Rice Hall James & Associates LLC
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
FINTRXOverview
Rice Hall James & Associates LLC is an SEC-registered advisory firm formed in 2003 and organized as a limited liability company under individual ownership. The firm manages portfolios for high-net-worth individuals and families as well as institutional clients, charging fees based on a percentage of assets under management. Its advisory scope includes discretionary portfolio management for individuals and small businesses, investment companies, pooled investment vehicles and other business or institutional accounts. Public disclosures indicate the firm is not positioned as a dedicated capital allocator and does not identify as an active ESG investor.
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient 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
Contacts
3 of 6
Carlos Salcedo
Vice President of Business DevelopmentCRD 6254715
Timothy Todaro
Portfolio Manager, AnalystCRD 2336062
Gary Rice
Portfolio ManagerCRD 2335569
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 1Active vs passive
$2M in ETFs
100%
$2M
0%
$0
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| ISHARES RUSSELL 2000 GROWTH ETF (IWO) | BlackRock | Passive | Small Growth | $2M | 6,472 | 100.00% |
Location
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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