DFX Intelligence

Data Factory

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

DLK INVESTMENT MANAGEMENT

CRD 149096

SOLANA BEACH, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:d8f01cf8-11ad-d481-73c4-720ba7ed4bf4

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 1
On other graphs: 0
Observed: Mar 30, 2012 to Mar 30, 2026
38 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.6 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $524MItem 5.F on the latest filing (2026-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $459M
Private client RAUM: $315MderivedItem 5.D individuals plus high net worth individuals
Private client share: 60%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $105Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 5
Advisory employees: 5
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 1,208
Individual clients: 402
High net worth clients: 31
Custody, client assets: $0
SEC number: 801-69825
CRD: 149096
Filings on the tape: 38
First filed: Mar 30, 2012
Latest filed: Mar 30, 2026
Organised: Limited Liability Company, CA

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
BRIAN STEWART JOHNSON	n/a	SOLANA BEACH, CA	14	24	2	no
THEODORE JONAH KAY	n/a	SOLANA BEACH, CA	13	17	1	no
DONALD OGDEN DEMPSTER	Chartered Financial Analyst	MERCER ISLAND, WA \| SOLANA BEACH, CA	12	31	1	no
THOMAS SCOTT BRENNER	n/a	SOLANA BEACH, CA	7	24	2	no
MARK ANTHONY HALBY	Certified Financial Planner	SOLANA BEACH, CA	7	18	2	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
DEMPSTER, DONALD, OGDEN	PRESIDENT & CCO	B	yes	01/2009	Mar 30, 2012	Dec 18, 2024
JOHNSON, PETER, JAMES	Member	C	yes	08/2016	Mar 31, 2017	Dec 18, 2024
KAY, THEODORE, JONAH	Cio	B	yes	02/2009	Mar 30, 2012	Dec 18, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 30, 2026	$524M	$459M	5	5	1	n/a	n/a
2024	Mar 20, 2025	$435M	$385M	7	6	1	n/a	n/a
2023	Mar 29, 2024	$348M	$317M	6	6	1	n/a	n/a
2022	Mar 30, 2023	$292M	$267M	6	6	1	n/a	n/a
2021	Mar 22, 2022	$351M	$320M	5	5	0	n/a	n/a
2020	Mar 30, 2021	$266M	$239M	5	5	0	n/a	n/a
2019	Mar 30, 2020	$213M	$189M	6	6	0	n/a	n/a
2018	Mar 29, 2019	$137M	$122M	7	6	0	n/a	n/a
2017	Mar 29, 2018	$145M	$121M	5	4	0	n/a	n/a
2016	Mar 31, 2017	$107M	$88.3M	5	4	n/a	n/a	n/a
2015	Mar 31, 2016	$112M	$87.2M	5	4	n/a	n/a	n/a
2014	Apr 1, 2015	$107M	$88.3M	5	4	n/a	n/a	n/a
2013	Mar 31, 2014	$119M	$93.0M	5	4	n/a	n/a	n/a
2012	Apr 1, 2013	$156M	$83.6M	8	4	n/a	n/a	n/a
2011	Mar 30, 2012	$106M	$47.1M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	1	-1	20.0%	0	0	0	0	1

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$524M	$435M	20.5%	$292M	21.5%	5	7	1	1

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
NAUTILUS ADVISORS LLC	2	Apr 2, 2019	Mar 26, 2019	SAN DIEGO, CA	Team lift out	RIA to RIA	50.0%

Relationships

Affiliated with (2)

← DLK INVESTMENT ADVISORS, LLCRegistered adviserother investment adviser, control, common control
factForm ADV
← DLK INSTITUTIONAL PARTNERSRegistered adviserother investment adviser, control, common control
factForm ADV

Registered with (7)

