{
  "crd_number": 310614,
  "slug": "dale-q-rice-investment-management-310614",
  "primary_business_name": "DALE Q. RICE INVESTMENT MANAGEMENT",
  "legal_name": "DALE Q. RICE INVESTMENT MANAGEMENT, LTD.",
  "dbas": [],
  "city": null,
  "state": null,
  "country": null,
  "cbsa_code": null,
  "metro": null,
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2022-03-17",
  "years_registered": 4,
  "period": "2026-10-01",
  "filing_date": "2026-04-29",
  "carried_forward": false,
  "raum_total": 156591623.0,
  "raum_discretionary": 154108797.0,
  "raum_non_discretionary": 2482826.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 4,
  "advisory_employees": 1,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "individuals": {
      "raum": 22517189.0,
      "count": 37
    },
    "insurance_companies": {
      "raum": 4198110.0,
      "count": 6
    },
    "pension_profit_sharing": {
      "raum": 4965368.0,
      "count": 7
    },
    "high_net_worth_individuals": {
      "raum": 124315293.0,
      "count": 71
    },
    "corporations_other_businesses": {
      "raum": 595663.0,
      "count": null,
      "fewer_than_5": true
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": true,
  "disclosure_yes_count": 0,
  "states_registered": [
    "CA",
    "NV",
    "OR",
    "WA"
  ],
  "websites": [],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/310614",
  "city_as_filed": null,
  "url": "https://advisorcensus.com/firm/dale-q-rice-investment-management-310614",
  "display_name": "Dale Q. Rice Investment Management",
  "summary": "Dale Q. Rice Investment Management is an SEC-registered investment advisory firm, registered since 2022, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated April 29, 2026.",
  "citation": "AdvisorCensus. Dale Q. Rice Investment Management (CRD 310614): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses"
  ],
  "quick_answers": [
    {
      "q": "How is Dale Q. Rice Investment Management compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Dale Q. Rice Investment Management reports these compensation arrangements: a percentage of assets under its management."
    },
    {
      "q": "Is Dale Q. Rice Investment Management registered with the SEC or a state?",
      "a": "Dale Q. Rice Investment Management is an SEC-registered investment advisory firm, registered since 2022. Status as filed: Approved. CRD 310614."
    },
    {
      "q": "How much does Dale Q. Rice Investment Management manage?",
      "a": "Dale Q. Rice Investment Management reports $156,591,623 in regulatory assets under management in its Form ADV filing dated April 29, 2026 (98% discretionary)."
    },
    {
      "q": "How have Dale Q. Rice Investment Management's assets and staff changed since 2022?",
      "a": "In the Form ADV data for Dale Q. Rice Investment Management: Regulatory assets under management: $106,288,322 in the October 2022 data and $156,591,623 in the October 2026 data, up 47%. Total employees: 3 in October 2022 and 4 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Dale Q. Rice Investment Management serve?",
      "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (71); individuals (other than high net worth individuals) (37); pension and profit sharing plans (but not the plan participants or government pension plans) (7)."
    },
    {
      "q": "Which custodians does Dale Q. Rice Investment Management use?",
      "a": "Dale Q. Rice Investment Management's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Dale Q. Rice Investment Management report any disciplinary disclosures?",
      "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/310614"
    },
    {
      "q": "Does Dale Q. Rice Investment Management state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated April 29, 2026 says: \"There is no minimum account size to open and maintain an advisory account.\""
    },
    {
      "q": "What changed in Dale Q. Rice Investment Management's recent Form ADV filings?",
      "a": "In the May 2026 filing data: Added an office in Vancouver, WA. Registered or notice-filed in NV."
    }
  ],
  "filing_history": [
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 106288322.0,
      "total_employees": 3,
      "filing_date": "2022-02-15"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 90223140.0,
      "total_employees": 4,
      "filing_date": "2023-04-05"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 103110138.0,
      "total_employees": 4,
      "filing_date": "2024-08-02"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 132567332.0,
      "total_employees": 4,
      "filing_date": "2025-03-13"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 156591623.0,
      "total_employees": 4,
      "filing_date": "2026-04-29"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-05-01",
      "period_label": "May 2026",
      "notes": [
        "Added an office in Vancouver, WA.",
        "Registered or notice-filed in NV."
      ]
    },
    {
      "period": "2026-03-01",
      "period_label": "March 2026",
      "notes": [
        "Regulatory assets under management went from $132,567,332 to $156,591,623 (+18%)."
      ]
    },
    {
      "period": "2026-01-01",
      "period_label": "January 2026",
      "notes": [
        "No longer registered or notice-filed in TX."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated April 29, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "None",
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "planning_fees": [],
    "figures": [
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: None"
        ],
        "quotes": [
          "There is no minimum account size to open and maintain an advisory account."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": 0.0,
      "minimum_annual_fee": null,
      "planning": []
    },
    "quotes": [
      "There is no minimum account size to open and maintain an advisory account."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/dale-q-rice-investment-management-310614.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 37,
      "fewer_than_5": false,
      "raum": 22517189.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 71,
      "fewer_than_5": false,
      "raum": 124315293.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 7,
      "fewer_than_5": false,
      "raum": 4965368.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 6,
      "fewer_than_5": false,
      "raum": 4198110.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": null,
      "fewer_than_5": true,
      "raum": 595663.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/310614",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}