RICE HALL JAMES & ASSOCIATES LLC
Adviser information for RICE HALL JAMES & ASSOCIATES LLC 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 27 |
|---|---|
| Investment Advisory/Research | 15 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 8 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 286 | $1.7B |
| Non-Discretionary | 0 | $0 |
| Total | 286 | $1.7B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 150 | $203.2M |
| HNW Individuals | 82 | $93.0M |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 4 | $112.3M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 2 | $416.6M |
| Pension and profit sharing plans | 5 | $238.5M |
| Charitable organizations | 14 | $63.3M |
| State or municipal gov entities | 10 | $305.1M |
| Other investment advisers | <5 | $0 |
| Insurance companies | <5 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $0 |
| Corporations or other businesses | 13 | $247.9M |
| Other | 6 | $60.9M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 5 |
| No. of Non-U.S. Clients | 2 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsOTHER: WRAP |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 60.9M |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| MANAGER SELECT MANAGED ACCOUNT PROGRAM | LPL FINANCIAL LLC |
| MANAGED ACCOUNT COMMAND PROGRAM | BNY MELLON ADVISORS, INC. |
| STIFEL OPPORTUNITY PROGRAM | STIFEL, NICOLAUS & COMPANY, INCORPORATED |
| UNIFORM OVERLAY MANAGER PROGRAM | DYNASTY WEALTH MANAGEMENT, LLC |
Principal Office
600 WEST BROADWAY SUITE 1000SAN DIEGO
CA
United States
Monday - Friday, 6:30AM TO 3:30PM
Tel: 619-239-9005, Fax: 619-239-6034
Chief Compliance Officer
MARQUEZ, JANINE A.
CHIEF COMPLIANCE OFFICER
600 WEST BROADWAY SUITE 1000
SAN DIEGO
CA
United States
Tel:
619-239-9005
Fax:
619-239-6034
J******@***********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 |
|---|---|---|---|---|---|
| MCDOWELL, THOMAS, W | Individual | – | MANAGING MEMBER, CHIEF EXECUTIVE OFFICER, CO-CHIEF INVESTMENT OFFICER | 02/2003 | 10-25% |
| OBECK, CARL, MARTIN | Individual | – | MEMBER, CHIEF FINANCIAL OFFICER | 06/2009 | 5-10% |
| BUU-HOAN, THUONG-THAO, NGUYEN | Individual | – | MANAGING MEMBER, CHIEF OPERATING OFFICER, PRESIDENT | 06/2009 | 10-25% |
| TODARO, TIMOTHY, ALAN | Individual | – | MANAGING MEMBER, PORTFOLIO MANAGER | 02/2003 | 10-25% |
| THOME, CARA, MARGARET | Individual | – | MANAGING MEMBER, PORTFOLIO MANAGER | 06/2009 | 10-25% |
| MARQUEZ, JANINE, ANN | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2009 | < 5% |
| RICE, GARY, SCHULER | Individual | – | PORTFOLIO MANAGER | 08/1987 | 10-25% |
| HOLTZ, LOUIS, MILLETT | Individual | – | MANAGING MEMBER, CHIEF INVESTMENT OFFICER, PORTFOLIO MANAGER | 10/2018 | 5-10% |
| LIPSKER, YOSSEF, YTZHAK | Individual | – | MANAGING MEMBER, PORTFOLIO MANAGER | 10/2018 | 5-10% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 7th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| 1 800 FLOWERS COM INC | CL A | 2M | 177K | – |
