D
Delta & Gamma Capital Management LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$7,877,442
This total excludes 5 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
17
100% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
17
LowAverage account size
$463,379
About
Delta & Gamma Capital Management LLC is a small independent advisory firm that provides portfolio management and financial planning services to a limited roster of clients with roughly $10.5 million in assets under management. The firm works with high‑net‑worth individuals and employer‑sponsored retirement plans, and does not generally serve individual non‑HNW retail clients.
The firm typically charges fees based on a percentage of assets under management but also accepts performance‑based fee arrangements for certain accounts, and its investment work is informed by advanced professional training (the adviser holds the CFA charter). Investment advice integrates wealth‑planning considerations and insurance solutions, reflecting the adviser’s background in financial planning and life‑insurance firms.
Noteworthy features include the use of performance‑based fees and active relationships with pension or profit‑sharing plan clients, both of which are uncommon among similar independent firms. The adviser is a licensed insurance agent and the firm discloses the potential conflict from selling commissionable insurance products; the brochure reports no material legal or disciplinary events and internal supervision is handled by the firm’s compliance officer.
Client services
Financial planning
Portfolio management
Expertise
Wealth management
Fee options
Commission paid on insurance products sold by the licensed insurance agent
Main office location
Delta & Gamma Capital Management LLC
1120 Ave Of Americas, 4 Th Fl
New York NY 10036, United States
Number of offices
1
Most active in
Delta & Gamma Capital Management LLC has reported serving >5 clients in these states in the last 12 months.
New York
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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