SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Rice Hall James & Associates LLC
San Diego, CA
CRD 125410
Firm filing updated May 6, 2026 ·
- $1.7BAssets
- 13Advisory staff
- 249Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesNo
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- Individuals143
- High net worth individuals68
- Corporations or other businesses10
- Charities9
- State or municipal government entities (including government pension plans)8
- and 3 more5
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 143 | $245.7 million |
| High net worth individuals | 68 | $100.7 million |
| Banking or thrift institutions | Fewer than 5 clients | $0 |
| Investment companies | 1 | $90.6 million |
| Pooled investment vehicles (other than investment companies and business development companies) | 1 | $449.0 million |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 3 | $273.1 million |
| Charitable organizations | 9 | $40.3 million |
| State or municipal government entities (including government pension plans) | 8 | $307.9 million |
| Other investment advisors | Fewer than 5 clients | $0 |
| Insurance companies | Fewer than 5 clients | $0 |
| Sovereign wealth funds and foreign official institutions | Fewer than 5 clients | $0 |
| Corporations or other businesses not listed above | 10 | $179.0 million |
| Other: "WRAP" | 6 | $54.0 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles (other than investment companies)
See all 5 services
- Portfolio management for businesses (other than small businesses) or institutional clients
- Other: "OTHER: WRAP"
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Other: "OTHER: WRAP"
Assets and accounts
- Regulatory assets$1.7 billion
- Accounts249
- DiscretionaryAll accounts
People
- Employees23
- Advisory staff13
- Broker-dealer reps0
- Licensed insurance agents0
Advisors
5 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 125410, SEC file 801-61905.
- Registered with the SEC as an investment advisor (status date on record: February 13, 2003).
Is Rice Hall James & Associates LLC a fiduciary?
Short answer: Rice Hall James & Associates LLC is registered with the SEC as an investment advisor.
More detail
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
The firm does not report commissions, a broker-dealer role, a related broker-dealer, or staff who are broker-dealer representatives.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.