# Helm Capital Management

> 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.

- CRD: 123174
- Filed as: HELM CAPITAL MANAGEMENT
- Legal name: Helm Capital Management LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Seattle, WA
- Filing period: October 2026
- Form ADV filing dated: April 21, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/123174
- AdvisorCensus page: https://advisorcensus.com/firm/helm-capital-management-seattle-wa-123174

## Quick answers

**How is Helm Capital Management compensated?**
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).

**How much does Helm Capital Management charge?**
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.

**Where is Helm Capital Management located?**
Helm Capital Management's principal office is in Seattle, WA, according to its Form ADV.

**Is Helm Capital Management registered with the SEC or a state?**
Helm Capital Management is an SEC-registered investment advisory firm, registered since 2015. Status as filed: Approved. CRD 123174.

**How much does Helm Capital Management manage?**
Helm Capital Management reports $400,804,452 in regulatory assets under management in its Form ADV filing dated April 21, 2026 (100% discretionary).

**How have Helm Capital Management's assets and staff changed since 2021?**
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.

**What types of clients does Helm Capital Management serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (42); individuals (other than high net worth individuals) (10).

**Which custodians does Helm Capital Management use?**
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.

**Does Helm Capital Management report any disciplinary disclosures?**
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

**Does Helm Capital Management state an account minimum?**
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."

**What changed in Helm Capital Management's recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $203,132,530 to $400,804,452 (+97%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)

### Fees and minimums (Form ADV Part 2A brochure dated March 26, 2026)

- Asset-based fee: 1% of assets a year

> HELM’s standard annual advisory fee is 1.00% on the market value assets under management. The annual fee is negotiable.

- Account minimum: None

> There are no minimum size requirements for opening or maintaining an account with Helm Capital Management LLC.

- Subscription: $18,750 to $30,000 a quarter (consulting services)

> 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.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

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.

### Regulatory assets under management (Item 5.F)
- Total: $400,804,452
- Discretionary: $400,804,452
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 10 | $3,134,217 |
| High net worth individuals | 42 | $397,670,235 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 0 | $0 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2015 (11 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, TX, WA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- helmcapitalmanagement.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $154,220,396 | 1 | March 24, 2021 |
| October 2022 | $157,108,325 | 1 | March 25, 2022 |
| October 2023 | $159,854,515 | 1 | March 29, 2023 |
| October 2024 | $199,958,063 | 1 | March 26, 2024 |
| October 2025 | $203,132,530 | 1 | March 26, 2025 |
| October 2026 | $400,804,452 | 1 | April 21, 2026 |

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.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $203,132,530 to $400,804,452 (+97%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Helm Capital Management (CRD 123174): Form ADV filing data as of October 2026.