Rice Hall James & Associates LLC

CRD#125410
Investment Advisor Firm

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Learn more about Rice Hall James & Associates LLC

  • Overview
  • By the Numbers
  • Fee Structure
  • Types of Clients
  • Disclosures
  • State Registrations
  • Office Locations
  • Firm Advisors

    • Overview

    Rice Hall James & Associates LLC is located at 600 West Broadway Suite 1000, San Diego, CA. The firm employs 14 financial advisors. Rice Hall James & Associates LLC is not a registered broker-dealer.

    The firm manages $1.8 billion in assets across 265 accounts, all of which are discretionary. Services offered include portfolio management for individuals and small businesses, investment companies, pooled investment vehicles, and institutional clients, as well as other services. The firm serves a range of investors, including retail investors, high net worth investors, investment companies, pooled investment vehicles, pension plans, charitable organizations, state or municipal government entities, corporations, and others. The fee structure includes asset-based and performance-based fees. Retail investors represent the largest client type by accounts, and there are 79 high net worth clients.

    Rice Hall James & Associates LLC is registered in California, Florida, Georgia, Illinois, Indiana, Louisiana, Massachusetts, Minnesota, New Jersey, New York, North Carolina, Ohio, Oklahoma, Pennsylvania, Virginia, Missouri, Washington, Texas, and New Hampshire.

    Assets Under Management

    $1.8 billion

    Number of Advisors

    14

    Disclosures

    No

    Office Location

    600 West Broadway Suite 1000
    San Diego, CA 92101

    Rice Hall James & Associates LLC by the Numbers

    Total Assets Under Management

    $1.8 billion

    National Average: $8.6 billion
    Total Number of Employees

    25

    National Average: 64
    Total Number of Accounts

    265

    National Average: 375,227
    Average Account Size

    $6.7 million

    National Average: $23.0 thousand
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    Fee Structure

    Fees for financial advice largely vary depending on which service is provided. However, fees billed by Rice Hall James & Associates LLC may include some combination of the following fee types: asset-based and performance-based. The firm does participate in a wrap fee program, in which the firm offers a service bundle for a comprehensive fee.It can withdraw the expenses directly from customer funds.

    Available

    • Offered by 69% of firms

      Percentage of Assets

      Show Explanation

      This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

    • Offered by 26% of firms

      Performance-based

      Show Explanation

      Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

    Unavailable

    • Find one of the 21% of firms that offer this fee type

      Hourly

      Show Explanation

      Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

    • Find one of the 1% of firms that offer this fee type

      Commissions

      Show Explanation

      Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

    • Find one of the 0% of firms that offer this fee type

      Subscription

      Show Explanation

      Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

    • Find one of the 32% of firms that offer this fee type

      Fixed

      Show Explanation

      Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

    • Find one of the 10% of firms that offer this fee type

      Other

      Show Explanation

      Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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    Types of Clients

    The firm manages money for a number of different investors. Rice Hall James & Associates LLC works with retail investors, high net worth investors, investment companies, pooled investment vehicles, pension plans, charitable organizations, state or municipal government entities, corporations, and other. Out of its 265 clients, Rice Hall James & Associates LLC's largest client by number of accounts is retail investors, though it also serves 79 high-net-worth individuals. A high-net-worth individual is defined by the SEC as an individual who has at least $750,000 under management or a net worth of more than $1.50 million or who is a "qualified purchaser" (a standard met by having at least $5 million in investments). Just 2% of its clients reside abroad.

    • High-Net-Worth Individuals* - 29.81%
    • Other Individuals - 53.21%
    • Corporations - 13.21%
    • Charitable Organizations - 3.77%

    * The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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    Disclosures

    Rice Hall James & Associates LLC does not have any disclosures.

    Please visit its Form ADV for more details.

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    Financial Advisors at Rice Hall James & Associates LLC

    Carlos Salcedo
    San Diego, CA
    Anthon Shaw
    San Diego, CA
    Louis Holtz
    Pasadena, CA
    Thomas Mcdowell
    San Diego, CA
    Timothy Todaro
    San Diego, CA
    Thuong-Thao Buu-Hoan
    San Diego, CA
    Gary Rice
    San Diego, CA

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