Criminal
December 1999
Final Disposition
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Delta Investment Management, LLC
April 2024 - Present · 1 yr 10 mos
Previous Registrations
Perigon Wealth Management, LLC
July 2021 - March 2024 · 2 yrs 8 mos
J.P. Morgan Securities LLCBroker
October 2012 - May 2021 · 8 yrs 7 mos
J.P. Morgan Securities LLC
October 2012 - May 2021 · 8 yrs 7 mos
Chase Investment Services CORP.Broker
July 2005 - October 2012 · 7 yrs 3 mos
Chase Investment Services CORP.
July 2005 - October 2012 · 7 yrs 3 mos
Banc One Securities CorporationBroker
November 2004 - July 2005 · 8 mos
Banc One Securities Corporation
November 2004 - July 2005 · 8 mos
Allstate Financial Services, LLCBroker
September 2004 - November 2004 · 2 mos
PNC Investments
January 2004 - May 2004 · 4 mos
PNC InvestmentsBroker
January 2004 - May 2004 · 4 mos
Hilliard Lyons Asset Management
June 2003 - January 2004 · 7 mos
J.J.B. Hilliard, W.L. Lyons, INC.Broker
June 2002 - January 2004 · 1 yr 7 mos
PNC Brokerage CORPBroker
May 2001 - June 2002 · 1 yr 1 mo
Raymond James Financial Services, INC.Broker
July 1999 - May 2001 · 1 yr 10 mos
The Dreyfus Service CorporationBroker
May 1998 - July 1999 · 1 yr 2 mos
Lincoln Financial Advisors CorporationBroker
June 1994 - June 1998 · 4 yrs
The Lincoln National Life Insurance CompanyBroker
June 1994 - June 1998 · 4 yrs
Lincoln Investment Planning, INC.Broker
October 1990 - June 1994 · 3 yrs 8 mos
Royal Financial Group, INC.Broker
July 1990 - October 1990 · 3 mos
State Registrations1 state
CA
Advisor
Exams
No exam information available for this advisor.