Assets under management Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total AUM
Total Accounts
10Y AUM Change
Private Funds
Private funds reported by Humphreys Capital, LLC
Loading private fund disclosures…
Employee Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total Employees
Clients per Employee
10Y Employee Change
Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.
Ownership
Reported direct and indirect ownership ranges
Each range applies to a separate reported relationship and should not be added together.
Reported ownership ranges
Highlighted bands show the percentage range reported in Form ADV.
0%25%50%75%100%
THE HUMPHREYS COMPANY, LLCDirect owner · Schedule AInterest in HUMPHREYS CAPITAL, LLC
50% to < 75%
HL AMERICAN INVESTMENTS, LLCDirect owner · Schedule AInterest in HUMPHREYS CAPITAL, LLC
10% to < 25%
GRANT CARLTON HUMPHREYSDirect owner · Schedule AInterest in HUMPHREYS CAPITAL, LLC
< 5%
DON E POWELLDirect owner · Schedule AInterest in HUMPHREYS CAPITAL, LLC
< 5%
DEREK TODD GREENDirect owner · Schedule AInterest in HUMPHREYS CAPITAL, LLC
< 5%
GRACE ANNE MIDDLEBROOKSDirect owner · Schedule AInterest in HUMPHREYS CAPITAL, LLC
< 5%
GRACE ANNE MIDDLEBROOKSIndirect owner · Schedule BInterest in ANNIE HUMPHREYS COMPANY, LLC
75%+
GRANT CARLTON HUMPHREYSIndirect owner · Schedule BInterest in GRANT HUMPHREYS COMPANY, LLC
75%+
ANNIE HUMPHREYS COMPANY, LLCIndirect owner · Schedule BInterest in THE HUMPHREYS COMPANY, LLC
25% to < 50%
GRANT HUMPHREYS COMPANY, LLCIndirect owner · Schedule BInterest in THE HUMPHREYS COMPANY, LLC
25% to < 50%
Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to Humphreys Capital, LLC.
Reported ownership and control details
Form ADV · Filing date 2026-04-10 · Schedules A and B
| # | Owner / person & role | Interest in entity | Reported interest | Control person | Title / status acquired | Source |
|---|---|---|---|---|---|---|
| 1 | THE HUMPHREYS COMPANY, LLCMEMBERDomestic entity | HUMPHREYS CAPITAL, LLC | 50% to less than 75%Code D | Yes | MEMBER01/2017 | Schedule APDF page 38 |
| 2 | HL AMERICAN INVESTMENTS, LLCMEMBERDomestic entity | HUMPHREYS CAPITAL, LLC | 10% to less than 25%Code B | Yes | MEMBER01/2017 | Schedule APDF page 38 |
| 3 | GRANT CARLTON HUMPHREYSEXECUTIVE CHAIRMAN AND MEMBER OF THE BOARD OF DIRECTORSIndividual | HUMPHREYS CAPITAL, LLC | Less than 5%Code NA | Yes | EXECUTIVE CHAIRMAN AND MEMBER OF THE BOARD OF DIRECTORS08/2016 | Schedule APDF page 38 |
| 4 | TYSON LANE WILLIAMSCHIEF COMPLIANCE OFFICER & GENERAL COUNSELIndividual | HUMPHREYS CAPITAL, LLC | Less than 5%Code NA | Yes | CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL09/2025 | Schedule APDF page 38 |
| 5 | MAX JOSEPH MYERSCHIEF EXECUTIVE OFFICERIndividual | HUMPHREYS CAPITAL, LLC | Less than 5%Code NA | Yes | CHIEF EXECUTIVE OFFICER09/2025 | Schedule APDF page 38 |
| 6 | DON E POWELLMEMBER OF THE BOARD OF DIRECTORSIndividual | HUMPHREYS CAPITAL, LLC | Less than 5%Code NA | Yes | MEMBER OF THE BOARD OF DIRECTORS10/2025 | Schedule APDF page 39 |
| 7 | DEREK TODD GREENMEMBER OF THE BOARD OF DIRECTORSIndividual | HUMPHREYS CAPITAL, LLC | Less than 5%Code NA | Yes | MEMBER OF THE BOARD OF DIRECTORS10/2025 | Schedule APDF page 39 |
