SourcingSourcing

HELM INVESTMENT MANAGEMENT, LLC

C49
CRD 141773·SEC 801-67176·DENVER, CO
AUM
$370.8M
$100M-$500M
Est. Revenue
$3.7M
@ 1% on AUM
Est. EBITDA
$1.1M
@ 30% margin
Est. Deal Value
$8.9M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
HELM INVESTMENT MANAGEMENT, LLC
CRD
141773
SEC file #
801-67176
EIN
—
DBA names
—

Economics

AUM
$370.8M
AUM band
$100M-$500M
AUM trajectory
'20'26
$199.2M → $370.8M▲ +86%
Client mix
Individuals High Net Worth85
Individuals Other55

Operations

Employees (total)
3
Advisory staff (per ADV)
2
Advisory staff (5-yr trend)
'20'26
3 advisors → 2 advisors▼ -33%
Primary office
DENVER CO
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individuals
Fee basis
% of AUMHourly charges

Filings

Latest ADV filing
03/20/2026
ADV-W filed at
—
Website
helminvest.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
QUINN, PETER, JOHN
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
QUINN, PETER, JOHN
MCCORMICK, JAY, ALLAN
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
HELMINVEST.COM
Rdap Domain Creation Date
2006-05-28T16:41:19Z
Rdap Firm Age Years
20
Rdap Firm Age Band
20+y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (14)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
2
Bc Firm IAR Count
2
Custodian Candidates
Full
Charles Schwab6
E*trade4
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2027-05-28T16:41:19Z
Rdap Domain Last Changed
2022-09-09T17:39:29Z
Rdap Nameservers
Ns77.domaincontrol.comNs78.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Top Owner CRD
5998197
Trust Company Affiliate
No

People (2)

2
QUINN, PETER, JOHN
IAR · Direct Owner · 87.5%
5998197
MCCORMICK, JAY, ALLAN
IAR · Executive Officer · 2.5%
5216989