DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Helm Investment Management, LLC
Latest filing Mar 20, 2026
First filing on the tape Feb 14, 2012 · 21 filings
SEC status approved since Oct 6, 2006
RAUM
$371M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$371M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$185M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$371M as of Mar 20, 2026
Feb 14, 2012$115M then
HNW client RAUM$26.1M as of Mar 20, 2026
Mar 23, 2018$186M then
State-registered IARs (5.B.3)2 as of Mar 20, 2026
Feb 14, 20120 then
Employees (5.A)3 as of Mar 20, 2026
Mar 19, 20132 then
Private funds: no history
RAUM +15% over the last fiscal year+13% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 20, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $185MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 70derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $307,265derivedHNW RAUM over HNW clients
- Average account
- $663,414derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.7%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$345M93%
- High-net-worth individuals$26.1M7.0%
- Individual clients
- 55reported
- HNW clients
- 85reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 559reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Peter John QuinnChartered Financial Analyst | Denver, Co | Jan 1, 2025 | 14 y | 1 |
| Jay Allan MccormickChartered Financial Analyst | Denver, Co | Feb 17, 2026 | 20 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Peter John Quinn from Cobiz WealthJan 1, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- John Peter Quinn · Managing Member, Chief Compliance Officercontrolsince 07/2022 · owns 75% or more
- Allan Jay Mccormick · Membersince 07/2022 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Denver, Co · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 20, 2026HNW share of RAUM moved from 92.0% to 7.0% between the annual amendments of 2025-03-22 and 2026-03-20peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 575 to 559Mar 22, 2025 to Mar 20, 2026
- HNW clients · 78 to 85Mar 22, 2025 to Mar 20, 2026
- Individual clients · 57 to 55Mar 22, 2025 to Mar 20, 2026
- Discretionary RAUM · $322M to $371MMar 22, 2025 to Mar 20, 2026
- HNW RAUM · $296M to $26.1MMar 22, 2025 to Mar 20, 2026
- Individual RAUM · $25.7M to $345MMar 22, 2025 to Mar 20, 2026
- RAUM · $322M to $371MMar 22, 2025 to Mar 20, 2026
- Accounts · 506 to 575Nov 4, 2024 to Mar 22, 2025
- HNW clients · 76 to 78Nov 4, 2024 to Mar 22, 2025
- Individual clients · 52 to 57Nov 4, 2024 to Mar 22, 2025
- Financial planning clients · 11-25 to 11-25Nov 4, 2024 to Mar 22, 2025
- Discretionary RAUM · $290M to $322MNov 4, 2024 to Mar 22, 2025
- HNW RAUM · $269M to $296MNov 4, 2024 to Mar 22, 2025
- Individual RAUM · $21.5M to $25.7MNov 4, 2024 to Mar 22, 2025
- RAUM · $290M to $322MNov 4, 2024 to Mar 22, 2025
- Employees · 4 to 3Mar 15, 2024 to Nov 4, 2024
- Accounts · 493 to 506Mar 20, 2023 to Mar 15, 2024
- HNW clients · 72 to 76Mar 20, 2023 to Mar 15, 2024
- Individual clients · 51 to 52Mar 20, 2023 to Mar 15, 2024
- Discretionary RAUM · $254M to $290MMar 20, 2023 to Mar 15, 2024
- HNW RAUM · $232M to $269MMar 20, 2023 to Mar 15, 2024
- Individual RAUM · $21.8M to $21.5MMar 20, 2023 to Mar 15, 2024
- RAUM · $254M to $290MMar 20, 2023 to Mar 15, 2024
- Accounts · 488 to 493Nov 21, 2022 to Mar 20, 2023
- HNW clients · 79 to 72Nov 21, 2022 to Mar 20, 2023
- Individual clients · 45 to 51Nov 21, 2022 to Mar 20, 2023
- Discretionary RAUM · $286M to $254MNov 21, 2022 to Mar 20, 2023
- HNW RAUM · $272M to $232MNov 21, 2022 to Mar 20, 2023
- Individual RAUM · $14.5M to $21.8MNov 21, 2022 to Mar 20, 2023
- RAUM · $286M to $254MNov 21, 2022 to Mar 20, 2023
- Accounts · 526 to 488Mar 23, 2021 to Mar 22, 2022
- Advisory employees · 3 to 2Mar 23, 2021 to Mar 22, 2022
- HNW clients · 74 to 79Mar 23, 2021 to Mar 22, 2022
- State-registered IARs · 3 to 2Mar 23, 2021 to Mar 22, 2022
- Discretionary RAUM · $247M to $286MMar 23, 2021 to Mar 22, 2022
- HNW RAUM · $230M to $272MMar 23, 2021 to Mar 22, 2022
- Individual RAUM · $17.2M to $14.5MMar 23, 2021 to Mar 22, 2022
- RAUM · $247M to $286MMar 23, 2021 to Mar 22, 2022
- Accounts · 119 to 526Mar 18, 2021 to Mar 23, 2021
- Accounts · 485 to 119Jun 27, 2020 to Mar 18, 2021
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- vblackstock@helminvest.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 303-228-5447reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 303-861-4835reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- helminvest.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 303-861-4835reportedpublic record, Form ADV, Mar 20, 2026
- Team page
- helminvest.com/teamreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $185Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026