THE HUMPHREYS GROUP
THE HUMPHREYS GROUP, LLC Legal Name
Adviser information for THE HUMPHREYS GROUP last updated from Form ADV on February 16th, 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 | California, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| 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 | 121 | $283.6M |
| Non-Discretionary | 0 | $0 |
| Total | 121 | $283.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 47 | $12.8M |
| HNW Individuals | 69 | $253.8M |
| 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 | 3 | $11.6M |
| Charitable organizations | 2 | $5.4M |
| 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 | 0 |
| No. of Non-U.S. Clients | 0 |
| 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 | 801-63494 |
|---|---|
| SEC ERA File Number | 801-63494 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 132415 |
| Legal Entity Identifier | None |
Principal Office
220 MONTGOMERY STREETSUITE 1850
SAN FRANCISCO
CA
United States
Monday - Friday, 8:30AM TO 5:00PM
Tel: 415-928-0401, Fax: 415-660-9019
Chief Compliance Officer
DIANE BOURDO
PRESIDENT
220 MONTGOMERY STREET
SUITE 1850
SAN FRANCISCO
CA
United States
Tel:
415-928-0401
Fax:
415-660-9019
D****@*****************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BOURDO, DIANE, SUSAN | Individual | – | PRESIDENT/CHIEF COMPLIANCE OFFICER | 07/2004 | > 75% |