Helm Investment

Helm Investment is a solo independent advisory firm that provides discretionary asset management primarily to individual and high-net-worth clients as well as select business entities, managing custodial accounts on an ongoing basis while also acting as investment manager to a private pooled vehicle. The firm reports a small client base and modest assets under management and charges standard asset-based advisory fees for its separately managed accounts.

The firm’s investment approach combines both fundamental and technical analysis and may employ long- and short-term, income, and hedging strategies tailored to each client’s investment policy statement, with discretionary trading authority commonly used. Separately, as manager of a pooled fund, Helm Investment implements a largely passive or minimally managed portfolio for the fund that allocates to cryptocurrency stable assets and stakes those assets in decentralized finance protocols, while using crypto-specific tactics such as technical, event-driven, and relative-value strategies.

Notably, Helm Investment’s profile includes several features that are uncommon for a firm of its size: it serves as adviser to a private pooled fund, manages pooled vehicle assets, and accepts performance-based fees for the fund with hurdle and loss-recovery mechanisms. The firm states it follows procedures intended to address incentives created by performance allocations and complies with applicable qualified-client and regulatory requirements.