DLK INVESTMENT MANAGEMENT of SOLANA BEACH, CA is an SEC-registered investment adviser (CRD 149096). Regulatory assets under management: $524.0M.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles.
| Name | Role | Location |
|---|---|---|
| King George | CHIEF INVESTMENT OFFICER; PORTFOLIO MANAGER | New York, NY |
| Donald Ogden Dempster | PRESIDENT & CCO | — |
| Theodore Jonah Kay | CIO | — |
| Peter James Johnson | MEMBER | — |
| JOHNSON ROBERT JAMES | MEMBER | — |
| JOHNSON BRIAN STEWART | CHIEF COMPLIANCE OFFICER; DIRECTOR OF OPERATIONS | — |
| DEMPSTER DONALD OGDEN | CEO & CCO; CHIEF COMPLIANCE OFFICER/MANAGING MEMBER; MANAGING MEMBER, CHIEF COMPLIANCE OFFICER (+3 more) | — |
| WALSH TODD RANDALL | MANAGER; MANAGING MEMBER | — |
| KAY THEODORE JOHNAH | MANAGING MEMBER; PORTFOLIO MANAGER | — |
| ALEXSON STEVEN BRETT | MANAGER; MANAGING MEMBER | — |
| ARMSTRONG ROBERT WILLIAM | MANAGING DIRECTOR; MANAGING MEMBER | — |
| KAY THEODORE JONAH | CIO; PORTFOLIO MANAGER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2013-12-17 | regulatory | 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. | Final | — |