Dlk Investment Management
- Regulatory AUM
- $524M
- Discretionary
- $459M
- Clients
- 467
- Avg AUM / client
- $1.1M
- Accounts
- 1,208
- Employees
- 5
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 30, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 402 | $207M | 39.5% |
| High net worth individuals | 31 | $109M | 20.7% |
| Pension and profit sharing plans | Fewer than 5 clients | $970K | 0.19% |
| Charitable organizations | 7 | $19.9M | 3.81% |
| Corporations and other businesses | 27 | $47.0M | 8.97% |
| Other | 0 | $141M | 26.9% |
People (6)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Donald Ogden Dempster | President & Cco | CFA | Jan 2009 (18y) | 10% – 25% |
| Theodore Jonah Kay | Cio | Feb 2009 (18y) | 10% – 25% | |
| Johnson, Peter, James | Member | Aug 2016 (10y) | 25% – 50% | |
| Brian Stewart Johnson | Registered representative | Apr 2012 (14y) | ||
| Mark Anthony Halby | Registered representative | CFP | Mar 2019 (7y) | |
| Thomas Scott Brenner | Registered representative | Mar 2019 (7y) |
Undisclosed: 0% – 55% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/30/2026 | 1.07 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: WHILE JOHNSON WAS REGISTERED WITH HIS MEMBER FIRM, HE SENT AN EMAIL FROM HIS FIRM EMAIL ADDRESS TO HIS PERSONAL EMAIL ADDRESS WITH ATTACHED EXCEL FILES CONTAINING CUSTOMER INFORMATION FOR FIRM ACCOUNTS, WHICH INCLUDED INFORMATION FOR SOME CUSTOMERS JOHNSON DID NOT SERVICE AT HIS FIRM. Status: Final Sanction Detail: SUSPENDED FROM ASSOCIATION WITH ANY FINRA MEMBER IN ANY CAPACITY FOR 10 BUSINESS DAYS BEGINNING 01/06/2014 ENDING 01/17/2014. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS, JOHNSON CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Charles Schwab & Co. $485M (93% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 30, 2026.
View current Form ADV (SEC/IAPD) ↗