Rice Hall James & Associates LLC (San Diego)

Name: Rice Hall James & Associates LLC
Address: 600 West Broadway Suite 1000, San Diego, CA, 92101 3383
Telephone: 619-239-9005

Rice Hall James & Associates LLC is a large advisory firm based in San Diego. It manages $3.05 billion of regulatory assets for 463 client accounts. It has been registered with the SEC as an adviser since 2003 and has operated in the jurisdictions of Arizona, California, Connecticut, and 25 other states.

Rice Hall James & Associates provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, and other: wrap. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Rice Hall James & Associates: assets under management

The assets under management (AUM) of Rice Hall James & Associates LLC is $3.05 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 101% since the beginning of its operation, and $319.39 million of the total AUM is attributable to clients outside of the United States.

The firm manages $3.05 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $6.59 million each.

Rice Hall James & Associates has custody of $37.92 million in cash and securities for 23 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 95% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 4% of the firm’s portfolio. Investments in investment grade corporate bonds form 1% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Rice Hall James & Associates LLC for their services and products based on a percentage of assets under management, fixed fees, and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Rice Hall James & Associates serves?

The firm provides services to individuals, investment companies, charitable organizations, high net worth individuals, pooled investment vehicles, corporations or other businesses, pension and profit sharing plans, and state or municipal government entities. The largest group of clients of Rice Hall James & Associates is state or municipal government entities with 14 clients and $546.84 million of assets under management. Among the 6 most similar advisory firms, Rice Hall James & Associates has the highest percentage of state or municipal government entities out of all clients.

The amount of regulatory assets under management is $2.86 billion for 457 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 2% of the firm’s clients are foreign persons or businesses.

Rice Hall James & Associates doesn't advise any private funds.

Careers at Rice Hall James & Associates LLC

The company employs 32 people that are either part- or full-time employees. 56 percent of the employees work as investment advisers or researchers. 10 employees are registered as investment adviser representatives with the state securities authorities.

There’s a single person with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Gary Schuler Rice	Portfolio manager	1 Aug 1987	Other	2335569
Thomas W Mcdowell	Managing member, chief executive officer	1 Feb 2003	25% - 50%	1918831
Timothy Alan Todaro	Managing member	1 Feb 2003	Other	2336062
Llc Rhj Management Company	Owner	1 Feb 2003	50% - 75%	43-1992529
L.P. Rosemont Partners I	Owner	1 Feb 2003	25% - 50%	06-1582950
Kevin Thomas Hamilton	President & treasurer, management committee	1 Feb 2003	Other	2139752
David D Silvera	Management committee	1 Feb 2003	Other	1563838
Patricia Ann Urbonya	Coo & secretary	1 Feb 2003	Other	4343571
David Diblee Silvera	Rosemont representative	1 Feb 2003	Other	1563838
Patricia Ann Urbonya	Coo,cco	1 Jan 2004	Other	4343571
Tami Marie Pester	Cco	1 Dec 2004	Other	3246212
Tami Marie Wood	Cco	1 Dec 2004	Other	3246212
Carl M Obeck	Chief administrative officer	1 Jan 2005	Other	4938382
Donald Ogden Dempster	Chief compliance officer	1 Feb 2007	Other	2500548
Carl M Obeck	Member, chief financial officer	1 Jun 2009	Other	4938382
Thuong Thao Nguyen Buu Hoan	Managing member, chief operating officer, president	1 Jun 2009	Other	4551637
Cara Margaret Thome	Managing member	1 Jun 2009	Other	2974020
Janine A Marquez	Chief compliance officer	1 Jun 2009	Other	5697362
Janine Ann Marquez	Chief compliance officer	1 Jun 2009	Other	5697362

Indirect Owners

The SEC currently registers 6 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Kbc Bank & Insurance Holding Co.	Shareholder	1 Jun 1998	75% - 100%	foreign entity
Almanij Nv	Shareholder	1 Jun 1998	50% - 75%	foreign entity
Cera Holding Cvba	Shareholder	1 Jun 1998	25% - 50%	foreign entity
Kbc Bank Nv	Limited partner	1 Jan 2001	25% - 50%	foreign entity
Rosemont Investment Partners Llc	General partner	1 Feb 2003	Other	06-1572887
Charles B. Burkhart	Manager	1 Feb 2003	50% - 75%	4511598

Based in San Diego

The principal office where Rice Hall James & Associates LLC performs its advisory services is located at 600 West Broadway Suite 1000, San Diego, CA 92101 3383, which is also the mailing address of the firm. An additional office of the firm is in Pasadena, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 619-239-9005 or by fax 619-239-6034. The normal business hours are 6:30am to 3:30pm on Monday - Friday. You can find more information about the New York firm at rhjfunds.com.