| A10 NETWORKS INC | COM | 5M | 390K | – |
| ABBOTT LABS | COM | 524K | 5K | – |
| ABBVIE INC | COM | 811K | 5K | – |
| ACADIA PHARMACEUTICALS INC | COM | 12M | 743K | – |
| ACCURAY INC | COM | 565K | 310K | – |
| ACI WORLDWIDE INC | COM | 51M | 1M | – |
| ACM RESH INC | COM CL A | 1M | 64K | – |
| ADDUS HOMECARE CORP | COM | 4M | 34K | – |
| ADMA BIOLOGICS INC | COM | 13M | 1M | – |
| AEHR TEST SYS | COM | 4M | 340K | – |
| ALAMO GROUP INC | COM | 3M | 19K | – |
| ALBANY INTL CORP | CL A | 4M | 52K | – |
| ALKERMES PLC | SHS | 11M | 468K | – |
| AMDOCS LTD | SHS | 3M | 38K | – |
| AMERICAN SUPERCONDUCTOR CORP | SHS NEW | 3M | 148K | – |
| AMERICAN VANGUARD CORP | COM | 1M | 165K | – |
| AMICUS THERAPEUTICS INC | COM | 10M | 972K | – |
| ANGIODYNAMICS INC | COM | 2M | 310K | – |
| ANI PHARMACEUTICALS INC | COM | 4M | 61K | – |
| API GROUP CORP | COM STK | 5M | 137K | – |
| APPLE INC | COM | 529K | 3K | – |
| APPLIED OPTOELECTRONICS INC | COM | 1M | 134K | – |
| ARLO TECHNOLOGIES INC | COM | 51M | 4M | – |
| ARMSTRONG WORLD INDS INC NEW | COM | 24M | 215K | – |
| ASCENDIS PHARMA A/S | SPONSORED ADR | 21M | 152K | – |
| ASPEN AEROGELS INC | COM | 11M | 446K | – |
| ASURE SOFTWARE INC | COM | 782K | 93K | – |
| AVID BIOSERVICES INC | COM | 4M | 570K | – |
| AXCELIS TECHNOLOGIES INC | COM NEW | 5M | 33K | – |
| AXOGEN INC | COM | 1M | 194K | – |
| AXOS FINANCIAL INC | COM | 19M | 334K | – |
| AZENTA INC | COM | 2M | 41K | – |
| BANK OZK LITTLE ROCK ARK | COM | 13M | 323K | – |
| BERKSHIRE HATHAWAY INC DEL | CL A | 612K | 1 | – |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 1M | 3K | – |
| BIOCRYST PHARMACEUTICALS INC | COM | 13M | 2M | – |
| BIOMARIN PHARMACEUTICAL INC | COM | 2M | 21K | – |
| BIO-TECHNE CORP | COM | 734K | 10K | – |
| BLUE BIRD CORP | COM | 8M | 148K | – |
| BOWLERO CORP | CL A COM | 3M | 226K | – |
| BRIGHTVIEW HLDGS INC | COM | 2M | 186K | – |
| BRUKER CORP | COM | 668K | 10K | – |
| BWX TECHNOLOGIES INC | COM | 1M | 12K | – |
| CBIZ INC | COM | 4M | 55K | – |
| CDW CORP | COM | 675K | 3K | – |
| CENTURY CASINOS INC | COM | 3M | 1M | – |
| CEVA INC | COM | 8M | 429K | – |
| CHEVRON CORP NEW | COM | 585K | 4K | – |
| CIENA CORP | COM NEW | 501K | 10K | – |
| CISCO SYS INC | COM | 2M | 34K | – |
| CLEAN ENERGY FUELS CORP | COM | 3M | 1M | – |
| CLEAR SECURE INC | COM CL A | 22M | 1M | – |
| CLEARFIELD INC | COM | 2M | 47K | – |
| CODA OCTOPUS GROUP INC | COM NEW | 1M | 244K | – |
| COLUMBIA SPORTSWEAR CO | COM | 310K | 4K | – |
| CONSENSUS CLOUD SOLUTIONS IN | COM | 3M | 203K | – |
| CONSTRUCTION PARTNERS INC | COM CL A | 8M | 138K | – |
| CRA INTL INC | COM | 13M | 73K | – |
| CRANE COMPANY | COMMON STOCK | 714K | 5K | – |
| CRANE NXT CO | COM | 300K | 5K | – |
| CURTISS WRIGHT CORP | COM | 1M | 4K | – |
