9AT: HELM CAPITAL MANAGEMENT

Adviser Profile

As of Date	04/21/2026
Registration	SEC, Approved, 03/09/2015
Other registrations (2)	Washington, Terminated, 03/31/2015 Texas, Terminated, 03/24/2015
ADV Location	SEATTLE, WA, United States
Contact Info	206 xxxxxxx
Websites

AUM^*	400,804,452 100%
of that, discretionary	400,804,452 100%
Number of Employees	1
of those in investment advisory functions	1
Private Fund GAV^*	0
Avg Account Size	2,602,626 94%
% High Net Worth	80.77% -17%
SMA’s	Yes
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals

Advisory Activities

- Portfolio management for individuals and/or small businesses
- Selection of other advisers

Compensation Arrangments

- A percentage of assets under your management
- Fixed fees (other than subscription fees)

Adviser	Hedge Fund	Liquidity Fund	Private Equity Fund	Real Estate Fund	Securitized Asset Fund	Venture Capital Fund	Other Fund	Total Private Fund GAV	AUM	#Funds
Adviser J.K. FINANCIAL, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM195.8m	#Funds-
Adviser ETRE LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM216.8m	#Funds-
Adviser BLUELIST PARTNERS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM134.3m	#Funds-
Adviser SEAHORSE FINANCIAL ADVISERS INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM86.7m	#Funds-
Adviser STERLING ASSET MANAGEMENT CO INC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM87.0m	#Funds-
Adviser ROMAIN WALSH CLEROU PROFESSIONAL INVESTMENT MGMT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM218.9m	#Funds-
Adviser BRAZOS CAPITAL	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM102.5m	#Funds-
Adviser CLEAR ROCK ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM429.9m	#Funds-
Adviser MOSAIC WEALTH MANAGEMENT, L.L.C.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM238.8m	#Funds-
Adviser THE SUM	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM551.4m	#Funds-

Brochure Summary

Overview

A. Helm Capital Management LLC (“HELM”) is an investment management firm that has been in business since November 21, 2002. Edward S. Malakoff is the Principal and Chief Compliance Officer (“CCO”) of Helm Capital Management LLC. B. HELM provides investment supervisory services to high net worth individuals. We manage our clients’ assets, focusing on, but not limited to, stock and bond portfolios. In appropriate situations, HELM will select other advisers to manage a portion of the client’s portfolio. HELM also provides consulting services to clients. The consulting services are in addition to the investment advisory supervision of liquid assets under management. These consulting services can include, for example, estate planning, analysis of illiquid assets and liabilities, tax coordination, charitable planning and risk management. In performing these consulting services, HELM is not required to verify any information received from the client or from the client’s other professionals (e.g attorney, accountant, etc.). HELM may recommend the services of itself and/or other professionals to implement recommendations. Clients are advised that a conflict of interest exists if HELM recommends its own services. The client is under no obligation to act upon any of the recommendations made by HELM under a consulting services engagement. The client

retains absolute discretion over all such implementation decisions and is free to accept or reject any of HELM’s recommendations. HELM tailors its advisory services to the individual needs of clients. HELM consults with clients initially and on an ongoing basis to determine risk tolerance time horizon and other factors that may impact the clients’ investment needs and objectives. Clients are advised that it remains their responsibility to promptly notify HELM if there is ever any change in their financial situation or investment objectives for the purpose of reviewing evaluating or revising HELM’s previous recommendations and/or services. C. HELM investment supervisory services are personalized and are designed to accommodate each client’s investment objectives and longer-term goals. Prior to implementing an investment program, specific investment goals and objectives are discussed and are usually stated in writing and kept on file. Client may impose restrictions on investing in certain types of securities. D. HELM does not participate in a wrap program. E. HELM, as of March 22, 2024, had a total of $199,958,063 under management in a total of 150 accounts. Discretionary Assets: $ 199,958,063 149 accounts Non-Discretionary Assets: $0 0 accounts Total Assets: $ 199,958,063 149 accounts

HELM CAPITAL MANAGEMENT

HELM CAPITAL MANAGEMENT

HELM CAPITAL MANAGEMENT LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

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HELM CAPITAL MANAGEMENT HELM CAPITAL MANAGEMENT HELM CAPITAL MANAGEMENT LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

HELM CAPITAL MANAGEMENT

HELM CAPITAL MANAGEMENT

HELM CAPITAL MANAGEMENT LLC