Howard B. Aschwald

DELTA INVESTMENT MANAGEMENT

San Francisco, CA

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CRD#: 1080548

Professional summary

Howard Bernard Aschwald JR, CFA, who also goes by Howard Bernard Aschwald, is a registered financial advisor currently at DELTA INVESTMENT MANAGEMENT, LLC located in San Francisco, California.

Howard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Howard has worked at 6 firms and has passed the Series 63, Series 7 and Series 22 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Howard Bernard Aschwald

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Howard Bernard Aschwald JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CRD#: 7556

Past

December 15, 1982 - February 8, 1983

APEX FINANCIAL PLANNERS CORP.

CRD#: 6375

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

DELTA INVESTMENT MANAGEMENT, LLC

CRD#: 149596 / SEC#: 801-114006

RIA

Registered Investment Advisory firm - (9/19/2018 Approved)

California

Registered Investment Advisory firm - (11/13/2018 Terminated)

Colorado

Registered Investment Advisory firm - (10/26/2018 Terminated)

Illinois

Registered Investment Advisory firm - (9/19/2018 Terminated)

Nevada

Registered Investment Advisory firm - (11/29/2018 Terminated)

Texas

Registered Investment Advisory firm - (10/14/2018 Terminated)

Washington

Registered Investment Advisory firm - (10/21/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(4/1/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 5/4/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/16/1983

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 12/14/1982

Direct Participation Programs Representative Examination

Current Firm

DELTA INVESTMENT MANAGEMENT, LLC

CRD#: 149596 / SEC#: 801-114006

RIA

Registered Investment Advisory firm - (9/19/2018 Approved)

California

Registered Investment Advisory firm - (11/13/2018 Terminated)

Colorado

Registered Investment Advisory firm - (10/26/2018 Terminated)

Illinois

Registered Investment Advisory firm - (9/19/2018 Terminated)

Nevada

Registered Investment Advisory firm - (11/29/2018 Terminated)

Texas

Registered Investment Advisory firm - (10/14/2018 Terminated)

Washington

Registered Investment Advisory firm - (10/21/2018 Terminated)

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Contact information

Main Address

708 Montgomery Street, San Francisco, CA 94111

Mailing Address

204 E. 2nd Avenue, #906, San Mateo, CA 94401

Phone number

(415) 249-6337

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (23 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE (6/13/2025)

BROCHURE SUPPLEMENT - ANDREW HOUGHTON (6/13/2025)

BROCHURE SUPPLEMENT - NICHOLAS ATKESON (6/13/2025)

Regulatory assets under management

Total Number of Accounts	2,625
AUM (Assets Under Management)	$ 770,787,222

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Howard B. Aschwald

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Howard Bernard Aschwald JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

LIDO

QUANTUM CAPITAL MANAGEMENT

QUANTUM CAPITAL MANAGEMENT

QUANTUM CAPITAL MANAGEMENT CO

MORGAN STANLEY DW INC.

APEX FINANCIAL PLANNERS CORP.

Primary Firm SEC Registration

DELTA INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/4/1983

Series 7

Date: 4/16/1983

Series 22

Date: 12/14/1982

Current Firm

DELTA INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (23 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DELTA INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

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