Rice Hall James & Associates LLC

RIASEC RegisteredEst. 2003

Total AUM

$1.7B

Discretionary

$1.7B

100% of AUM

Avg account

$7M

Accounts

249

Employees

23

Advisory reps

9

Firm details

Headquarters: San Diego, California
CRD number: 125410
Registered since: February 13, 2003
Website: www.ricehalljames.com
Custodians: NORTHERN TRUST SECURITIES, INC., STATE STREET BANK AND TRUST COMPANY, THE BANK OF NEW YORK MELLON
Fee structure: Percentage of AUM
Client types: Pooled Investment Vehicles25.8%
State / Municipal Government17.69%
Pension & Profit Sharing Plans15.69%
Individuals14.12%
Corporations / Businesses10.28%
Services: Portfolio Management for IndividualsPortfolio Management for Investment CompaniesPortfolio Management for Pooled Investment VehiclesPortfolio Management for Institutional Clients

Firm profile

FINTRX

Overview

Rice Hall James & Associates LLC is a privately held investment advisory firm that provides fee-based portfolio management across individual, family and institutional clients. The firm manages discretionary mandates and oversees pooled vehicles and investment companies in addition to separate accounts, charging clients a percentage of assets under management. Its advisory services explicitly include portfolio management for individuals/small businesses, for pooled investment vehicles, and for institutional or business clients. Rice Hall James is not positioned as an ESG-focused allocator.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Read the full firm profile in FINTRX →

Investment profile

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

CRM & tech providers

TAMPs used

Clients

Client base

Client personas

Asset composition

Exchange Traded Equities96%
Cash & Cash Equivalents3%
Investment Grade Corp Bonds1%

Owners & executives

3 of 4

Louis Holtz
Chief Investment OfficerCRD 4329938
Janine Marquez
Chief Compliance OfficerCRD 5697362
Daniel Sargen
Chief Investment Officer And Portfolio ManagerCRD 5267499

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Contacts

3 of 5

Timothy Todaro
Portfolio Manager, AnalystCRD 2336062
Gary Rice
Portfolio ManagerCRD 2335569
Thuong-thao Buu-hoan
PresidentCRD 4551637

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Wealth teams

Newly hired reps

Recent M&A activity

Recent filings

Awards

ETF holdings

1 of 1

Active vs passive

$3.9M in ETFs

Passive

100%

$3.9M

Active

0%

$0

ETF	Provider	Style	Category	Value	Shares	% of portfolio
ISHARES RUSSELL 2000 GROWTH ETF (IWO)	BlackRock	Passive	Small Growth	$3.9M	9,918	100.00%

Primary office

San Diego, CA

San Diego

Location

San Diego, CA

Headquartered in San Diego, CA, in the West of the United States.

Region: West
County: San Diego
Address: 600 W Broadway
Time zone: PT (UTC-8)
Office locations

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