DLK Investment Management

RIASEC Registered

Total AUM

$524M

Discretionary

$459M

88% of AUM

Avg account

$434K

Accounts

1,208

Employees

5

Advisory reps

6

Firm details

Headquarters: Solana Beach, California
CRD number: 149096
Registered since: January 5, 2009
Website: dlkinvest.com
Custodians: CHARLES SCHWAB & CO., INC.
Fee structure: Percentage of AUM, Hourly Charges, Fixed Fees
Client types: Individuals39.46%
Other26.86%
HNWI20.73%
Corporations / Businesses8.97%
Charitable Organizations3.81%
Services: Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional Clients

Firm profile

FINTRX

Overview

DLK Investment Management is an independent, individual-owned registered investment adviser that has been SEC-registered since 2009. The firm serves both individual and family clients as well as institutional accounts, offering financial planning and discretionary portfolio management for individuals, small businesses, and institutions. Its fee arrangements include percentage-of-AUM billing alongside hourly and fixed-fee options. DLK reports no active ESG investing program and does not identify as a capital allocator.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Read the full firm profile in FINTRX →

Investment profile

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

CRM & tech providers

TAMPs used

Clients

Client base

Client personas

Asset composition

Exchange Traded Equities75%
Non-Investment Grade Corp Bonds14%
Investment Grade Corp Bonds7%
Public Funds/Mutual Funds2%
Cash & Cash Equivalents2%

Owners & executives

1 of 1

Donald Dempster
President and COOCRD 2500548

Contacts

3 of 5

Theodore Kay
Portfolio Management and ResearchCRD 5643664
Thomas Brenner
Financial AdvisorCRD 4458594
Brian Johnson
Portfolio ManagementCRD 4510220

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Wealth teams

Newly hired reps

Recent M&A activity

Recent filings

Awards

Primary office

Solana Beach, CA

San Diego

Location

Solana Beach, CA

Headquartered in Solana Beach, CA, anchoring the San Diego-Chula Vista-Carlsbad, CA metro in the West.

Metro area: San Diego-Chula Vista-Carlsbad, CA
Region: West
County: San Diego
Address: 238 N Cedros Ave
Time zone: PT (UTC-8)
Office locations

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