| 8 | GRACE ANNE MIDDLEBROOKSMEMBER OF THE BOARD OF DIRECTORSIndividual | HUMPHREYS CAPITAL, LLC | Less than 5%Code NA | Yes | MEMBER OF THE BOARD OF DIRECTORS10/2025 | Schedule APDF page 39 |
| 9 | DANNA HUMPHREYS REVOCABLE TRUSTMEMBERDomestic entity | THE HUMPHREYS COMPANY, LLC | Percentage not specifiedCode F | No | MEMBER01/1997 | Schedule BPDF page 39 |
| 10 | KIRK HUMPHREYS REVOCABLE TRUSTMEMBERDomestic entity | THE HUMPHREYS COMPANY, LLC | Percentage not specifiedCode F | No | MEMBER01/1997 | Schedule BPDF page 39 |
| 11 | ANNIE HUMPHREYS COMPANY, LLCMEMBERDomestic entity | THE HUMPHREYS COMPANY, LLC | 25% to less than 50%Code C | Yes | MEMBER11/1997 | Schedule BPDF page 39 |
| 12 | GRANT HUMPHREYS COMPANY, LLCMEMBERDomestic entity | THE HUMPHREYS COMPANY, LLC | 25% to less than 50%Code C | Yes | MEMBER11/1997 | Schedule BPDF page 39 |
| 13 | GRANT CARLTON HUMPHREYSEXECUTIVE CHAIRMAN AND MEMBER OF THE BOARD OF DIRECTORSIndividual | THE HUMPHREYS COMPANY, LLC | Percentage not specifiedCode F | Yes | EXECUTIVE CHAIRMAN AND MEMBER OF THE BOARD OF DIRECTORS01/1997 | Schedule BPDF page 39 |
| 14 | KIRK DAVID HUMPHREYSMEMBER OF THE BOARD OF DIRECTORSIndividual | THE HUMPHREYS COMPANY, LLC | Percentage not specifiedCode F | Yes | MEMBER OF THE BOARD OF DIRECTORS12/1997 | Schedule BPDF page 39 |
| 15 | GRACE ANNE MIDDLEBROOKSMANAGING MEMBERIndividual | ANNIE HUMPHREYS COMPANY, LLC | 75% or moreCode E | Yes | MANAGING MEMBER12/1996 | Schedule BPDF page 39 |
| 16 | GRANT CARLTON HUMPHREYSMEMBERIndividual | GRANT HUMPHREYS COMPANY, LLC | 75% or moreCode E | Yes | MEMBER11/1997 | Schedule BPDF page 39 |
| 17 | MART DELYN GREENSECRETARYIndividual | HL AMERICAN INVESTMENTS, LLC | Percentage not specifiedCode F | Yes | SECRETARY02/2014 | Schedule BPDF page 39 |
| 18 | STEVEN TODD GREENPRESIDENTIndividual | HL AMERICAN INVESTMENTS, LLC | Percentage not specifiedCode F | Yes | PRESIDENT02/2014 | Schedule BPDF page 39 |
| 19 | DARSEE DAWN DE'ETTE LETTMEMBERIndividual | HL AMERICAN INVESTMENTS, LLC | Percentage not specifiedCode F | Yes | MEMBER02/2014 | Schedule BPDF page 39 |
| 20 | 2012 GREEN FAMILY DYNASTY TRUSTMEMBERDomestic entity | HL AMERICAN INVESTMENTS, LLC | Percentage not specifiedCode F | Yes | MEMBER01/1997 | Schedule BPDF page 39 |
| 21 | MART DELYN GREENTRUSTEE OF 2012 GREEN FAMILY DYNASTRY TRUSTIndividual | 2012 GREEN FAMILY DYNASTY TRUST | Percentage not specifiedCode F | Yes | TRUSTEE OF 2012 GREEN FAMILY DYNASTRY TRUST01/2012 | Schedule BPDF page 40 |
| 22 | STEVEN TODD GREENTRUSTEE OF 2012 GREEN FAMILY DYNASTRY TRUSTIndividual | 2012 GREEN FAMILY DYNASTY TRUST | Percentage not specifiedCode F | Yes | TRUSTEE OF 2012 GREEN FAMILY DYNASTRY TRUST01/2012 | Schedule BPDF page 40 |
| 23 | DARSEE DAWN DE'ETTE LETTTRUSTEE OF 2012 GREEN FAMILY DYNASTRY TRUSTIndividual | 2012 GREEN FAMILY DYNASTY TRUST | Percentage not specifiedCode F | Yes | TRUSTEE OF 2012 GREEN FAMILY DYNASTRY TRUST01/2012 | Schedule BPDF page 40 |
| 24 | KIRK DAVID HUMPHREYSCO-TRUSTEE OF KIRK HUMPHREYS REVOCABLE TRUSTIndividual | KIRK HUMPHREYS REVOCABLE TRUST | Percentage not specifiedCode F | Yes | CO-TRUSTEE OF KIRK HUMPHREYS REVOCABLE TRUST01/1997 | Schedule BPDF page 40 |
