Dlk Investment Management, LLC (Solana Beach)


Dlk Investment Management, LLC is a large advisory firm based in Solana Beach. It manages $137.12 million of regulatory assets for 267 client accounts. It has been registered with the SEC as an adviser since 2008 and has operated in the jurisdictions of Arizona, California, Louisiana, Texas, and Washington.

Dlk Investment Management provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, and educational seminars and workshops. It prepares financial plans for less than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Dlk Investment Management: assets under management

The assets under management (AUM) of Dlk Investment Management, LLC is $137.12 million. The firm's AUM has grown by 9694% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $122.18 million in discretionary accounts and $14.94 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $494.66 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $746.83 thousand.

Investments

The firm invests in exchange traded securities the most. They account for 69% of the total AUM. The second-largest asset type is investment grade corporate bonds, which make up 11% of the firm’s portfolio. Investments in non-investment grade corporate bonds form 8% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Dlk Investment Management, LLC for their services and products based on a percentage of assets under management and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Dlk Investment Management serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Dlk Investment Management is high net worth individuals with 26 clients and $75.89 million of assets under management. Among the 6 most similar advisory firms, Dlk Investment Management has the 3rd lowest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $137.12 million for 117 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Dlk Investment Management doesn't advise any private funds.

Careers at Dlk Investment Management, LLC

The company employs 6 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 5 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Donald Ogden Dempster Managing member, chief compliance officer 1 Nov 2008 75% - 100% 2500548
Donald Ogden Dempster President & cco 1 Jan 2009 Other 2500548
Theodore Jonah Kay Cio 1 Feb 2009 Other 5643664
Theodore Johnah Kay Managing member 1 Feb 2009 25% - 50% 5643664
Charles George King Portfolio manager 1 Jan 2010 Other 2345920
Robert William Armstrong Managing director 1 Nov 2011 Other 5895953
Brian Stewart Johnson Chief compliance officer 1 Mar 2012 Other 4510220
Andesite Investment Partners Member 1 Mar 2012 25% - 50% 80-0679638
Donald Ogden Dempster Ceo & cco 1 Sep 2012 25% - 50% 2500548
Llc Alpha Cubed Investments Member 1 Aug 2014 25% - 50% 159347
Steven Brett Alexson Manager 1 Aug 2014 Other 3104828
Todd Randall Walsh Manager 1 Aug 2014 Other 1571625
Peter James Johnson Member 1 Aug 2016 25% - 50% 1331112

Indirect Owners

The SEC currently registers 4 indirect owners.

Name Entity Date acquired Ownership Employer ID
Robert William Armstrong Managing member 1 Dec 2010 50% - 75% 5895953
Llc Cappetta Captial Group Member 1 Dec 2010 50% - 75% 90-0653296
Steven Brett Alexson Managing member 1 Oct 2011 50% - 75% 3104828
Todd Randall Walsh Managing member 1 Jun 2012 50% - 75% 1571625

Based in Solana Beach

The principal office where Dlk Investment Management, LLC performs its advisory services is located at Suite 200, Solana Beach, CA 92075, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 858.433.3200 or by fax 858.433.3201. The normal business hours are by appointment on Monday - Friday. You can find more information about the New York firm at dlkinvest.com and its LinkedIn profile.