Fee-only adviser · New York, NY
Spring Delta Asset Management, LLC
Spring Delta Asset Management, LLC is a fee-only investment adviser registered with the securities regulators of New York, Texas, with its main office in New York, New York. On its latest Form ADV, filed October 7, 2026, it reports $15M in regulatory assets under management, 55 individual clients and 1 employee who gives investment advice. It reports no commission compensation, is not registered as a broker-dealer and does not act as an insurance agent.
Key facts from Form ADV
| Registration | State-registered: New York, Texas |
|---|---|
| Firm CRD number | 307539 |
| Office | 125 Park Avenue 25th Floor New York, NY 10017 |
| Phone | (212) 960-8382 |
| Website | www.springdelta.com |
| Regulatory assets under management | $15M |
| Individual clients | 41 non-high-net-worth, 14 high-net-worth |
| Financial planning clients | Not reported |
| How it charges | Percentage of assets, Other |
| Services | Portfolio management, Pension consulting |
| Employees | 1 |
| Disciplinary disclosures | None reported |
| Latest Form ADV filing | October 7, 2026 |
Source: the firm’s Form ADV Part 1A as published by the SEC’s Investment Adviser Public Disclosure database, data as of November 6, 2026. Figures are self-reported by the firm.
What this means for you
- It also charges a percentage of assets managed for ongoing investment management.
- Most of its individual clients are not high-net-worth, so it is likely to work with people who are still building assets.
- It sponsors or manages a wrap fee program; ask what the bundled fee covers.
- It reports no disciplinary history on Form ADV.
Before you hire any adviser
Read the firm’s Form ADV Part 2 brochure on its SEC record: it sets out fees, minimums, conflicts of interest and who will manage your money. Ask whether the firm acts as a fiduciary for all of your accounts, how it is paid in total, and who holds your assets. Our guide to choosing a financial adviser lists the questions to ask.
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