DLK Investment Advisors provides financial planning, portfolio management for individuals and small businesses, and portfolio management for institutions.
DLK Investment Advisors reports 32 clients. They include 26 individual clients and 6 high-net-worth individuals. Of its assets, 79.0% ($111M across 90 accounts) are managed with discretion; $29.6M across 5 accounts are not.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 81% | 24% |
| High-net-worth individuals | 19% | 76% |
| Pension and profit-sharing plans | 0% | <1% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 26 | $33.9M | 24.1% | $1.3M |
| High-net-worth individuals | 6 | $107M | 75.9% | $17.8M |
| Pension and profit-sharing plans | Fewer than 5 | $40.7K | 0.0% | — |
| Total | 32 | $141M | 100% | — |
- Clients
- 26
- Regulatory AUM
- $33.9M
- AUM share
- 24.1%
- Avg. per client
- $1.3M
- Clients
- 6
- Regulatory AUM
- $107M
- AUM share
- 75.9%
- Avg. per client
- $17.8M
- Clients
- Fewer than 5
- Regulatory AUM
- $40.7K
- AUM share
- 0.0%
- Avg. per client
- —
Total
- Clients
- 32
- Regulatory AUM
- $141M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 0
DLK Investment Advisors charges 0.85%–1.50% a year for its Investment Management. The fee is billed in advance, is negotiable, has a $3,000 annual minimum and requires an account of at least $300,000. The brochure also prices 2 other services, listed under fee details.
Fee details and sources
Other fees
- 401(k) Consulting
- 401(k) consulting is charged on account value: 0.50% on the first $2,000,000, 0.30% on the next $3,000,000 and 0.20% above $5,000,000.
- Financial Planning
- Financial planning is charged hourly at $250 to $500, depending on the services required; negotiable.
Donald Dempster owns 75% or more of DLK Investment Advisors. The leadership team of DLK Investment Advisors includes President Donald Dempster. It has 2 employees.
Leadership
- Donald DempsterPresident and Chief Compliance Officer
- Edmund Van WinklePortfolio MGR.
Investment adviser representatives
2 representatives listed in the SEC register as of 9 October 2026.
Staff
- 2 employees
- 2 in advisory functions
- 2 state-registered reps
- Owns 75% or more of DLK Investment Advisors, LLC
Donald Dempster
Control person · since February 2013
DLK Investment Advisors’ regulatory assets grew Infinity× from $0 (June 2024) to $141M (March 2026); employees fell from 3 to 2.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $141M | 32 | 2 | 1 |
| March 2025 | $101M | 9 | 2 | 1 |
| June 2024 | $0 | 0 | 3 | 1 |
Besides its headquarters, DLK Investment Advisors has 0 offices, with 1 listed address in Washington.
Washington · 1 listed address
- 7525 Se 24th Street, Suite 410, Mercer IslandHQ
Other business names
DLK Investment Advisors has reported 1 other business name to the SEC.
- DLK Investment Advisors
Contact and registration details
- Legal name
- DLK Investment Advisors, LLC
- Headquarters
- 7525 Se 24th Street, Suite 410, Mercer Island, WA 98040
- Website
- Not reported
- Phone
- 206-203-0010
- SEC file
- 801-131523
- Structure
- Wyoming LLC
- Fiscal year end
- December
DLK Investment Advisors uses Charles Schwab ($130M) as custodian for its separately managed accounts. DLK Investment Advisors does not have custody of client assets.
- Charles SchwabCharles Schwab & Co., Inc. · San Francisco, CA · $130M100%
At year end, DLK Investment Advisors’ separately managed accounts were mostly in stocks (62%) and bonds (35%).
What the accounts hold
- Stocks62%
- Bonds35%
- High-yield corporate bonds25%
- U.S. government and agency bonds10%
- Cash3%
How many clients does DLK Investment Advisors have?
DLK Investment Advisors has 32 clients and manages $141 million for them, as of March 2026. They include 26 individual clients and 6 high-net-worth individuals.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 30 March 2026
What services does DLK Investment Advisors offer?
DLK Investment Advisors provides financial planning, portfolio management for individuals and small businesses, and portfolio management for institutions.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does DLK Investment Advisors charge?
DLK Investment Advisors charges 0.85%–1.50% a year for its Investment Management. The fee is billed in advance, is negotiable, has a $3,000 annual minimum and requires an account of at least $300,000.
Which custodians does DLK Investment Advisors use?
DLK Investment Advisors’ separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $130M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 30 March 2026
How many financial advisors does DLK Investment Advisors have?
DLK Investment Advisors has 2 investment adviser representatives registered with state securities authorities, out of 2 employees, and 2 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does DLK Investment Advisors invest in?
At the end of its last fiscal year, DLK Investment Advisors’ separately managed accounts held 62% exchange-traded equities, 25% high-yield corporate bonds, 10% U.S. government and agency bonds and 3% cash and equivalents.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Does DLK Investment Advisors have a minimum investment?
Yes, DLK Investment Advisors’ minimum account size for its Investment Management is $300K. It charges a $3K annual minimum fee.
Who owns DLK Investment Advisors?
DLK Investment Advisors’ direct owner is Donald Dempster (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 30 March 2026
How does DLK Investment Advisors get paid?
DLK Investment Advisors is paid through a percentage of assets under management and hourly charges. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact DLK Investment Advisors?
DLK Investment Advisors’ main office is at 7525 Se 24th Street, Suite 410, Mercer Island, WA 98040. Its phone number is 206-203-0010.