| 25 | DANNA HUMPHREYSCO-TRUSTEE OF DANNA HUMPHREYS REVOCABLE TRUSTIndividual | DANNA HUMPHREYS REVOCABLE TRUST | Percentage not specifiedCode F | Yes | CO-TRUSTEE OF DANNA HUMPHREYS REVOCABLE TRUST01/1997 | Schedule BPDF page 40 |
| 26 | KIRK DAVID HUMPHREYSCO-TRUSTEE OF DANNA HUMPHREYS REVOCABLE TRUSTIndividual | DANNA HUMPHREYS REVOCABLE TRUST | Percentage not specifiedCode F | Yes | CO-TRUSTEE OF DANNA HUMPHREYS REVOCABLE TRUST01/1997 | Schedule BPDF page 40 |
| 27 | DANNA HUMPHREYSCO-TRUSTEE OF KIRK HUMPHREYS REVOCABLE TRUSTIndividual | KIRK HUMPHREYS REVOCABLE TRUST | Percentage not specifiedCode F | Yes | CO-TRUSTEE OF KIRK HUMPHREYS REVOCABLE TRUST01/1997 | Schedule BPDF page 40 |
| 28 | GRACE ANNE MIDDLEBROOKSMEMBER OF THE BOARD OF DIRECTORSIndividual | THE HUMPHREYS COMPANY, LLC | Percentage not specifiedCode F | Yes | MEMBER OF THE BOARD OF DIRECTORS10/2025 | Schedule BPDF page 40 |
Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.
Compliance & Disclosures
Filing dated 4/10/2026 10:29:59 AM
Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.
RIA or supervised-person involvementThe RIA reported that none of the events below involve the firm or its supervised persons.RIA responseNo
AFelonies2 No
In the past ten years, have you or any advisory affiliate:
- A1Been convicted of or pleaded guilty or no contest to a felony?No
- A2Been charged with a felony?No
BMisdemeanors2 No
In the past ten years, have you or any advisory affiliate:
- B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
- B2Been charged with a misdemeanor of the kind listed above?No
CSEC or CFTC actions5 No
Has the SEC or CFTC ever:
- C1Found you or an advisory affiliate made a false statement or omission?No
- C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?No
- C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- C4Entered an order against you or an advisory affiliate in connection with investment-related activity?No
- C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?No
DOther regulatory actions5 No
Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:
- D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
- D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
- D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
- D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No
ESelf-regulatory organization actions4 No
Has a self-regulatory organization or commodities exchange ever:
- E1Found you or an advisory affiliate made a false statement or omission?No
- E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
- E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No
FProfessional authorizations1 No
- FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No
GPending regulatory proceedings1 No
- GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No
HCivil judicial actions and proceedings4 No
(1) Court actions
Has a domestic or foreign court:
- H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
- H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
- H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No
(2) Pending civil proceedings
- H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No
* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.