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

10

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 an SEC-registered investment advisory firm organized as an LLC and operating since 2003. The firm serves both individual and family clients as well as institutional investors, charging fees based on a percentage of assets under management. Its advisory scope covers discretionary portfolio management across a range of account types, including separately managed accounts for individuals/small businesses, investment companies, pooled investment vehicles, and institutional/business mandates. The firm does not identify as an active ESG investor and is not designated as a multi-state or pension consultant adviser.

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 6

CARLOS SALCEDO
Vice President of Business DevelopmentCRD 6254715
TIMOTHY TODARO
Portfolio Manager, AnalystCRD 2336062
GARY RICE
Portfolio ManagerCRD 2335569

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Wealth teams

Newly hired reps

Recent M&A activity

Recent filings

Awards

ETF holdings

1 of 1

Active vs passive

$2M in ETFs

Passive

100%

$2M

Active

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%

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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