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DLK Investment Management

DLK Investment Management. CRD 149096

DLK Investment Management logo

CRD: 149096

DLK Investment Management

Solana Beach, CA, 92075
8584333200
$524.0M Total AUM
$458.7M Disc. AUM
21.5% 3Y CAGR
5 Employees
467 ADV. Clients
17 yrs Firm Age

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Firm Details

Custodian
Charles Schwab & Company ยท TD Ameritrade
Clients
Retail and Institutional
Platforms
RidgeMeridian harbor +more
Established Date
01-05-2009
Office Locations
1

Office Locations

238 North Cedros AVE Suite 200 Solana Beach CA

About DLK Investment Management

DLK Investment Management is a Solana Beach, CA RIA serving individuals and families with retirement and legacy planning and advising non-profits/endowments. The firm provides financial planning and discretionary portfolio management with an ETF-centric approach complemented by fixed income. Operates across retail and institutional relationships and commonly custodies at Charles Schwab.

Team overview

48 AVG AGE
$104.8M AVG AUM / ADVISOR
$1.1M AVG AUM / CLIENT
10.5 yrs AVG TENURE
5 Employees
5 Advisory Reps
5 RIA Reps
17yrs Firm Age

Insights

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Asset Classes

Value Prime crest Focus Signal Alpha eagle

Custodian

Optima catalyst Alpha Insight signal

Investment Themes

Fusion Horizon Eagle alpha

Investment Vehicles

Pathway

Platform

Harbor

Services

Quantum signal Pioneer Fusion Peak frontier Peak Delta Glacier glacier Unison

Technology

Insight Fusion zenith Fusion

Owner & Executives

P

PETER JAMES JOHNSON

Chief Compliance Officer, Chief Operating Officer, Co-founder

CRD
--
Ownership
25% but less than 50%
(600) 281-3187
timber.momentum@vertexcapital.com
in linkedin.com/in/vital-quantum
D

DONALD OGDEN DEMPSTER

Chief Compliance Officer, President

CRD
#2500548
Ownership
10% but less than 25%
(880) 614-4510
north.vector@deltacapital.com
in linkedin.com/in/horizon-element
M

Matrix eagle

Insight quantum ridge

CRD
#10987
Ownership
4.1%
(417) 344-2077
north.frontier@vertexcapital.com
in linkedin.com/in/meridian-atlas

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Contacts

THOMAS SCOTT BRENNER

THOMAS SCOTT BRENNER

Financial Advisor

CRD
#4458594
(697) 564-6636
fusion.pathway@elementcapital.com
in linkedin.com/in/insight-insight
MARK ANTHONY HALBY

MARK ANTHONY HALBY

Certified Financial Planner

CRD
#5536243
(704) 412-4831
summit.glacier@insightcapital.com
in linkedin.com/in/frontier-focus
P

Peak beacon

Ember quantum

CRD
#89904
(383) 702-6609
alpha.peak@optimacapital.com
in linkedin.com/in/bridge-timber

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Assets Under Management

Total AUM
Discretionary
Non-Discretionary
10-27-2022
03-30-2023
12-18-2024
09-17-2025
03-30-2026
Category Assets AVG. Account size
Discretionary $458,699,651 $393,734
Non-Discretionary $65,301,180 $1,518,632
Total $524,000,831 $433,776

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Separately Managed Accounts

Total SMA Asset: $524,000,831

$524.0M Total SMA
Equity - Exchange:
22.8%
Corporate - Non-Investment Grade:
27.2%
Corporate - Investment Grade:
26.2%
Cash:
16.5%
Public Funds:
7.3%
Asset class Assets Assets %
Equity - Exchange $677,133,420 22.8%
Corporate - Non-Investment Grade $807,808,290 27.2%
Corporate - Investment Grade $778,109,456 26.2%
Cash $490,030,764 16.5%
Public Funds $216,801,489 7.3%
Total $2,969,883,419 100.0%

13F Holdings | Q1 2026

Issuer Class Cusip Ticker % Value
BEACON INSIGHT PRIME EMBER 15IX2QRPQ FUIY 8.31% $48,973,693
SUMMIT MERIDIAN VALUE GLACIER EMBER SB4LW4A1G MLB 3.59% $41,209,991
OPTIMA FOCUS ATLAS FUSION BEACON X3MTI251N ZPZBA 8.31% $38,379,783
RIDGE ALPHA UNISON CAPITAL FOUNDATION FOCDCNKFJ WWTU 1.30% $15,795,606
PIONEER ALPHA PRIME RADIAL HORIZON QL7LQ6AV7 LRZ 3.95% $82,476,530
ALPHA FOUNDATION MERIDIAN ALPHA SIGNAL 7ZB2Q1YVZ JLQN 8.62% $67,695,638
PATHWAY PEAK MERIDIAN ATLAS NORTH CS723K2CT AXJNI 4.36% $112,172,657
BRIDGE VERTEX HARBOR ZENITH CATALYST 7D4WKPYAY GNJ 0.66% $87,250,635

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