SourcingSourcing

DLK INVESTMENT MANAGEMENT

C39
CRD 149096·SEC 801-69825·SOLANA BEACH, CA
AUM
$524.0M
$500M-$1B
Est. Revenue
$5.2M
@ 1% on AUM
Est. EBITDA
$1.6M
@ 30% margin
Est. Deal Value
$12.6M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
DLK INVESTMENT MANAGEMENT
CRD
149096
SEC file #
801-69825
EIN
264023089
DBA names
—

Economics

AUM
$524.0M
AUM band
$500M-$1B
AUM trajectory
'20'26
$137.1M → $524.0M▲ +282%
Client mix
Individuals Other402
Individuals High Net Worth31
Corporations27
Charitable Organizations7

Operations

Employees (total)
5
Advisory staff (per ADV)
5
Advisory staff (5-yr trend)
'20'26
6 advisors → 5 advisors▼ -17%
Primary office
SOLANA BEACH CA
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businesses
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
03/30/2026
ADV-W filed at
—
Website
linkedin.com(social)

Compliance

Disclosures (firm)
1
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
JOHNSON, PETER, JAMES
Top Owner Pct
37.5
Top Owner Entity Kind
I
Owner Count
3
Control Persons
JOHNSON, PETER, JAMES
DEMPSTER, DONALD, OGDEN
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
fallback_guess:dlk.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001455780
Edgar Registered
Yes
Edgar Filing Count
2
Edgar First Filing Date
2009-02-12
Edgar Last Filing Date
2010-02-04
Edgar Form D Count
2
Edgar Form D Offerings
2010-02-042010-02-04 · 0001455780-10-000001
2009-02-122009-02-12 · 0001455780-09-000001

Compliance & brand

Firm Registration Status
active

All other collected signals (12)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
5
Bc Firm IAR Count
5
Custodian Candidates
Full
Charles Schwab6
E*trade4
Edgar Addresses
Mailing
11230 SORRENTO VALLEY ROAD, SUITE 200SAN DIEGO, CA 92121
Business
11230 SORRENTO VALLEY ROAD, SUITE 200SAN DIEGO, CA 92121
Edgar EIN
264023089
Edgar Recent Filings
D/A2010-02-04 · 0001455780-10-000001
D2009-02-12 · 0001455780-09-000001
Firm Has Custody
No
Mailing Office Differs
No
Top Owner CRD
1331112
Trust Company Affiliate
No

People (6)

6
JOHNSON, PETER, JAMES
Direct Owner · 37.5%
1331112
DEMPSTER, DONALD, OGDEN
IAR · Direct Owner · 17.5%
2500548
KAY, THEODORE, JONAH
IAR · Direct Owner · 17.5%
5643664
MARK ANTHONY HALBY
IAR
5536243
THOMAS SCOTT BRENNER
IAR
4458594
BRIAN STEWART JOHNSON
IAR
4510220