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Helikon Investments Limited: investment adviser
Helikon Investments Limited is an investment adviser registered with the SEC (file 802-118539, CRD 307662). What it reports on Form ADV: assets and clients, fees, owners, disciplinary history and its client brochure. From the SEC's Investment Adviser Public Disclosure site; read Oct 21, 2026.
- Assets managed
- –
- Discretionary
- –
- Accounts
- –
- Employees
- –
- In advisory roles
- –
- Disclosures
- 1
Company page · SEC adviser record · Full Form ADV (PDF)
The firm reports no custody of client cash or securities.
Form ADV Part 1A, Item 5, as filed on the SEC Investment Adviser Public Disclosure site; read Oct 21, 2026.
Who owns it
Schedule A lists direct owners of 5% or more (and officers who own a stake); Schedule B lists the owners of those owners.
Direct owners (Schedule A)
| Owner | Type | Role | Stake | Since | Control | Public company |
|---|---|---|---|---|---|---|
| Helikon Investments Holdings Company Limited | Company (outside the U.S.) | Holding company | E 75% or more | Oct 2019 | Yes |
Indirect owners (Schedule B)
| Owner | Owns a stake in | Type | Stake | Control | Public company |
|---|---|---|---|---|---|
| F Squared S.R.L. | Rule 72 S.R.L. | Company (outside the U.S.) | E 75% or more | Yes | |
| Federico Riggio | F Squared S.R.L. | Person | E 75% or more | Yes | |
| Rule 72 S.R.L. | Helikon Investments Holdings Company Controller Limited | Company (outside the U.S.) | D 50% to 75% | Yes |
Form ADV reports ownership in bands, not exact stakes: A means 5% to 10%, B 10% to 25%, C 25% to 50%, D 50% to 75%, E 75% or more. F marks a general partner, trustee or managing member, a role that controls the firm without a percentage. Owners of less than 5% are not listed.
Form ADV Schedules A and B, via the SEC Investment Adviser Public Disclosure site.
Disciplinary history
What the firm disclosed under Item 11 of Form ADV. A disclosure is the firm's own report: pending matters are allegations, not findings, and many settlements are made without admitting or denying them. Text is quoted from the filing, set in sentence case.
Item 11 questions answered Yes
These questions cover the firm and its advisory affiliates.
- Has the SEC or the Commodity Futures Trading Commission (CFTC) ever: found you or any advisory affiliate to have been involved in a violation of SEC or CFTC regulations or statutes?
- Has the SEC or the Commodity Futures Trading Commission (CFTC) ever: entered an order against you or any advisory affiliate in connection with investment-related activity?
Actions about the firm (1)
- Sep 21, 2021Regulatory Action: SEC FinalSanctions: Disgorgement; Cease-and-desist prejudgment interest civil money penalty · Fine: $97,523 · Begun Aug 23, 2021 · Resolved Sep 21, 2021 · Settled · Docket NO. 3-20587
On December 18 2020, Helikon self-reported to the SEC that they sold short american depositary shares ("adss" or "shares") and then, within the rule's five-day restricted period, purchased adss of the same issuer in an offering, thereby violating rule 105.
Closed, disgorgement of profit and minor financial penalty. No information Filed
Form ADV Item 11 and its Disclosure Reporting Pages, via the SEC record. All adviser disciplinary records.
The brochure
No brochure text was read for this firm.
Form ADV Part 2A, via the SEC Investment Adviser Public Disclosure site.