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 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
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
Carl Obeck
Chief Financial OfficerCRD 4938382
Janine Marquez
Chief Compliance OfficerCRD 5697362
Contacts
3 of 5
Thuong-thao Buu-hoan
PresidentCRD 4551637
Gary Rice
Portfolio ManagerCRD 2335569
Timothy Todaro
Portfolio Manager, AnalystCRD 2336062
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 2Active vs passive
$7.8M in ETFs
100%
$7.8M
0%
$0
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| ISHARES RUSSELL 2000 GROWTH ETF (IWO) | BlackRock | Passive | Small Growth | $3.9M | 9,918 | 50.00% |
Location
San Diego, CA
San Diego
Location
San Diego, CA
Headquartered in San Diego, CA, anchoring the San Diego-Chula Vista-Carlsbad, CA metro in the West.
- Metro area
- San Diego-Chula Vista-Carlsbad, CA
- Region
- West
- County
- San Diego
- Address
- 600 W Broadway
- Time zone
- PT (UTC-8)
- Office locations
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