DLK Investment Management
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
FINTRXOverview
DLK Investment Management is an independent registered investment adviser formed as an LLC and SEC-registered since 2009. The firm is individually owned and serves both high-net-worth individuals and families as well as institutional clients. Core services include financial planning and portfolio management for individuals, small businesses and larger business or institutional clients. Fee arrangements are flexible and include percentage-of-AUM billing alongside hourly and fixed-fee engagements. The firm does not identify as an active ESG investor and is not described as a capital allocator or pension consultant.
Assets & Accounts
Public Holdings
Investments & Alternatives
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient 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
Portfolio Management and ResearchCRD 5643664
Brian Johnson
Portfolio ManagementCRD 4510220
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 23Active vs passive
$35.2M in ETFs
100%
$35.2M
0%
$0
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| STATE STREET(R) SPDR(R) PORTFOLIO SHORT TERM CORPORATE BOND ETF (SPSB) | State Street | Passive | Short Term Bond | $8.9M | 300,295 | 25.35% |
Location
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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