{"url":"https://nivawealth.com/firms/dlk-investment-advisors-328897","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/328897","regulatoryAum":140734631,"crd":"328897","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2500548","suffix":null,"lastName":"DEMPSTER","firstName":"DONALD","middleName":"OGDEN"},{"crd":"7497834","suffix":null,"lastName":"Van Winkle","firstName":"Edmund","middleName":"Matthew"}],"total":2,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2024-06-06","regulatoryAum":0,"clients":0,"employees":3,"offices":1},{"filedOn":"2025-03-27","regulatoryAum":100661144,"clients":9,"employees":2,"offices":1},{"filedOn":"2026-03-30","regulatoryAum":140734631,"clients":32,"employees":2,"offices":1}],"secFileNumber":"801-131523","legalName":"DLK Investment Advisors, LLC","displayName":"DLK Investment Advisors","slug":"dlk-investment-advisors-328897","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Wyoming limited liability company","fiscalYearEnd":"December","headquarters":{"street":"7525 Se 24th Street, Suite 410","city":"Mercer Island","state":"WA","stateName":"Washington","country":"United States","postalCode":"98040"},"tradeNames":["DLK Investment Advisors"],"registration":{"secApproved":"27 November 2024","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":4396684.75,"staff":{"employees":2,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":140734631,"discretionary":111133453,"discretionaryAccounts":90,"nonDiscretionary":29601178,"nonDiscretionaryAccounts":5,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":26,"regulatoryAum":33900478},{"label":"High-net-worth individuals","clients":6,"regulatoryAum":106793434},{"label":"Pension and profit-sharing plans","clients":0,"fewerThan5":true,"regulatoryAum":40719}],"feePrograms":[{"role":"main","program":"Investment Management","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1031546","versionId":1031546,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-03-30","documentName":"DLKIA ADV 2A","fee_rate_low":0.85,"fee_rate_high":1.5,"fee_negotiable":true,"minimum_account":300000,"feeMinimumPeriod":"annual","fee_minimum_annual":3000},{"role":"other","program":"401(k) Consulting","summary":"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.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1031546","versionId":1031546,"submittedOn":"2026-03-30","documentName":"DLKIA ADV 2A"},{"role":"other","program":"Financial Planning","summary":"Financial planning is charged hourly at $250 to $500, depending on the services required; negotiable.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1031546","versionId":1031546,"submittedOn":"2026-03-30","documentName":"DLKIA ADV 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T17:37:30.889048+00:00","documents":[{"name":"DLKIA ADV 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1031546","versionId":1031546,"submittedOn":"2026-03-30"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":130000000}],"custodyNote":"DLK Investment Advisors does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Donald Dempster","title":"President and Chief Compliance Officer","crd":"2500548"},{"name":"Edmund Van Winkle","title":"Portfolio MGR.","crd":"7497834"}],"ownership":[{"label":"Donald Dempster","detail":"President and chief compliance officer in the 75% or more ownership band and a control person, since February 2013."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Washington","offices":1,"addresses":[{"street":"7525 Se 24th Street, Suite 410","city":"Mercer Island","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"206-203-0010","stateRegisteredReps":2,"otherAdviserReps":1,"compensation":["A percentage of assets under management","Hourly charges"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":62},{"label":"U.S. government/agency bonds","percent":10},{"label":"Non-investment grade corporate bonds","percent":25},{"label":"Cash and cash equivalents","percent":3}],"privateFunds":0},"sources":{"adv1FilingDate":"30 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/328897/PDF/328897.pdf","brochureDate":"30 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1031546","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does DLK Investment Advisors have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does DLK Investment Advisors offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does DLK Investment Advisors charge?","answer":"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.","source":"DLKIA ADV 2A, filed 30 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does DLK Investment Advisors use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does DLK Investment Advisors have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does DLK Investment Advisors invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Does DLK Investment Advisors have a minimum investment?","answer":"Yes, DLK Investment Advisors’ minimum account size for its Investment Management is $300K. It charges a $3K annual minimum fee.","source":"DLKIA ADV 2A, filed 30 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns DLK Investment Advisors?","answer":"DLK Investment Advisors’ direct owner is Donald Dempster (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does DLK Investment Advisors get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact DLK Investment Advisors?","answer":"DLK Investment Advisors’ main office is at 7525 Se 24th Street, Suite 410, Mercer Island, WA 98040. Its phone number is 206-203-0010.","source":"Form ADV Part 1A, Item 1.F, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}