DLK INVESTMENT MANAGEMENT

Advisory Business

Type of Organization	Limited Liability Company
Fiscal Year End	DECEMBER
Legal Location	California, United States

Employees

Total Number of Employees	6
Investment Advisory/Research	6
Registered Broker-Dealer Representatives	0
Registered State Investment Advisers	6
Licensed Agents of an Insurance Company	2
No. of Firms/People that Solicit Clients	0

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	1,018	$316.7M
Non-Discretionary	39	$31.5M
Total	1,057	$348.3M

Clients

Type	Number	RAUM
Individuals	382	$160.0M
HNW Individuals	34	$139.6M
Banking or thrift institutions	0	$0
Investment companies	0	$0
Business development companies	0	$0
Pooled investment vehicles	0	$0
Pension and profit sharing plans	5	$432,030
Charitable organizations	6	$14.7M
State or municipal gov entities	0	$0
Other investment advisers	0	$0
Insurance companies	0	$0
Sovereign wealth funds and foreign official institutions	0	$0
Corporations or other businesses	29	$33.6M
Other	0	$0

Type	Number
No. of Non-RAUM Clients	0
No. of Non-U.S. Clients	0
No. of Financial Planning Clients	11-25

Services

Advisory Services	Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsEducational seminars/workshops
Compensation	% of AUMHourly chargesFixed fees

Identifiers

SEC RIA File Number	801-69825
SEC ERA File Number	801-69825
SEC CIK Numbers	2016793
SEC CRD Numbers	149096
Legal Entity Identifier	None

Principal Office

SUITE 200
238 NORTH CEDROS AVENUE
SOLANA BEACH
CA
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic