SEC-registered wealth management firm Broker-dealer affiliated
Realta Investment Advisors, Inc
As of its Form ADV filed August 6, 2026, Realta Investment Advisors, Inc, an SEC-registered, broker-dealer affiliated wealth management firm in Wilmington, Delaware, reported $385.4 million in regulatory assets under management across 1,231 accounts, ranking #11 among all wealth firms in Delaware by assets.
Registration
- Main office
- Wilmington, DE
- Registration
- SEC-registered, Approved
- CRD number
- 134952
- SEC file number
- 801-68000
- Registered since
- June 6, 2007
- Latest Form ADV filing
- August 6, 2026
- Organized as
- Corporation
- Fiscal year ends
- December
- Other offices
- 28
Key figures
- Regulatory assets under management
- $385.4 million
- Discretionary
- $237.5 million (61.6%)
- Non-discretionary
- $147.9 million
- Accounts
- 1,231 (704 discretionary)
- Clients
- 1,231, approximate as reported
- Employees
- 61
- Advisory staff
- 54 performing investment advisory functions
- Average account
- $313,071
- Asset growth, 1 year
- 12.2% (from $343.5 million a year earlier)
- Asset growth, 3-year annual rate
- -21.0% (from $780.7 million three years earlier)
- Asset growth, 5-year annual rate
- -10.1% (from $656.6 million five years earlier)
- Client growth, 1 year
- -37.1% (from 1,958)
Broker-dealer affiliated. The firm is affiliated with a broker-dealer (Item 7.A(1)), at least half of its advisory staff are registered representatives of a broker-dealer (Item 5.B(2) against 5.B(1)), and its advisers manage less than $100 million each on average (5.F(2)(c) over 5.B(1)), the pattern of a broker-dealer's advisory arm rather than an adviser that owns a small broker-dealer. It is ranked among all wealth firms, the directory's view that includes wirehouses and broker-dealer firms, not in the main lists of independent RIAs. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among all wealth firms, including wirehouses and broker-dealer firms.
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 1, 2010 | $340.0 million |
| October 3, 2011 | $542.8 million |
| October 1, 2012 | $270.6 million |
| October 1, 2013 | $218.8 million |
| October 1, 2014 | $309.7 million |
| October 1, 2015 | $405.2 million |
| October 3, 2016 | $301.7 million |
| October 2, 2017 | $277.7 million |
| October 1, 2018 | $304.2 million |
| October 1, 2019 | $394.3 million |
| October 1, 2020 | $565.9 million |
| October 4, 2021 | $656.6 million |
| October 3, 2022 | $843.6 million |
| October 5, 2023 | $780.7 million |
| October 1, 2024 | $799.7 million |
| September 2, 2025 | $343.5 million |
| October 2, 2026 | $385.4 million |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| High net worth individuals 378 clients | $202.5 million | |
| Individuals (other than high net worth) 835 clients | $175.9 million | |
| Pension and profit sharing plans 11 clients | $6.4 million | |
| Corporations or other businesses 7 clients | $608,914 | |
| Banking or thrift institutions fewer than 5 clients | $0 | |
| Charitable organizations fewer than 5 clients | $0 | |
| State or municipal government entities fewer than 5 clients | $0 | |
| Other investment advisers fewer than 5 clients | $0 | |
| Insurance companies fewer than 5 clients | $0 | |
| Sovereign wealth funds and foreign official institutions fewer than 5 clients | $0 |
How the firm is paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Portfolio management for businesses or institutional clients
- Pension consulting
- Selection of other advisers
- Publication of periodicals or newsletters
Financial planning clients (Item 5.H): 1-10.
Wrap fee program sponsor or portfolio manager: yes.
Other business, affiliations and custody
Other business activities (Item 6.A)
None reported.
Financial industry affiliations (Item 7.A)
- Broker-dealer
- Insurance company or agency
- Sponsor or syndicator of limited partnerships
Custody (Item 9)
The firm reported custody of client cash or securities, $216.8 million in total.
Investment adviser representatives
- IARs registered with the firm
- 57
- Also registered through a broker-dealer
- 53
- Employees who are IARs (Form ADV 5.B(3))
- 60
Designations held by the firm's IARs: ChFC 3, CFP 2.
Between 17 and 28 of the firm's 57 IARs are registered in jurisdictions that require IAR CE. The source counts registrations by jurisdiction, and many IARs are registered in more than one, so the exact number is not knowable from it. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 5 disclosure questions. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in Delaware
| Firm | City | RAUM |
|---|---|---|
| HFM Investment Advisors, Inc. | Newark | $493.1 million |
| N1 Advisors | Newark | $445.5 million |
| Big Investment Services | Dover | $425.4 million |
| BDFS Capital LLC | Rehoboth Beach | $411.3 million |
| Blue Rock Financial Group | Rehoboth Beach | $381.8 million |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- Realta Investment Advisors, Inc on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.realtawealth.com
- Wealth management firms in Delaware
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.