Helm Investment Management, LLC

Helm Investment Management is an independent, privately owned SEC-registered investment adviser that manages roughly $371 million on a discretionary basis for about 140 households, primarily high-net-worth individuals and family accounts, including business owners and corporate executives. The firm provides discretionary portfolio management across individual stocks and bonds, ETFs, mutual funds and other asset classes, and offers limited financial planning and specialized advice on matters such as incentive stock options, deferred compensation and qualified retirement plans.

Helm applies a blended analytic approach—fundamental analysis, technical analysis and macroeconomic forecasting—within a Modern Portfolio Theory framework to build diversified allocations grouped into equity indexes, income securities and fixed income. Implementation emphasizes ETF selection for index exposure, high‑quality income and taxable or tax-sensitive fixed income choices, and the firm generally manages accounts under limited power of attorney with a custodial preference for Charles Schwab.

Distinctive features include a relatively large asset base managed by a small advisory team (average client relationship around $2.6 million) and a governance framework tied to the CFA Institute’s Code of Ethics, with associates holding CFA charters. The firm operates on a fee-only basis without commissions or performance fees, does not use soft‑dollar arrangements, typically does not aggregate trades across clients, and leaves proxy voting to clients rather than voting securities on their behalf.