DLK INVESTMENT MANAGEMENT

RIASEC RegisteredEst. 2009

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 registered investment adviser organized as an LLC and SEC-registered since 2009. The firm serves both individual and family clients as well as institutional and business clients, delivering financial planning and portfolio management for individuals, small businesses, and institutions. Compensation arrangements include percentage-of-AUM fees as well as hourly and fixed-fee engagements. The firm does not identify as an active ESG investor and is not described as a multi-state adviser or a pension consultant.

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

THOMAS BRENNER
Financial AdvisorCRD 4458594
THEODORE KAY
Managing PartnerCRD 5643664
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, in the West of the United States.

Region: West
County: SAN DIEGO
Address: 238 N Cedros Ave
Time zone: PT (UTC-8)
Office locations

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