{
  "crd_number": 123174,
  "slug": "helm-capital-management-seattle-wa-123174",
  "primary_business_name": "HELM CAPITAL MANAGEMENT",
  "legal_name": "HELM CAPITAL MANAGEMENT LLC",
  "dbas": [],
  "city": "Seattle",
  "state": "WA",
  "country": "United States",
  "cbsa_code": "42660",
  "metro": {
    "cbsa_code": "42660",
    "common_name": "Seattle",
    "msa_name": "Seattle-Tacoma-Bellevue, WA",
    "path": "/advisors/wa/seattle"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2015-03-09",
  "years_registered": 11,
  "period": "2026-10-01",
  "filing_date": "2026-04-21",
  "carried_forward": false,
  "raum_total": 400804452.0,
  "raum_discretionary": 400804452.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 1,
  "advisory_employees": 1,
  "client_count_bucket": null,
  "clients_by_type": {
    "other": {
      "raum": 0.0,
      "count": 0
    },
    "charitable": {
      "raum": 0.0,
      "count": 0
    },
    "individuals": {
      "raum": 3134217.0,
      "count": 10
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": 0
    },
    "state_municipal": {
      "raum": 0.0,
      "count": 0
    },
    "insurance_companies": {
      "raum": 0.0,
      "count": 0
    },
    "investment_companies": {
      "raum": 0.0,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": 0.0,
      "count": 0
    },
    "other_investment_advisers": {
      "raum": 0.0,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 397670235.0,
      "count": 42
    },
    "pooled_investment_vehicles": {
      "raum": 0.0,
      "count": 0
    },
    "corporations_other_businesses": {
      "raum": 0.0,
      "count": 0
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": 0
    }
  },
  "compensation_types": [
    "fixed",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "CA",
    "TX",
    "WA"
  ],
  "websites": [
    "https://helmcapitalmanagement.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/123174",
  "city_as_filed": "SEATTLE",
  "url": "https://advisorcensus.com/firm/helm-capital-management-seattle-wa-123174",
  "display_name": "Helm Capital Management",
  "summary": "Helm Capital Management is an SEC-registered investment advisory firm in Seattle, WA, registered since 2015, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated April 21, 2026.",
  "citation": "AdvisorCensus. Helm Capital Management (CRD 123174): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is Helm Capital Management compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Helm Capital Management reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees)."
    },
    {
      "q": "How much does Helm Capital Management charge?",
      "a": "Its Form ADV Part 2A brochure dated March 26, 2026 states: Asset-based fee: 1% of assets a year; Subscription: $18,750 to $30,000 a quarter (consulting services). Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is Helm Capital Management located?",
      "a": "Helm Capital Management's principal office is in Seattle, WA, according to its Form ADV."
    },
    {
      "q": "Is Helm Capital Management registered with the SEC or a state?",
      "a": "Helm Capital Management is an SEC-registered investment advisory firm, registered since 2015. Status as filed: Approved. CRD 123174."
    },
    {
      "q": "How much does Helm Capital Management manage?",
      "a": "Helm Capital Management reports $400,804,452 in regulatory assets under management in its Form ADV filing dated April 21, 2026 (100% discretionary)."
    },
    {
      "q": "How have Helm Capital Management's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Helm Capital Management: Regulatory assets under management: $154,220,396 in the October 2021 data and $400,804,452 in the October 2026 data, up 160%. Total employees: 1 in October 2021 and 1 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Helm Capital Management serve?",
      "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (42); individuals (other than high net worth individuals) (10)."
    },
    {
      "q": "Which custodians does Helm Capital Management use?",
      "a": "Helm Capital Management's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Helm Capital Management report any disciplinary disclosures?",
      "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/123174"
    },
    {
      "q": "Does Helm Capital Management state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated March 26, 2026 says: \"There are no minimum size requirements for opening or maintaining an account with Helm Capital Management LLC.\""
    },
    {
      "q": "What changed in Helm Capital Management's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Regulatory assets under management went from $203,132,530 to $400,804,452 (+97%)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 154220396.0,
      "total_employees": 1,
      "filing_date": "2021-03-24"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 157108325.0,
      "total_employees": 1,
      "filing_date": "2022-03-25"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 159854515.0,
      "total_employees": 1,
      "filing_date": "2023-03-29"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 199958063.0,
      "total_employees": 1,
      "filing_date": "2024-03-26"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 203132530.0,
      "total_employees": 1,
      "filing_date": "2025-03-26"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 400804452.0,
      "total_employees": 1,
      "filing_date": "2026-04-21"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $203,132,530 to $400,804,452 (+97%)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 26, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": "1% of assets a year",
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "None",
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "planning_fees": [
      "Subscription: $18,750 to $30,000 a quarter (consulting services)"
    ],
    "figures": [
      {
        "label": "Asset-based fee",
        "statements": [
          "Asset-based fee: 1% of assets a year"
        ],
        "quotes": [
          "HELM’s standard annual advisory fee is 1.00% on the market value assets under management. The annual fee is negotiable."
        ]
      },
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: None"
        ],
        "quotes": [
          "There are no minimum size requirements for opening or maintaining an account with Helm Capital Management LLC."
        ]
      },
      {
        "label": "Planning fee",
        "statements": [
          "Subscription: $18,750 to $30,000 a quarter (consulting services)"
        ],
        "quotes": [
          "The consulting services fees may range from $18,750 to $30,000 per quarter and are additional, and not related to, the client’s regular fees."
        ]
      }
    ],
    "values": {
      "tiers": [
        {
          "min": null,
          "max": null,
          "rate_pct": 1.0
        }
      ],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": 0.0,
      "minimum_annual_fee": null,
      "planning": [
        {
          "kind": "subscription",
          "amount": null,
          "min": 18750.0,
          "max": 30000.0,
          "period": "quarterly",
          "service": "consulting services"
        }
      ]
    },
    "quotes": [
      "HELM’s standard annual advisory fee is 1.00% on the market value assets under management. The annual fee is negotiable.",
      "There are no minimum size requirements for opening or maintaining an account with Helm Capital Management LLC.",
      "The consulting services fees may range from $18,750 to $30,000 per quarter and are additional, and not related to, the client’s regular fees."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/helm-capital-management-seattle-wa-123174.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 10,
      "fewer_than_5": false,
      "raum": 3134217.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 42,
      "fewer_than_5": false,
      "raum": 397670235.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/123174",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}