Rice Hall James & Associates Llc
SEC-registered
Investment Adviser · Mid-sized ($1B–$10B)
CRD 125410
· SEC file 801-61905
· San Diego, CA
· WWW.RICEHALLJAMES.COM
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ADV data as of May 06, 2026
- Regulatory AUM
- $1.7B
- Discretionary
- $1.7B
- Clients
- 249
- Avg AUM / client
- $7.0M
- Accounts
- 249
- Employees
- 23
AUM over time
$1.1B
$3.6B
Dec 2011
May 2026
Annual snapshots from Form ADV filings · as of May 06, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 143 | $246M | 14.1% |
| High net worth individuals | 68 | $101M | 5.79% |
| Banking or thrift institutions | 0 | $0 | — |
| Investment companies | 1 | $90.6M | 5.21% |
| Pooled investment vehicles (non-investment companies) | 1 | $449M | 25.8% |
| Pension and profit sharing plans | 3 | $273M | 15.7% |
| Charitable organizations | 9 | $40.3M | 2.31% |
| State or municipal government entities | 8 | $308M | 17.7% |
| Other investment advisers | 0 | $0 | — |
| Insurance companies | 0 | $0 | — |
| Sovereign wealth funds and foreign official institutions | 0 | $0 | — |
| Corporations and other businesses | 10 | $179M | 10.3% |
| Other | 6 | $54.0M | 3.1% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Cement Masons Pension Trust Fund For Northern California Cement Masons Pension Trust Fund For N.Cal | 2024 | |
| Walmart 401(k) Plan Walmart Inc. | 2024 | |
| Iam National Pension Fund Board Of Trustees Of The I.A.M. National Pension Fund | 2024 | |
| Producer Writers Guild Of America Pension Plan Board Of Directors Producer Writers Guild Of America Pension Plan | 2024 | |
| N. Atlantic States Carp. Pension Fund Bot Of The North Atlantic States Carpenters Pension Fund | 2024 | |
| Defined Benefit Pension Plan Of Agc Iuoe Local 701 Pension Trust Fund Board Of Trustees Agc Iuoe Local Of Agc Iuoe Local 701 Pension Trust | 2024 | |
| N. Atlantic States Carp. Guaranteed Annuity Fund Bot Of The North Atlantic States Carpenters Guaranteed Annuity Fund | 2024 | |
| Hourly Employees Retirement Plan Of Bradken, Inc. Bradken, Inc. | 2024 |
People (10)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Gary Schuler Rice | Portfolio Manager | Aug 1987 (39y) | 10% – 25% | |
| Mcdowell, Thomas, W | Managing Member, Chief Executive Officer, Co Chief Investment Officer | Feb 2003 (24y) | 10% – 25% | |
| Timothy Alan Todaro | Managing Member, Portfolio Manager | CFA | Feb 2003 (24y) | 10% – 25% |
| Marquez, Janine, Ann | Chief Compliance Officer | Jun 2009 (17y) | Less than 5% | |
| Obeck, Carl, Martin | Member, Chief Financial Officer | Jun 2009 (17y) | 5% – 10% | |
| Thome, Cara, Margaret | Managing Member, Portfolio Manager | Jun 2009 (17y) | 10% – 25% | |
| Thuong Thao Nguyen Buu Hoan | Managing Member, Chief Operating Officer, President | Jun 2009 (17y) | 10% – 25% | |
| Louis Millett Holtz | Managing Member, Chief Investment Officer, Portfolio Manager | CFA | May 2011 (15y) | 5% – 10% |
| Lipsker, Yossef, Ytzhak | Managing Member, Portfolio Manager | Oct 2018 (8y) | 5% – 10% | |
| Anthon Horton Shaw | Registered representative | Oct 2010 (16y) |
Undisclosed: 0% – 35% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (8)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Cement Masons Pension Trust Fund For Northern California | Cement Masons Pension Trust Fund For N.Cal | 2,920 | $775M | 09/01/2024 |
| Walmart 401(k) Plan | Walmart Inc. | 1,670,732 | $50.8B | 02/01/2024 |
| Iam National Pension Fund | Board Of Trustees Of The I.A.M. National Pension Fund | 102,863 | $15.0B | 01/01/2024 |
| Producer Writers Guild Of America Pension Plan | Board Of Directors Producer Writers Guild Of America Pension Plan | 8,873 | $4.7B | 01/01/2024 |
| N. Atlantic States Carp. Pension Fund | Bot Of The North Atlantic States Carpenters Pension Fund | 16,341 | $5.1B | 01/01/2024 |
| Defined Benefit Pension Plan Of Agc Iuoe Local 701 Pension Trust Fund | Board Of Trustees Agc Iuoe Local Of Agc Iuoe Local 701 Pension Trust | 1,882 | $358M | 01/01/2024 |
| N. Atlantic States Carp. Guaranteed Annuity Fund | Bot Of The North Atlantic States Carpenters Guaranteed Annuity Fund | 10,412 | $3.8B | 01/01/2024 |
| Hourly Employees Retirement Plan Of Bradken, Inc. | Bradken, Inc. | 0 | $1.4M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 05/06/2026 | 996 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
- • Other services
Custody
Reported custodians
- Northern Trust $354M (20% of AUM) May 2026
- State Street $296M (17% of AUM) May 2026
- BNY Mellon $229M (13% of AUM) May 2026
- Morgan Stanley $144M (8% of AUM) Apr 2023
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: May 06, 2026.
View current Form ADV (SEC/IAPD) ↗