De Luchi Investment Management
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
The firm provides discretionary portfolio management to individuals and high‑net‑worth individuals, preparing an Investment Policy Statement for each client and focusing on mutual funds, fixed income, equities, REITs, ETFs (including precious‑metals ETFs), treasury inflation‑protected securities and selected non‑U.S. securities. It does not participate in wrap fee programs or delegate management to third‑party advisers, and clients are responsible for custodial and transaction costs charged by their broker‑dealer.
The investment approach centers on fundamental analysis and a long‑term trading horizon, with the adviser documenting risk tolerance and objectives in each client’s Investment Policy Statement and conducting at least quarterly account reviews and custodial reporting. The adviser generally operates with discretionary trading authority to implement the strategy without pre‑trade client approval.
Compared with many peers, the firm manages a relatively large amount of assets for a small number of clients, reflecting concentrated, high‑balance relationships and a standardized service offering that does not accommodate client‑imposed investment restrictions based on values or beliefs. The firm requires clients to use a specific institutional custodian (Schwab Institutional), may receive custodial research and other soft‑dollar benefits, does not aggregate trades for multiple client accounts, and discloses that supervised persons may accept outside compensation for sales of certain investment products — all items that can affect trade execution and present potential conflicts of interest.
Client services
Expertise
Fee options
Fixed annual fees for supervisory services may be agreed upon based on the complexity of client circumstances
0.50% annually
Supervised persons may accept commissions from the sale of mutual funds to clients; commissions are not the firm's primary source of advisory fees
Minimum fee: Clients may agree to pay a fixed annual fee based on individual circumstances; fees are negotiable and agreed upon prior to contract
Main office
Alameda CA
Advisors at this office
1
Most active in
California
Also doing business as
De Luchi Investment Management · De Luchi, Stephen Frank
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
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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