| DENNYS CORP | COM | 540K | 76K | – |
| DEVON ENERGY CORP NEW | COM | 405K | 9K | – |
| DIGITAL TURBINE INC | COM NEW | 3M | 2M | – |
| DMC GLOBAL INC | COM | 2M | 105K | – |
| DOLBY LABORATORIES INC | COM CL A | 436K | 6K | – |
| DONNELLEY FINL SOLUTIONS INC | COM | 52M | 875K | – |
| DORMAN PRODS INC | COM | 4M | 39K | – |
| DOUGLAS DYNAMICS INC | COM | 2M | 88K | – |
| DOVER CORP | COM | 1M | 6K | – |
| DOXIMITY INC | CL A | 20M | 723K | – |
| DUCOMMUN INC DEL | COM | 3M | 51K | – |
| E L F BEAUTY INC | COM | 4M | 20K | – |
| EBAY INC. | COM | 511K | 10K | – |
| EDWARDS LIFESCIENCES CORP | COM | 619K | 7K | – |
| ELI LILLY & CO | COM | 2M | 2K | – |
| ENCOMPASS HEALTH CORP | COM | 5M | 54K | – |
| ENERGY RECOVERY INC | COM | 2M | 134K | – |
| ENSIGN GROUP INC | COM | 3M | 26K | – |
| ESTABLISHMENT LABS HLDGS INC | COM | 33M | 716K | – |
| ETSY INC | COM | 2M | 26K | – |
| EURONET WORLDWIDE INC | COM | 37M | 355K | – |
| EVENTBRITE INC | COM CL A | 10M | 2M | – |
| EVOLUS INC | COM | 9M | 851K | – |
| EXELIXIS INC | COM | 481K | 21K | – |
| EXPONENT INC | COM | 3M | 29K | – |
| EXXON MOBIL CORP | COM | 393K | 3K | – |
| FABRINET | SHS | 33M | 135K | – |
| FEDERAL AGRIC MTG CORP | CL C | 28M | 156K | – |
| FIGS INC | CL A | 4M | 724K | – |
| FIRST WATCH RESTAURANT GROUP | COM | 584K | 33K | – |
| FIVE BELOW INC | COM | 2M | 19K | – |
| FIVERR INTL LTD | ORD SHS | 4M | 192K | – |
| FMC CORP | COM NEW | 402K | 7K | – |
| FRANKLIN COVEY CO | COM | 19M | 504K | – |
| GATX CORP | COM | 3M | 25K | – |
| GENIUS SPORTS LIMITED | SHARES CL A | 6M | 1M | – |
| GLACIER BANCORP INC NEW | COM | 351K | 9K | – |
| GLOBUS MED INC | CL A | 5M | 69K | – |
| GODADDY INC | CL A | 7M | 49K | – |
| GREEN BRICK PARTNERS INC | COM | 4M | 63K | – |
| GRIFFON CORP | COM | 4M | 69K | – |
| GXO LOGISTICS INCORPORATED | COMMON STOCK | 5M | 98K | – |
| HAEMONETICS CORP MASS | COM | 4M | 47K | – |
| HARMONIC INC | COM | 3M | 278K | – |
| HARMONY BIOSCIENCES HLDGS IN | COM | 2M | 81K | – |
| HARROW INC | COM | 5M | 256K | – |
| HASBRO INC | COM | 205K | 4K | – |
| HEALTHCARE SVCS GROUP INC | COM | 2M | 191K | – |
| HELIX ENERGY SOLUTIONS GRP I | COM | 3M | 229K | – |
| HILLENBRAND INC | COM | 2M | 39K | – |
| HUB GROUP INC | CL A | 2M | 37K | – |
| HURON CONSULTING GROUP INC | COM | 3M | 31K | – |
| ICF INTL INC | COM | 3M | 23K | – |
| ICON PLC | SHS | 2M | 8K | – |
| IDEX CORP | COM | 693K | 3K | – |
| INGEVITY CORP | COM | 16M | 372K | – |
| INSMED INC | COM PAR $.01 | 6M | 97K | – |
| IOVANCE BIOTHERAPEUTICS INC | COM | 13M | 2M | – |
| IPG PHOTONICS CORP | COM | 3M | 31K | – |
| IRADIMED CORP | COM | 3M | 72K | – |
| ISHARES TR | RUS 2000 GRW ETF | 1M | 5K | – |
| ITURAN LOCATION AND CONTROL | SHS | 11M | 444K | – |
| JACOBS SOLUTIONS INC | COM | 495K | 4K | – |
| JOHNSON & JOHNSON | COM | 1M | 9K | – |
| JOHNSON OUTDOORS INC | CL A | 1M | 42K | – |
| JPMORGAN CHASE & CO. | COM | 416K | 2K | – |
