RICE FINANCIAL CONSULTING, INC.
Adviser information for RICE FINANCIAL CONSULTING, INC. last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
Type of Organization | Corporation |
---|---|
Fiscal Year End | DECEMBER |
Legal Location | California, United States |
Employees
Total Number of Employees | 2 |
---|---|
Investment Advisory/Research | 2 |
Registered Broker-Dealer Representatives | 0 |
Registered State Investment Advisers | 2 |
Licensed Agents of an Insurance Company | 1 |
No. of Firms/People that Solicit Clients | 0 |
RAUM
Provides Management of Securities Portfolios | Yes |
---|
Type | Accounts | RAUM |
---|---|---|
Discretionary | 0 | $0 |
Non-Discretionary | 337 | $206.1M |
Total | 337 | $206.1M |
Clients
Type | Number | RAUM |
---|---|---|
Individuals | 275 | $56.5M |
HNW Individuals | 62 | $149.6M |
Banking or thrift institutions | 0 | $0 |
Investment companies | 337 | $0 |
Business development companies | 0 | $0 |
Pooled investment vehicles | 0 | $0 |
Pension and profit sharing plans | 0 | $0 |
Charitable organizations | 0 | $0 |
State or municipal gov entities | 0 | $0 |
Other investment advisers | 0 | $0 |
Insurance companies | 0 | $0 |
Sovereign wealth funds and foreign official institutions | 0 | $0 |
Corporations or other businesses | 0 | $0 |
Other | 0 | $0 |
Type | Number |
---|---|
No. of Non-RAUM Clients | 0 |
No. of Non-U.S. Clients | 0 |
No. of Financial Planning Clients | 0 |
Services
Advisory Services | Selection of other advisers (including private fund managers) |
---|---|
Compensation | % of AUM |
Identifiers
SEC RIA File Number | 801-107140 |
---|---|
SEC ERA File Number | 801-107140 |
SEC CIK Numbers | None |
SEC CRD Numbers | 170346 |
Legal Entity Identifier | None |
Principal Office
300 E. MAIN STREETLOS GATOS
CA
United States
Monday - Friday, 8:00 AM - 5 PM
Tel: (408) 354-3400, Fax: (408) 354-3404
Chief Compliance Officer
JAN HUNDRIESER
300 EAST MAIN STREET
LOS GATOS
CA
United States
Tel:
(408) 354-3400
Fax:
(408) 354-3404
J**********@*********M
(Full email address available in API data)
Regulatory Contact
STEPHEN RICE
PRESIDENT
300 EAST MAIN STREET
LOS GATOS
CA
United States
Tel:
(408) 354-3400
Fax:
(408) 354-3404
S****@*********M
(Full email address available in API data)
Industry Affiliates
None |
Private Funds
Name | Type | Assets $USD | Min Investment $USD | No. Owners |
---|
None
Control Persons
Name | Type | Entity | Title | Since | Ownership |
---|---|---|---|---|---|
RICE, STEPHEN, MANFRED | Individual | – | PRESIDENT | 09/2003 | > 75% |
HUNDRIESER, DOROTHY, JANET | Individual | – | MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER | 07/2014 | < 5% |