Donald O. Dempster

DLK INVESTMENT MANAGEMENT | President and COO

SOLANA BEACH, CA 92075

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CRD#: 2500548

Professional summary

Donald Ogden Dempster, CFA, who also goes by Don Dempster, is a registered financial advisor currently at DLK INVESTMENT MANAGEMENT located in Solana Beach, California and DLK INVESTMENT ADVISORS, LLC located in Mercer Island, Washington.

Donald is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Donald has worked at 7 firms and has passed the Series 63, Series 65, Series 31, Series 7 and Series 24 exams.

Biography

Don is a founding partner of DLK with over 27 years experience encompassing investment management, operations, accounting, and compliance (was previously with SEC). Don was also previously with Rice Hall James & Associates where he led the compliance group among other responsibilities. A veteran of the US Army, Don holds a B.S. in Finance from the University of Idaho and is a Chartered Financial Analyst (CFA).

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Don Dempster

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Adaptive Motion Group LLC ("AMG"). It is a software robotics firm and is not investment related. AMG's location is: 238 N Cedros Ave, Solana Beach, CA. I am a partner and CFO. The business was started in July 2017. Approximately 1 hour a week during trading hours is spent on the business. Role is accounting and strategy.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Donald Ogden Dempster's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFA

Chartered Financial Analyst

Experience

Current

August 6, 2014 - Present

DLK INVESTMENT MANAGEMENT

Office #1: 238 North Cedros Ave Suite 200, Solana Beach, CA 92075

RIA

CRD#: 149096

SOLANA BEACH, CA

Current

February 13, 2025 - Present

DLK INVESTMENT ADVISORS, LLC

Office #1: 7525 Se 24th Street Suite 410, Mercer Island, WA 98040

RIA

CRD#: 328897

MERCER ISLAND, WA

Past

October 9, 2014 - December 21, 2017

ALPHA CUBED INVESTMENTS, LLC

RIA

CRD#: 159347

IRVINE, CA

Past

January 16, 1998 - January 5, 2000

MAM SECURITIES, LLC

CRD#: 41140

SAN FRANCISCO, CA

Past

September 30, 1996 - January 13, 1998

BERKELEY INTERNATIONAL SECURITIES CORPORATION

CRD#: 14346

SAN FRANCISCO, CA

Past

February 3, 1995 - June 7, 1996

ROBERTSON, STEPHENS & COMPANY LLC

CRD#: 7730

SAN FRANCISCO, CA

Past

June 24, 1994 - August 22, 1994

BANCAMERICA SECURITIES, INC.

CRD#: 17977

SAN FRANCISCO, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

DLK INVESTMENT MANAGEMENT

DLK INVESTMENT ADVISORS, LLC | DLK INVESTMENT MANAGEMENT, LLC | DLK INVESTMENT MANAGEMENT

CRD#: 149096 / SEC#: 801-69825

RIA

Registered Investment Advisory firm - (1/5/2009 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(8/6/2014)

IAR

Texas
(3/26/2019)

IAR

Washington
(2/13/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/3/1995

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 6/23/1995

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 31

Date: 4/23/1999

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 2/2/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/15/1996

General Securities Principal Examination

Current Firm

DLK INVESTMENT MANAGEMENT

DLK INVESTMENT ADVISORS, LLC | DLK INVESTMENT MANAGEMENT, LLC | DLK INVESTMENT MANAGEMENT

CRD#: 149096 / SEC#: 801-69825

RIA

Registered Investment Advisory firm - (1/5/2009 Approved)

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Contact information

Main Address

238 North Cedros Ave Suite 200, Solana Beach, CA 92075

Mailing Address

Phone number

(858) 433-3200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DLK ADV PART 2A BROCHURE (3/20/2025)

Regulatory assets under management

Total Number of Accounts	1,122
AUM (Assets Under Management)	$ 435,005,553

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Donald O. Dempster

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Donald Ogden Dempster's CRS (Customer Relationship Summary).

Certified licenses

Experience

DLK INVESTMENT ADVISORS, LLC

ALPHA CUBED INVESTMENTS, LLC

MAM SECURITIES, LLC

BERKELEY INTERNATIONAL SECURITIES CORPORATION

ROBERTSON, STEPHENS & COMPANY LLC

BANCAMERICA SECURITIES, INC.

Primary Firm SEC Registration

DLK INVESTMENT MANAGEMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 7/3/1995

Series 65

Date: 6/23/1995

Series 31

Date: 4/23/1999

Series 7

Date: 2/2/1995

Series 24

Date: 10/15/1996

Current Firm

DLK INVESTMENT MANAGEMENT

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DLK INVESTMENT MANAGEMENT

TRUST BUT VERIFY

Contact information

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