HELMSMAN FINANCIAL GROUP, LLC
Adviser information for HELMSMAN FINANCIAL GROUP, LLC last updated from Form ADV on March 18th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Washington, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 76 | $55.9M |
| Non-Discretionary | 190 | $99.1M |
| Total | 266 | $155.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 56 | $28.6M |
| HNW Individuals | 44 | $126.4M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 2 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-113375 |
|---|---|
| SEC ERA File Number | 801-113375 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 113780 |
| Legal Entity Identifier | None |
Principal Office
17330 135TH AVE NESUITE 2A
WOODINVILLE
WA
United States
BY APPOINTMENT ONLY, 9:00 AM - 5:00 PM
Tel: 425-485-0381, Fax: 425-481-1634
Websites
Chief Compliance Officer
DOUGLAS DON SPRINGER
GENERAL MANAGER
17330 135TH AVE. NE
SUITE 2A
WOODINVILLE
WA
United States
Tel:
425-485-0381
Fax:
425-481-1634
D***@********************M
(Full email address available in API data)
Regulatory Contact
BRANDON DOUGLAS SPRINGER
OPERATIONS MANAGER
17330 135TH AVE NE
SUITE 2A
WOODINVILLE
WA
United States
Tel:
425-485-0381
Fax:
425-481-1634
B******@********************M
(Full email address available in API data)
Industry Affiliates
| JAMES RUSSELL PLLC | Accountant or accounting firm |
| SPRUTE & DAVIS, CPA'S LLP | Accountant or accounting firm |
| WHITSELL & CO. PS | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WHITSELL, GARY, MILTON | Individual | – | MEMBER | 10/1998 | 10-25% |
| RIEKE, CHRISTOPHER, JOHN | Individual | – | MEMBER | 10/1998 | 10-25% |
| HERB SPRUTE, INC. P.C. | Domestic Entity | – | MEMBER | 12/2001 | 10-25% |
| SPRUTE, HERBERT, ANDREW | Individual | HERB SPRUTE, INC. P.C. | OWNER | 12/2001 | > 75% |
| SPRINGER FAMILY LLC | Domestic Entity | – | MEMBER | 04/2023 | 25-50% |
| SPRINGER, DOUGLAS, DON | Individual | SPRINGER FAMILY LLC | MEMBER & MANAGER | 04/2023 | > 75% |
| SPRINGER, DOUGLAS, DON | Individual | – | CHIEF COMPLIANCE OFFICER | 11/1998 | < 5% |