| KARAT PACKAGING INC | COM | 2M | 80K | – |
| KBR INC | COM | 513K | 8K | – |
| KINIKSA PHARMACEUTICALS INTL | ORD SHS CL A | 11M | 601K | – |
| KIRBY CORP | COM | 691K | 6K | – |
| KNIGHT-SWIFT TRANSN HLDGS IN | CL A | 501K | 10K | – |
| KRATOS DEFENSE & SEC SOLUTIO | COM NEW | 3M | 159K | – |
| LANTHEUS HLDGS INC | COM | 4M | 49K | – |
| LCI INDS | COM | 11M | 102K | – |
| LEMAITRE VASCULAR INC | COM | 19M | 226K | – |
| LIGAND PHARMACEUTICALS INC | COM NEW | 25M | 292K | – |
| LINCOLN EDL SVCS CORP | COM | 3M | 250K | – |
| LINDBLAD EXPEDITIONS HLDGS I | COM | 3M | 273K | – |
| LIQUIDITY SVCS INC | COM | 7M | 362K | – |
| LIVE OAK BANCSHARES INC | COM | 5M | 132K | – |
| LKQ CORP | COM | 4M | 103K | – |
| MAMAS CREATIONS INC | COM | 3M | 446K | – |
| MARSH & MCLENNAN COS INC | COM | 284K | 1K | – |
| MATERION CORP | COM | 3M | 25K | – |
| MATIV HOLDINGS INC | COM | 2M | 116K | – |
| MAXIMUS INC | COM | 15M | 177K | – |
| MEDPACE HLDGS INC | COM | 47M | 113K | – |
| MERCK & CO INC | COM | 219K | 2K | – |
| MESA LABS INC | COM | 1M | 15K | – |
| MICROSOFT CORP | COM | 332K | 743 | – |
| MIRION TECHNOLOGIES INC | COM CL A | 2M | 221K | – |
| MIRUM PHARMACEUTICALS INC | COM | 8M | 230K | – |
| MONTROSE ENVIRONMENTAL GROUP | COM | 3M | 68K | – |
| MOODYS CORP | COM | 367K | 873 | – |
| NAPCO SEC TECHNOLOGIES INC | COM | 10M | 196K | – |
| NAVITAS SEMICONDUCTOR CORP | COM | 2M | 547K | – |
| NEUROCRINE BIOSCIENCES INC | COM | 16M | 118K | – |
| NLIGHT INC | COM | 2M | 218K | – |
| NVIDIA CORPORATION | COM | 2M | 18K | – |
| OCUPHIRE PHARMA INC | COM | 342K | 224K | – |
| OLO INC | CL A | 2M | 352K | – |
| OMNIAB INC | COM | 10M | 3M | – |
| ON SEMICONDUCTOR CORP | COM | 3M | 48K | – |
| OPTIMIZERX CORP | COM NEW | 5M | 496K | – |
| OPTINOSE INC | COM | 1M | 988K | – |
| OSISKO GOLD ROYALTIES LTD | COM | 4M | 233K | – |
| PACIRA BIOSCIENCES INC | COM | 29M | 999K | – |
| PENNANT GROUP INC | COM | 4M | 193K | – |
| PERFICIENT INC | COM | 3M | 35K | – |
| PLIANT THERAPEUTICS INC | COM | 1M | 128K | – |
| POOL CORP | COM | 12M | 39K | – |
| PORTILLOS INC | COM CL A | 1M | 138K | – |
| POWERSCHOOL HOLDINGS INC | COM CL A | 4M | 179K | – |
| PREMIER INC | CL A | 4M | 205K | – |
| PRESTIGE CONSMR HEALTHCARE I | COM | 41M | 592K | – |
| PRIMO WATER CORPORATION | COM | 4M | 195K | – |
| PROCTER AND GAMBLE CO | COM | 340K | 2K | – |
| PROGRESS SOFTWARE CORP | COM | 7M | 126K | – |
| PROGYNY INC | COM | 2M | 75K | – |
| PROS HOLDINGS INC | COM | 6M | 224K | – |
| PTC INC | COM | 7M | 37K | – |
| PUMA BIOTECHNOLOGY INC | COM | 472K | 145K | – |
| QUALYS INC | COM | 4M | 30K | – |
| QUEST RESOURCE HLDG CORP | COM NEW | 3M | 319K | – |
| RADWARE LTD | ORD | 16M | 876K | – |
| RAMBUS INC DEL | COM | 3M | 53K | – |
| RB GLOBAL INC | COM | 14M | 180K | – |
| REPAY HLDGS CORP | COM CL A | 3M | 307K | – |
| REPOSITRAK INC | COM NEW | 13M | 881K | – |
