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.
SEC-registered adviser
Rice Hall James & Associates LLC
Latest filing May 6, 2026
First filing on the tape Mar 29, 2012 · 27 filings
SEC status approved since Feb 13, 2003
RAUM
$1.7B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
20%
$346M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$348M
derived; firm RAUM over IAPD count
Employees
23
13 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$1.7B as of May 6, 2026
Mar 29, 2012$1.1B then
HNW client RAUM$101M as of May 6, 2026
Mar 29, 2018$127M then
State-registered IARs (5.B.3)6 as of May 6, 2026
Mar 28, 20137 then
Employees (5.A)23 as of May 6, 2026
Mar 28, 201323 then
Private funds: 1
RAUM -2.0% over the last fiscal year-1.2% a year over threeIARs 7 to 6
Practice profile
derived from the filing of May 6, 2026; every figure names its basis
- RAUM per advisor
- $348MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 42derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $7.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 36%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.6derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -2.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- -14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $34.7M, 15 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$449M27%
- State and municipal entities$308M18%
- Pension and profit-sharing plans$273M16%
- Individuals$246M15%
- Corporations and businesses$179M11%
- High-net-worth individuals$101M6.0%
- Investment companies$90.6M5.4%
- Charitable organizations$40.3M2.4%
- Individual clients
- 143reported
- HNW clients
- 68reported
- Pension plan clients
- 3reported
- Charitable clients
- 9reported
- Accounts
- 249reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $54.0M managedreported
- Custody of client assets
- $34.7M for 15 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.2 fund_share=0.31 institutional_share=0.36 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Timothy Alan TodaroChartered Financial Analyst | San Diego, Ca | Mar 28, 2003 | 33 y | 1 |
| Gary Schuler Rice | San Diego , Ca | Mar 15, 2010 | 43 y | 1 |
| Thuong-Thao Nguyen Buu-Hoan | San Diego, Ca | Apr 30, 2010 | 25 y | 2 |
| Anthon Horton Shaw | San Diego, Ca | Oct 21, 2010 | 31 y | 2 |
| Louis Millett HoltzChartered Financial Analyst | Pasadena, Ca | May 18, 2011 | 21 y | 1 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 20% of current headcount1 left over 36 months
Left, latest
- Carlos Alejandro Salcedo to Morton WealthJul 8, 2026 · Other
- Andrew Lawrence Rothstein to RBC Rochdale, LLCSep 7, 2022 · Other
- Eric R Fuhrman to RBC Rochdale, LLCMay 18, 2022 · Other
Joined, latest
- Louis Millett Holtz from Engemann Asset ManagementMay 18, 2011 · Other
- Anthon Horton Shaw from LPL Financial LLCOct 21, 2010 · Other
- Gary Schuler Rice from Rice Hall James & AssociatesMar 15, 2010 · Other
- Timothy Alan Todaro from Rice Hall James & AssociatesMar 28, 2003 · Other
- Thuong-Thao Nguyen Buu-Hoan from Rice Hall James & AssociatesMar 28, 2003 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Rhj Paramo Fund, L.P.no longer reported | Hedge Fund | $15.9M | 17 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Nguyen Thuong-Thao Buu-Hoan · Managing Member, Chief Operating Officer, Presidentcontrolsince 06/2009 · owns 10% to 25%
- Millett Louis Holtz · Managing Member, Chief Investment Officer, Portfolio Managercontrolsince 10/2018 · owns 5% to 10%
- Ytzhak Yossef Lipsker · Managing Member, Portfolio Managercontrolsince 10/2018 · owns 5% to 10%
- Ann Janine Marquez · Chief Compliance Officercontrolsince 06/2009 · owns less than 5%
- W Thomas Mcdowell · Managing Member, Chief Executive Officer, Co-Chief Investment Officercontrolsince 02/2003 · owns 10% to 25%
- Martin Carl Obeck · Member, Chief Financial Officercontrolsince 06/2009 · owns 5% to 10%
- Margaret Cara Thome · Managing Member, Portfolio Managercontrolsince 06/2009 · owns 10% to 25%
- Alan Timothy Todaro · Managing Member, Portfolio Managercontrolsince 02/2003 · owns 10% to 25%
