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.
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 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. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.
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.
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.
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.