← THOMAS SCOTT BRENNERAdvisorregistration: current employment
Mar 26, 2019 to presentfactForm ADV
← MARK ANTHONY HALBYAdvisorregistration: current employment
Mar 26, 2019 to presentfactForm ADV
← DONALD OGDEN DEMPSTERAdvisorregistration: current employment
Aug 6, 2014 to presentfactForm ADV
← THEODORE JONAH KAYAdvisorregistration: current employment
Jul 26, 2013 to presentfactForm ADV
← BRIAN STEWART JOHNSONAdvisorregistration: current employment
Apr 13, 2012 to presentfactForm ADV
← Edmund Matthew Van WinkleAdvisorregistration: previous registration
Jul 8, 2022 to Jan 15, 2026factForm ADV
← KENNETH ANTHONY BLATTENBAUERAdvisorregistration: previous registration
Aug 6, 2012 to Feb 12, 2014factForm ADV

Controls (3)

← JOHNSON, PETER, JAMESOwnerMEMBER, ownership code C, individual
Mar 31, 2017 to Dec 18, 2024factForm ADV
← DEMPSTER, DONALD, OGDENOwnerPRESIDENT & CCO, ownership code B, individual
Mar 30, 2012 to Dec 18, 2024factForm ADV
← KAY, THEODORE, JONAHOwnerCIO, ownership code B, individual
Mar 30, 2012 to Dec 18, 2024factForm ADV

Moved with (1)

← NAUTILUS ADVISORS LLCRegistered adviser2 advisors, team lift out, same day
Apr 2, 2019 to Mar 26, 2019factForm ADV

Dated events

Occurred
Jan 15, 2026
Advisor changed firm
Edmund Matthew Van Winkle left Dlk Investment Management for Dlk Investment Advisors, Llc (registered 2025-02-13)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d8f01cf8-11ad-d481-73c4-720ba7ed4bf4
First observed: Mar 30, 2012
Last observed: Mar 30, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

DLK INVESTMENT MANAGEMENT

CRD 149096

SOLANA BEACH, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:d8f01cf8-11ad-d481-73c4-720ba7ed4bf4

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:20 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

BRIAN STEWART JOHNSON

n/a

SOLANA BEACH, CA

THEODORE JONAH KAY

n/a

SOLANA BEACH, CA

DONALD OGDEN DEMPSTER

Chartered Financial Analyst

MERCER ISLAND, WA | SOLANA BEACH, CA

THOMAS SCOTT BRENNER

n/a

SOLANA BEACH, CA

MARK ANTHONY HALBY

Certified Financial Planner

SOLANA BEACH, CA

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DEMPSTER, DONALD, OGDEN

PRESIDENT & CCO

yes

01/2009

Mar 30, 2012

Dec 18, 2024

JOHNSON, PETER, JAMES

Member

yes

08/2016

Mar 31, 2017

Dec 18, 2024

KAY, THEODORE, JONAH

Cio

yes

02/2009

Mar 30, 2012

Dec 18, 2024

City

State

Country

Employees

Also broker-dealer

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 30, 2026

$524M

$459M

n/a

2024

Mar 20, 2025

$435M

$385M

n/a

2023

Mar 29, 2024

$348M

$317M

n/a

2022

Mar 30, 2023

$292M

$267M

n/a

2021

Mar 22, 2022

$351M

$320M

n/a

2020

Mar 30, 2021

$266M

$239M

n/a

2019

Mar 30, 2020

$213M

$189M

n/a

2018

Mar 29, 2019

$137M

$122M

n/a

2017

Mar 29, 2018

$145M

$121M

n/a

2016

Mar 31, 2017

$107M

$88.3M

n/a

2015

Mar 31, 2016

$112M

$87.2M

n/a

2014

Apr 1, 2015

$107M

$88.3M

n/a

2013

Mar 31, 2014

$119M

$93.0M

n/a

2012

Apr 1, 2013

$156M

$83.6M

n/a

2011

Mar 30, 2012

$106M

$47.1M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

-1

20.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$524M

$435M

20.5%

$292M

21.5%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

NAUTILUS ADVISORS LLC

Apr 2, 2019

Mar 26, 2019

SAN DIEGO, CA

Team lift out

RIA to RIA

50.0%