DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
John Alexander Rice
Certified Financial Planner
Feed of 09/15/2026
At current firm
10 y
since Jun 13, 2016
In the industry
34 y
since Sep 16, 1992 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Steward Partners Investment Advisory, LLC BD affiliated currentsince Jun 13, 2016 · Stamford, Ct
- Morgan Stanley wirehouseJun 1, 2009 to Jul 8, 2016 · Manchester, Nh
- Morgan Stanley & Co. LLC unclassifiedApr 2, 2007 to Jun 1, 2009 · Manchester, Nh
- Morgan Stanley Dw Inc. unclassifiedFeb 3, 2006 to Apr 2, 2007 · Manchester, Nh
- Banc Of America Investment Services, Inc. unclassifiedOct 20, 2004 to Feb 6, 2006 · Andover, Ma
- Quick & Reilly, Inc. unclassifiedJan 17, 2004 to Oct 20, 2004 · Andover, Ma
Moves
a registration end followed by a registration begin elsewhere
- Morgan Stanley to Steward Partners Investment Advisory, LLCleft Jul 8, 2016, registered Jun 13, 2016 (-25 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
- Morgan Stanley & Co. LLC to Morgan Stanleyleft Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- Morgan Stanley Dw Inc. to Morgan Stanley & Co. LLCleft Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- Banc Of America Investment Services, Inc. to Morgan Stanley Dw Inc.left Feb 6, 2006, registered Feb 3, 2006 (-3 days) · Other
- Quick & Reilly, Inc. to Banc Of America Investment Services, Inc.left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address