- Schuler Gary Rice · Portfolio Managersince 08/1987 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Diego, Ca · principal | 4 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Pasadena, CA5 employees
What changed
consecutive filings, newest first
- Accounts · 265 to 249Mar 28, 2025 to Mar 26, 2026
- Advisory employees · 14 to 13Mar 28, 2025 to Mar 26, 2026
- BD registered reps · 2 to 0Mar 28, 2025 to Mar 26, 2026
- Charity clients · 10 to 9Mar 28, 2025 to Mar 26, 2026
- Corporate clients · 14 to 10Mar 28, 2025 to Mar 26, 2026
- HNW clients · 79 to 68Mar 28, 2025 to Mar 26, 2026
- Individual clients · 141 to 143Mar 28, 2025 to Mar 26, 2026
- Pooled vehicle clients · 2 to 1Mar 28, 2025 to Mar 26, 2026
- Assets in custody · $16.9M to $34.7MMar 28, 2025 to Mar 26, 2026
- Employees · 25 to 23Mar 28, 2025 to Mar 26, 2026
- State-registered IARs · 7 to 6Mar 28, 2025 to Mar 26, 2026
- Discretionary RAUM · $1.8B to $1.7BMar 28, 2025 to Mar 26, 2026
- HNW RAUM · $96.4M to $101MMar 28, 2025 to Mar 26, 2026
- Individual RAUM · $224M to $246MMar 28, 2025 to Mar 26, 2026
- Pension RAUM · $272M to $273MMar 28, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $402M to $449MMar 28, 2025 to Mar 26, 2026
- RAUM · $1.8B to $1.7BMar 28, 2025 to Mar 26, 2026
- Wrap assets (manager) · $58.8M to $54.0MMar 28, 2025 to Mar 26, 2026
- Accounts · 286 to 265Mar 28, 2024 to Mar 28, 2025
- Advisory employees · 15 to 14Mar 28, 2024 to Mar 28, 2025
- Charity clients · 14 to 10Mar 28, 2024 to Mar 28, 2025
- Corporate clients · 13 to 14Mar 28, 2024 to Mar 28, 2025
- HNW clients · 82 to 79Mar 28, 2024 to Mar 28, 2025
- Individual clients · 150 to 141Mar 28, 2024 to Mar 28, 2025
- Pension plan clients · 5 to 3Mar 28, 2024 to Mar 28, 2025
- Assets in custody · $22.7M to $16.9MMar 28, 2024 to Mar 28, 2025
- Employees · 27 to 25Mar 28, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 28, 2025
- State-registered IARs · 8 to 7Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.7B to $1.8BMar 28, 2024 to Mar 28, 2025
- HNW RAUM · $93.0M to $96.4MMar 28, 2024 to Mar 28, 2025
- Individual RAUM · $203M to $224MMar 28, 2024 to Mar 28, 2025
- Pension RAUM · $238M to $272MMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $417M to $402MMar 28, 2024 to Mar 28, 2025
- RAUM · $1.7B to $1.8BMar 28, 2024 to Mar 28, 2025
- Wrap assets (manager) · $60.9M to $58.8MMar 28, 2024 to Mar 28, 2025
- Accounts · 303 to 286Apr 27, 2023 to Mar 28, 2024
- Charity clients · 15 to 14Apr 27, 2023 to Mar 28, 2024
- Corporate clients · 12 to 13Apr 27, 2023 to Mar 28, 2024
- HNW clients · 90 to 82Apr 27, 2023 to Mar 28, 2024
Signals
7 dated events
- Carlos Alejandro Salcedo left Rice Hall James & Associates Llc for Morton Wealth (registered 2026-07-14)Jul 8, 2026 · Advisor changed firm · fact
- Rice Hall James & Associates Llc reported RAUM $1.8B, down 39% from $2.9B (2022-11-02 to 2023-03-29)Mar 29, 2023 · RAUM change · derived
- Andrew Lawrence Rothstein left Rice Hall James & Associates Llc for Rbc Rochdale, Llc (registered 2022-11-30)Sep 7, 2022 · Advisor changed firm · fact
- Eric R Fuhrman left Rice Hall James & Associates Llc for Rbc Rochdale, Llc (registered 2022-05-26)May 18, 2022 · Advisor changed firm · fact
- Millett Louis Holtz (Managing Member, Chief Investment Officer, Portfolio Manager) appeared on Schedule A of Rice Hall James & Associates LlcMar 29, 2019 · Control person joined · fact
- Yossi Lipsker (Managing Member, Portfolio Manager) appeared on Schedule A of Rice Hall James & Associates LlcMar 29, 2019 · Control person joined · fact
- Rice Hall James & Associates Llc reported RAUM $3.6B, up 27% from $2.8B (2017-03-30 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/rice-hall-james-&-associates-llcreportedpublic record, Form ADV, Sep 17, 2026
- Website
- RHJFUNDS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 619-239-9005reportedpublic record, Form ADV, May 6, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $348Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026