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.
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SEC-registered adviser
R••• F•••••••• C••••••••• I•••
Latest filing Mar 31, 2026
First filing on the tape Jan 5, 2016 · 27 filings
SEC status approved since Jan 28, 2016
RAUM
$287M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
94%
$270M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$71.8M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$287M as of Mar 31, 2026
Mar 16, 2016$103M then
HNW client RAUM$198M as of Mar 31, 2026
Feb 5, 2018$50.0M then
State-registered IARs (5.B.3)4 as of Mar 31, 2026
Mar 16, 20162 then
Employees (5.A)5 as of Mar 31, 2026
Mar 16, 20162 then
Private funds: no history
RAUM +24% over the last fiscal year+18% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $71.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 88derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $778,226derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.5%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- selection of other advisersreportedItem 5.G
- 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
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$198M69%
- Individuals$71.9M25%
- Corporations and businesses$16.9M5.9%
- Individual clients
- 285reported
- HNW clients
- 66reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 369reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••••• J•••• H••••••••• | Los Gatos, Ca | Aug 20, 2014 | 15 y | 1 |
| S•••••• M•••••• R•••Chartered Financial Consultant | Los Gatos, Ca | Aug 20, 2014 | 28 y | 3 |
| J•••••• D•••• H••••• | Los Gatos, Ca | Jun 12, 2024 | 14 y | 0 |
| M•••• Y•••• | Los Gatos, Ca | Mar 10, 2025 | 13 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- C•••• W••••• T••••••• to C•••• T••••••• R••Jan 15, 2020 · Other
Joined, latest
- C•••• W••••• T••••••• from C•••• T••••••• R••Apr 17, 2019 · Other
- D•••••• J•••• H••••••••• from P••• A••••• S••••••••• L••Aug 20, 2014 · Other
- S•••••• M•••••• R••• from I••••••••• F•••••••• • I•••••••• S•••••••Aug 20, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••••• D••••••• J•••• · Managing Member And Chief Compliance Officercontrolsince 07/2014 · owns less than 5%
- R•••• S••••••• M•••••• · Presidentcontrolsince 09/2003 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Los Gatos, Ca · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 31, 2026discretionary share of RAUM of 0% against a peer median of 100% (5676 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 348 to 369Mar 31, 2025 to Mar 31, 2026
- Corporate clients · 12 to 18Mar 31, 2025 to Mar 31, 2026
- HNW clients · 60 to 66Mar 31, 2025 to Mar 31, 2026
- Individual clients · 276 to 285Mar 31, 2025 to Mar 31, 2026
- HNW RAUM · $160M to $198MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $62.5M to $71.9MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $231M to $287MMar 31, 2025 to Mar 31, 2026
- RAUM · $231M to $287MMar 31, 2025 to Mar 31, 2026
- Accounts · 337 to 348Oct 17, 2024 to Mar 31, 2025
- Advisory employees · 3 to 5Oct 17, 2024 to Mar 31, 2025
- Corporate clients · 0 to 12Oct 17, 2024 to Mar 31, 2025
- HNW clients · 62 to 60Oct 17, 2024 to Mar 31, 2025
- Individual clients · 275 to 276Oct 17, 2024 to Mar 31, 2025
- Employees · 3 to 5Oct 17, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Oct 17, 2024 to Mar 31, 2025
- State-registered IARs · 3 to 4Oct 17, 2024 to Mar 31, 2025
- HNW RAUM · $150M to $160MOct 17, 2024 to Mar 31, 2025
- Individual RAUM · $56.5M to $62.5MOct 17, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $206M to $231MOct 17, 2024 to Mar 31, 2025
- RAUM · $206M to $231MOct 17, 2024 to Mar 31, 2025
- Advisory employees · 2 to 3Mar 28, 2024 to Jun 18, 2024
- Employees · 2 to 3Mar 28, 2024 to Jun 18, 2024
- State-registered IARs · 2 to 3Mar 28, 2024 to Jun 18, 2024
- Accounts · 324 to 337Mar 31, 2023 to Mar 28, 2024
- HNW clients · 48 to 62Mar 31, 2023 to Mar 28, 2024
- Individual clients · 276 to 275Mar 31, 2023 to Mar 28, 2024
- HNW RAUM · $120M to $150MMar 31, 2023 to Mar 28, 2024
- Individual RAUM · $55.4M to $56.5MMar 31, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $175M to $206MMar 31, 2023 to Mar 28, 2024
- RAUM · $175M to $206MMar 31, 2023 to Mar 28, 2024
- Accounts · 304 to 324Oct 19, 2022 to Mar 31, 2023
- HNW clients · 44 to 48Oct 19, 2022 to Mar 31, 2023
- Individual clients · 260 to 276Oct 19, 2022 to Mar 31, 2023
- HNW RAUM · $119M to $120MOct 19, 2022 to Mar 31, 2023
- Individual RAUM · $56.9M to $55.4MOct 19, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $175M to $175MOct 19, 2022 to Mar 31, 2023
- RAUM · $175M to $175MOct 19, 2022 to Mar 31, 2023
- Accounts · 313 to 304May 28, 2021 to Mar 30, 2022
- HNW clients · 45 to 44May 28, 2021 to Mar 30, 2022
- Individual clients · 268 to 260May 28, 2021 to Mar 30, 2022
Signals
1 dated events
- R••• F•••••••• C••••••••• I••• filed its initial SEC registration (Form ADV)Jan 5, 2016 · First SEC registration · fact
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
- Business email
- i•••@r•••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 408-354-3400reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 408-354-3404reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/rice-financial-consulting-inc.reportedpublic record, Form ADV, Sep 18, 2026
- Website
- R•••FC.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (408) 354-3400reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- r•••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- r•••••.comreportedpublished by the firm, firm site, Sep 15, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $71.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026