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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

THE HUMPHREYS GROUP

THE HUMPHREYS GROUP, LLC, CRD 132415

SAN FRANCISCO, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:875336fc-07e0-1722-4db9-320268fbba8b

Data as of Feb 16, 2024 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 5
On other graphs: 0
Observed: Mar 23, 2012 to Feb 16, 2024
17 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $284MItem 5.F on the latest filing (2024-02-16); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $284M
Private client RAUM: $267MderivedItem 5.D individuals plus high net worth individuals
Private client share: 94%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 121
Individual clients: 47
High net worth clients: 69
Custody, client assets: $4.0M
SEC number: 801-63494
CRD: 132415
Filings on the tape: 17
First filed: Mar 23, 2012
Latest filed: Feb 16, 2024
Organised: Limited Liability Company, California
Website: humphreysgroup.com

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BOURDO, DIANE, SUSAN	PRESIDENT/CHIEF COMPLIANCE OFFICER	E	yes	07/2004	Mar 23, 2012	Feb 16, 2024

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023	Feb 16, 2024	$284M	$284M	6	3	0	n/a	n/a
2022	Mar 15, 2023	$252M	$252M	6	3	0	n/a	n/a
2021	Feb 16, 2022	$291M	$291M	5	3	0	n/a	n/a
2020	Mar 10, 2021	$236M	$236M	5	3	0	n/a	n/a
2019	Mar 9, 2020	$224M	$224M	5	3	0	n/a	n/a
2018	Feb 5, 2019	$194M	$194M	4	2	0	n/a	n/a
2017	Mar 12, 2018	$183M	$183M	4	2	0	n/a	n/a
2016	Mar 8, 2017	$161M	$161M	4	2	n/a	n/a	n/a
2015	Jan 29, 2016	$147M	$147M	4	2	n/a	n/a	n/a
2014	Mar 16, 2015	$152M	$152M	4	2	n/a	n/a	n/a
2013	Mar 24, 2014	$145M	$145M	3	2	n/a	n/a	n/a
2012	Jan 31, 2013	$131M	$131M	3	2	n/a	n/a	n/a
2011	Mar 23, 2012	$126M	$126M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$284M	$252M	12.4%	$236M	6.4%	6	6	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
TREEHOUSE WEALTH ADVISORS	3	Jan 16, 2025	Feb 5, 2025	SAN FRANCISCO, CA	Firm absorbed	RIA to RIA	100.0%

Relationships

Controls (1)

← BOURDO, DIANE, SUSANOwnerPRESIDENT/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 23, 2012 to presentfactForm ADV

Moved with (1)

→ TREEHOUSE WEALTH ADVISORSRegistered adviser3 advisors, firm absorbed, same day
Jan 16, 2025 to Feb 5, 2025factForm ADV

Registered with (3)

← DIANE SUSAN BOURDOAdvisorregistration: previous registration
Mar 1, 2006 to Jan 16, 2025factForm ADV
← HALLIE ELIZABETH KRAUSAdvisorregistration: previous registration
Mar 3, 2020 to Jan 16, 2025factForm ADV
← Alexis Whitney OlianAdvisorregistration: previous registration
Sep 27, 2016 to Jan 16, 2025factForm ADV

Dated events

Occurred
Feb 3, 2025
Left the SEC roster
The Humphreys Group no longer on the SEC adviser roster (last listed 2025-01-02, RAUM $283.6M)
Form ADVobserved 6 days ago
$284M
Occurred
Jan 16, 2025
Firm absorbed
The Humphreys Group's advisors moved to Treehouse Wealth Advisors (San Francisco, CA): 3 of 3 registered, on the same day
Form ADVobserved 6 days ago
3 advisors
Occurred
Jan 16, 2025
Advisor changed firm
Diane Susan Bourdo left The Humphreys Group for Treehouse Wealth Advisors (registered 2025-02-05)
Form ADVobserved 6 days ago
Occurred
Jan 16, 2025
Advisor changed firm
Alexis Whitney Olian left The Humphreys Group for Treehouse Wealth Advisors (registered 2025-02-05)
Form ADVobserved 6 days ago
Occurred
Jan 16, 2025
Advisor changed firm
Hallie Elizabeth Kraus left The Humphreys Group for Treehouse Wealth Advisors (registered 2025-02-05)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:875336fc-07e0-1722-4db9-320268fbba8b
First observed: Mar 23, 2012
Last observed: Feb 16, 2024 31 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

THE HUMPHREYS GROUP

THE HUMPHREYS GROUP, LLC, CRD 132415

SAN FRANCISCO, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:875336fc-07e0-1722-4db9-320268fbba8b

Data as of Feb 16, 2024 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:13 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BOURDO, DIANE, SUSAN

PRESIDENT/CHIEF COMPLIANCE OFFICER

yes

07/2004

Mar 23, 2012

Feb 16, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2023

Feb 16, 2024

$284M

n/a

2022

Mar 15, 2023

$252M

n/a

2021

Feb 16, 2022

$291M

n/a

2020

Mar 10, 2021

$236M

n/a

2019

Mar 9, 2020

$224M

n/a

2018

Feb 5, 2019

$194M

n/a

2017

Mar 12, 2018

$183M

n/a

2016

Mar 8, 2017

$161M

n/a

2015

Jan 29, 2016

$147M

n/a

2014

Mar 16, 2015

$152M

n/a

2013

Mar 24, 2014

$145M

n/a

2012

Jan 31, 2013

$131M

n/a

2011

Mar 23, 2012

$126M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2023

$284M

$252M

12.4%

$236M

6.4%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

TREEHOUSE WEALTH ADVISORS

Jan 16, 2025

Feb 5, 2025

SAN FRANCISCO, CA

Firm absorbed

RIA to RIA

100.0%