Rice Financial Consulting, Inc. (Los Gatos)

Name: Rice Financial Consulting, Inc.
Address: 300 E. Main Street, Los Gatos, CA, 95030
Telephone: (408) 354-3400

Rice Financial Consulting, Inc. is a large advisory firm based in Los Gatos. It manages $125 million of regulatory assets for 800 client accounts. It has been registered with the SEC as an adviser since 2016 and has operated in the jurisdictions of California, Hawaii, and Texas.

Rice Financial Consulting provides selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Rice Financial Consulting: assets under management

The assets under management (AUM) of Rice Financial Consulting, Inc. is $125 million. The company doesn't manage any assets belonging to foreign clients.

Investments

The firm invests in investment and business development companies the most. They account for 100% of the total AUM.

What kind of clients Rice Financial Consulting serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Rice Financial Consulting is individuals with 244 clients and $85 million of assets under management. Among the 14 most similar advisory firms, Rice Financial Consulting has the highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $125 million for 304 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Rice Financial Consulting doesn't advise any private funds.

Careers at Rice Financial Consulting, Inc.

The company employs 3 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 3 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Stephen Manfred Rice	President and chief compliance officer	1 Sep 2003	75% - 100%	1064788
Dorothy Janet Hundrieser	Managing member	1 Jul 2014	Other	5463414

Based in Los Gatos

The principal office where Rice Financial Consulting, Inc. performs its advisory services is located at 300 E. Main Street, Los Gatos, CA 95030, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number (408) 354-3400 or by fax (408) 354-3404. The normal business hours are 8:00 am - 5 pm on Monday - Friday. You can find more information about the New York firm at ricefc.com.