Delta Advisory Group, Inc.
- Regulatory AUM
- $216M
- Discretionary
- $216M
- Clients
- 468
- Avg AUM / client
- $462K
- Accounts
- 930
- Employees
- 8
AUM over time
Annual snapshots from Form ADV filings · as of Mar 31, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 413 | $80.8M | 37.3% |
| High net worth individuals | 55 | $135M | 62.3% |
| Corporations and other businesses | Fewer than 5 clients | $898K | 0.42% |
People (7)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Charles Clarence Smith | Chairman, President | Jan 1996 (31y) | Less than 5% | |
| Smith, Rebecca, Elliott | Limited Partner | Jan 1996 (31y) | GP / trustee / elected manager of Clarence Pelton, Ltd (indirect) | |
| Donald Carl Nestor | Senior Vice President | CFP | Jan 2006 (21y) | Less than 5% |
| Johnson, Megan, Rebecca | Chief Compliance Officer | Jan 2018 (9y) | Less than 5% | |
| Roy Francisco Miranda | Registered representative | Jul 2010 (16y) | ||
| Anthony Alexander De Luca | Registered representative | CFP | Jun 2022 (4y) | |
| Alexander Phillip Petsos | Registered representative | Aug 2022 (4y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Clarence Pelton, Ltd. | Shareholder/Owner | Jan 1996 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/31/2026 | 1.16 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Publication of periodicals or newsletters
Custody
Reported custodians
- Charles Schwab & Co. $27.9M (13% of AUM) Mar 2026
- Invesco Distributors, Inc. $894K (0% of AUM) Mar 2026
- John Hancock Distributors Llc $323K (0% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 31, 2026.
View current Form ADV (SEC/IAPD) ↗