DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
D•• I••••••••• M•••••••••
Latest filing Mar 30, 2026
First filing on the tape Mar 30, 2012 · 38 filings
SEC status approved since Jan 5, 2009
RAUM
$524M
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
60%
$315M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$105M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$524M as of Mar 30, 2026
Mar 30, 2012$106M then
HNW client RAUM$109M as of Mar 30, 2026
Mar 29, 2018$81.1M then
State-registered IARs (5.B.3)5 as of Mar 30, 2026
Mar 30, 20120 then
Employees (5.A)5 as of Mar 30, 2026
Apr 1, 20138 then
Private funds: no history
RAUM +20% over the last fiscal year+22% a year over threeIARs 6 to 5
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $105MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 87derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $433,776derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 4.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- -17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$207M54%
- High-net-worth individuals$109M28%
- Corporations and businesses$47.0M12%
- Charitable organizations$19.9M5.2%
- Pension and profit-sharing plans$969,9630.3%
- Individual clients
- 402reported
- HNW clients
- 31reported
- Pension plan clients
- n/areported
- Charitable clients
- 7reported
- Accounts
- 1,208reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.6 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• S•••••• J•••••• | Solana Beach, Ca | Apr 13, 2012 | 24 y | 2 |
| T••••••• J•••• K•• | Solana Beach, Ca | Jul 26, 2013 | 17 y | 1 |
| D••••• O•••• D•••••••Chartered Financial Analyst | Mercer Island, Wa | Aug 6, 2014 | 31 y | 1 |
| T••••• S•••• B•••••• | Solana Beach, Ca | Mar 26, 2019 | 24 y | 2 |
| M••• A•••••• H••••Certified Financial Planner | Solana Beach, Ca | Mar 26, 2019 | 18 y | 2 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 20% of current headcount1 left over 36 months
Left, latest
- E••••• M•••••• V•• W••••• to D•• I••••••••• A•••••••• L••Jan 15, 2026 · Other
- K•••••• A•••••• B••••••••• to A••••••• P••••••• A•••••••• L••Feb 12, 2014 · Other
Joined, latest
- T••••• S•••• B•••••• from N••••••• A••••••• L••Mar 26, 2019 · RIA to RIA
- M••• A•••••• H•••• from N••••••• A••••••• L••Mar 26, 2019 · RIA to RIA
- K•••••• A•••••• B••••••••• from M••••• S••••••Aug 6, 2012 · Other
- B•••• S•••••• J•••••• from A••••• B•• C••••••• I•••Apr 13, 2012 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from N••••••• A••••••• L••Apr 2, 2019 · San Diego, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••••• D•••••• O•••• · President & Ccocontrolsince 01/2009 · owns 10% to 25%
- J••••••• P••••• J•••• · Membercontrolsince 08/2016 · owns 25% to 50%
- K••• T•••••••• J•••• · Ciocontrolsince 02/2009 · owns 10% to 25%
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Solana Beach, Ca · principal | 5 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 30, 2026HNW share of RAUM moved from 42.0% to 21.0% between the annual amendments of 2025-03-20 and 2026-03-30peers: independent wealth managers, $500M to $1B (1,482)
- client mix shiftChange between filings · filing Mar 30, 2026private-client share of RAUM moved from 87.0% to 60.0% between the annual amendments of 2025-03-20 and 2026-03-30peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 1,122 to 1,208Sep 17, 2025 to Mar 30, 2026
- Advisory employees · 6 to 5Sep 17, 2025 to Mar 30, 2026
- Advisory activities · 4 to 3Sep 17, 2025 to Mar 30, 2026
- Charity clients · 8 to 7Sep 17, 2025 to Mar 30, 2026
- Corporate clients · 28 to 27Sep 17, 2025 to Mar 30, 2026
- HNW clients · 34 to 31Sep 17, 2025 to Mar 30, 2026
- Individual clients · 397 to 402Sep 17, 2025 to Mar 30, 2026
- Pension plan clients · 3.0 to unsetSep 17, 2025 to Mar 30, 2026
- Employees · 7 to 5Sep 17, 2025 to Mar 30, 2026
- State-registered IARs · 6 to 5Sep 17, 2025 to Mar 30, 2026
- Discretionary RAUM · $385M to $459MSep 17, 2025 to Mar 30, 2026
- HNW RAUM · $183M to $109MSep 17, 2025 to Mar 30, 2026
- Individual RAUM · $196M to $207MSep 17, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $50.3M to $65.3MSep 17, 2025 to Mar 30, 2026
- Pension RAUM · $524,216 to $969,963Sep 17, 2025 to Mar 30, 2026
- RAUM · $435M to $524MSep 17, 2025 to Mar 30, 2026
- Accounts · 1,057 to 1,122Dec 18, 2024 to Mar 20, 2025
- Business name · D•• I••••••••• M••••••••• L•• to D•• I••••••••• M•••••••••Dec 18, 2024 to Mar 20, 2025
- Charity clients · 6 to 8Dec 18, 2024 to Mar 20, 2025
- Corporate clients · 29 to 28Dec 18, 2024 to Mar 20, 2025
- Individual clients · 382 to 397Dec 18, 2024 to Mar 20, 2025
- Pension plan clients · 5 to 3Dec 18, 2024 to Mar 20, 2025
- Employees · 6 to 7Dec 18, 2024 to Mar 20, 2025
- Financial planning clients · 11-25 to 11-25Dec 18, 2024 to Mar 20, 2025
- Legal name · D•• I••••••••• M••••••••• L•• to D•• I••••••••• M•••••••••Dec 18, 2024 to Mar 20, 2025
- Discretionary RAUM · $317M to $385MDec 18, 2024 to Mar 20, 2025
- HNW RAUM · $140M to $183MDec 18, 2024 to Mar 20, 2025
- Individual RAUM · $160M to $196MDec 18, 2024 to Mar 20, 2025
- Non-discretionary RAUM · $31.5M to $50.3MDec 18, 2024 to Mar 20, 2025
- Pension RAUM · $432,030 to $524,216Dec 18, 2024 to Mar 20, 2025
- RAUM · $348M to $435MDec 18, 2024 to Mar 20, 2025
- Business name · D•• I••••••••• A•••••••• L•• to D•• I••••••••• M••••••••• L••Jun 6, 2024 to Dec 18, 2024
- Legal name · D•• I••••••••• A•••••••• L•• to D•• I••••••••• M••••••••• L••Jun 6, 2024 to Dec 18, 2024
- Business name · D•• I••••••••• M••••••••• to D•• I••••••••• A•••••••• L••Jun 5, 2024 to Jun 6, 2024
- Legal name · D•• I••••••••• M••••••••• L•• to D•• I••••••••• A•••••••• L••Jun 5, 2024 to Jun 6, 2024
- Accounts · 954 to 1,057Mar 30, 2023 to Mar 29, 2024
- Charity clients · 8 to 6Mar 30, 2023 to Mar 29, 2024
- Corporate clients · 22 to 29Mar 30, 2023 to Mar 29, 2024
- HNW clients · 31 to 34Mar 30, 2023 to Mar 29, 2024
- Individual clients · 347 to 382Mar 30, 2023 to Mar 29, 2024
Signals
1 dated events
- E••••• M•••••• V•• W••••• left D•• I••••••••• M••••••••• for D•• I••••••••• A•••••••• L•• (registered 2025-02-13)Jan 15, 2026 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- info@dlkinvest.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 858-433-3200reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- DLKINVEST.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 858.433.3200reportedpublic record, Form ADV, Mar 30, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $105Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026