| REVANCE THERAPEUTICS INC | COM | 2M | 712K | – |
| RHYTHM PHARMACEUTICALS INC | COM | 4M | 93K | – |
| ROCKET PHARMACEUTICALS INC | COM | 2M | 75K | – |
| RXO INC | COMMON STOCK | 8M | 320K | – |
| SCHOLAR ROCK HLDG CORP | COM | 383K | 46K | – |
| SCPHARMACEUTICALS INC | COM | 2M | 497K | – |
| SHIFT4 PMTS INC | CL A | 2M | 32K | – |
| SHUTTERSTOCK INC | COM | 15M | 376K | – |
| SIMULATIONS PLUS INC | COM | 4M | 77K | – |
| SITIME CORP | COM | 6M | 51K | – |
| SKYLINE CHAMPION CORPORATION | COM | 2M | 29K | – |
| SLEEP NUMBER CORP | COM | 2M | 180K | – |
| SMITH MIDLAND CORP | COM | 1M | 42K | – |
| SOLARWINDS CORP | COM NEW | 2M | 146K | – |
| SOUNDTHINKING INC | COM | 3M | 231K | – |
| STAAR SURGICAL CO | COM PAR $0.01 | 2M | 49K | – |
| STANDARD MTR PRODS INC | COM | 2M | 68K | – |
| STERLING INFRASTRUCTURE INC | COM | 3M | 24K | – |
| STRIDE INC | COM | 61M | 864K | – |
| SUPERNUS PHARMACEUTICALS INC | COM | 13M | 503K | – |
| SURMODICS INC | COM | 3M | 65K | – |
| SYSCO CORP | COM | 394K | 6K | – |
| TACTILE SYS TECHNOLOGY INC | COM | 2M | 168K | – |
| TANDEM DIABETES CARE INC | COM NEW | 4M | 93K | – |
| TECHTARGET INC | COM | 8M | 243K | – |
| TELEDYNE TECHNOLOGIES INC | COM | 646K | 2K | – |
| TELEFLEX INCORPORATED | COM | 2M | 10K | – |
| TETRA TECH INC NEW | COM | 5M | 24K | – |
| THERMON GROUP HLDGS INC | COM | 3M | 97K | – |
| THRYV HLDGS INC | COM NEW | 2M | 93K | – |
| TKO GROUP HOLDINGS INC | CL A | 44M | 406K | – |
| TRANSCAT INC | COM | 3M | 26K | – |
| TRAVERE THERAPEUTICS INC | COM | 626K | 76K | – |
| TREEHOUSE FOODS INC | COM | 371K | 10K | – |
| TRICO BANCSHARES | COM | 2M | 50K | – |
| TRUBRIDGE INC | COM | 834K | 83K | – |
| U S PHYSICAL THERAPY | COM | 2M | 26K | – |
| UFP TECHNOLOGIES INC | COM | 8M | 30K | – |
| UPLAND SOFTWARE INC | COM | 681K | 274K | – |
| UPWORK INC | COM | 1M | 138K | – |
| UROGEN PHARMA LTD | COM | 1M | 73K | – |
| UTAH MED PRODS INC | COM | 4M | 67K | – |
| V2X INC | COM | 2M | 50K | – |
| VAIL RESORTS INC | COM | 12M | 65K | – |
| VERONA PHARMA PLC | SPONSORED ADS | 14M | 940K | – |
| VICOR CORP | COM | 1M | 35K | – |
| VISHAY PRECISION GROUP INC | COM | 2M | 82K | – |
| VITAL FARMS INC | COM | 13M | 284K | – |
| VULCAN MATLS CO | COM | 1M | 5K | – |
| WALKME LTD | ORD SHS | 5M | 338K | – |
| WALMART INC | COM | 288K | 4K | – |
| WD 40 CO | COM | 297K | 1K | – |
| WEX INC | COM | 4M | 20K | – |
| WILLDAN GROUP INC | COM | 10M | 356K | – |
| WIX COM LTD | SHS | 16M | 98K | – |
| WNS HLDGS LTD | COM SHS | 44M | 847K | – |
| XPEL INC | COM | 2M | 42K | – |
| XPO INC | COM | 29M | 271K | – |
| XYLEM INC | COM | 1M | 10K | – |
| Y-MABS THERAPEUTICS INC | COM | 1M | 90K | – |
| ZIFF DAVIS INC | COM | 25M | 452K | – |
| ZIMMER BIOMET HOLDINGS INC | COM | 537K | 5K | – |
| ZIMVIE INC | COM | 3M | 175K | – |
| ZUORA INC | COM CL A | 6M | 626K | – |
| ZYNEX INC | COM | 2M | 234K | – |