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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

HELMSMAN FINANCIAL GROUP, LLC

CRD 113780

WOODINVILLE, WA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:e3e996ce-ed34-cea0-948a-88d25cb9e04d

Data as of Mar 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 3
On other graphs: 0
Observed: Jan 26, 2012 to Mar 19, 2026
19 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $187MItem 5.F on the latest filing (2026-03-19); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $68.9M
Private client RAUM: $187MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $62.4Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 3
Advisory employees: 3
Offices: 3Schedule D 1.F, beyond the principal office
Accounts: 267
Individual clients: 46
High net worth clients: 52
Custody, client assets: $2.9M
SEC number: 801-113375
CRD: 113780
Filings on the tape: 19
First filed: Jan 26, 2012
Latest filed: Mar 19, 2026
Organised: Limited Liability Company, WA
Website: helmsmanfinancial.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
DOUGLAS DON SPRINGER	n/a	WOODINVILLE, WA	27	34	n/a	no
SHELBY M MILLER	n/a	WOODINVILLE, WA	22	22	n/a	no
BRANDON DOUGLAS SPRINGER	n/a	WOODINVILLE, WA	11	14	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
HERB SPRUTE, INC. P.C.	Member	B	yes	12/2001	Jan 26, 2012	Oct 3, 2024
RIEKE, CHRISTOPHER, JOHN	Member	B	yes	10/1998	Jan 26, 2012	Oct 3, 2024
SPRINGER FAMILY LLC	Member	C	yes	04/2023	Apr 27, 2023	Oct 3, 2024
SPRINGER, DOUGLAS, DON	CHIEF COMPLIANCE OFFICER	Na	yes	11/1998	Jan 26, 2012	Oct 3, 2024
SPRINGER, DOUGLAS, DON	MEMBER & MANAGER	E	yes	04/2023	Jan 26, 2012	Oct 3, 2024
SPRUTE, HERBERT, ANDREW	Owner	E	yes	12/2001	Jan 26, 2012	Oct 3, 2024
WHITSELL, DORIS D	ECONOMIC INTEREST OWNER	B	no	09/2024	Oct 3, 2024	Oct 3, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
CHRISTOPHER JOHN RIEKE	n/a	n/a	n/a	Y	no	n/a
HERBERT ANDREW SPRUTE	n/a	n/a	n/a	Y	no	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Seattle	Wa	United States	1	no
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 9 of 10

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 19, 2026	$187M	$68.9M	3	3	3	n/a	n/a
2024	Mar 12, 2025	$171M	$62.6M	3	3	4	n/a	n/a
2023	Mar 18, 2024	$155M	$55.9M	3	3	4	n/a	n/a
2022	Mar 23, 2023	$149M	$56.5M	3	3	1	n/a	n/a
2021	Mar 21, 2022	$164M	$63.1M	3	3	1	n/a	n/a
2020	Mar 12, 2021	$143M	$53.6M	3	3	1	n/a	n/a
2019	Mar 13, 2020	$129M	$50.5M	3	3	1	n/a	n/a
2018	Mar 22, 2019	$111M	$43.0M	3	3	1	n/a	n/a
2011	Feb 7, 2012	$71.5M	$31.6M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$187M	$171M	9.5%	$149M	8.0%	3	3	3	4

Relationships

Registered with (3)

← BRANDON DOUGLAS SPRINGERAdvisorregistration: current employment
Oct 6, 2014 to presentfactForm ADV
← SHELBY M MILLERAdvisorregistration: current employment
Jan 16, 2004 to presentfactForm ADV
← DOUGLAS DON SPRINGERAdvisorregistration: current employment
Nov 30, 1998 to presentfactForm ADV

Controls (5)

← SPRINGER, DOUGLAS, DONOwnerMEMBER & MANAGER, ownership code E, individual
Jan 26, 2012 to Oct 3, 2024factForm ADV
← RIEKE, CHRISTOPHER, JOHNOwnerMEMBER, ownership code B, individual
Jan 26, 2012 to Oct 3, 2024factForm ADV
← SPRUTE, HERBERT, ANDREWOwnerOWNER, ownership code E, individual
Jan 26, 2012 to Oct 3, 2024factForm ADV
← HERB SPRUTE, INC. P.C.OwnerMEMBER, ownership code B, domestic entity
Jan 26, 2012 to Oct 3, 2024factForm ADV
← SPRINGER FAMILY LLCOwnerMEMBER, ownership code C, domestic entity
Apr 27, 2023 to Oct 3, 2024factForm ADV

Owns (1)

← WHITSELL, DORIS DOwnerECONOMIC INTEREST OWNER, ownership code B, individual
Oct 3, 2024 to Oct 3, 2024factForm ADV

Dated events

Occurred
Oct 3, 2024
Control person left
Milton Gary Whitsell (Member) no longer on Schedule A of Helmsman Financial Group, Llc (listed 2024-03-18, absent 2024-10-03)
Form ADVobserved 5 days ago
Occurred
Mar 22, 2019
Control person left
Paul Donald Miller (Member) no longer on Schedule A of Helmsman Financial Group, Llc (listed 2018-06-13, absent 2019-03-22)
Form ADVobserved 5 days ago
Occurred
May 3, 2018
First Form ADV filing
Helmsman Financial Group, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e3e996ce-ed34-cea0-948a-88d25cb9e04d
First observed: Jan 26, 2012
Last observed: Mar 19, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

HELMSMAN FINANCIAL GROUP, LLC

CRD 113780

WOODINVILLE, WA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:e3e996ce-ed34-cea0-948a-88d25cb9e04d

Data as of Mar 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:26 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

DOUGLAS DON SPRINGER

n/a

WOODINVILLE, WA

n/a

SHELBY M MILLER

n/a

WOODINVILLE, WA

n/a

BRANDON DOUGLAS SPRINGER

n/a

WOODINVILLE, WA

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HERB SPRUTE, INC. P.C.

Member

yes

12/2001

Jan 26, 2012

Oct 3, 2024

RIEKE, CHRISTOPHER, JOHN

Member

yes

10/1998

Jan 26, 2012

Oct 3, 2024

SPRINGER FAMILY LLC

Member

yes

04/2023

Apr 27, 2023

Oct 3, 2024

SPRINGER, DOUGLAS, DON

CHIEF COMPLIANCE OFFICER

yes

11/1998

Jan 26, 2012

Oct 3, 2024

SPRINGER, DOUGLAS, DON

MEMBER & MANAGER

yes

04/2023

Jan 26, 2012

Oct 3, 2024

SPRUTE, HERBERT, ANDREW

Owner

yes

12/2001

Jan 26, 2012

Oct 3, 2024

WHITSELL, DORIS D

ECONOMIC INTEREST OWNER

09/2024

Oct 3, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CHRISTOPHER JOHN RIEKE

n/a

HERBERT ANDREW SPRUTE

n/a

City

State

Country

Employees

Also broker-dealer

Seattle

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 19, 2026

$187M

$68.9M

n/a

2024

Mar 12, 2025

$171M

$62.6M

n/a

2023

Mar 18, 2024

$155M

$55.9M

n/a

2022

Mar 23, 2023

$149M

$56.5M

n/a

2021

Mar 21, 2022

$164M

$63.1M

n/a

2020

Mar 12, 2021

$143M

$53.6M

n/a

2019

Mar 13, 2020

$129M

$50.5M

n/a

2018

Mar 22, 2019

$111M

$43.0M

n/a

2011

Feb 7, 2012

$71.5M

$31.6M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$187M

$171M

9.5%

$149M

8.0%