# Dale Q. Rice Investment Management

> 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.

- CRD: 310614
- Filed as: DALE Q. RICE INVESTMENT MANAGEMENT
- Legal name: Dale Q. Rice Investment Management, Ltd.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Filing period: October 2026
- Form ADV filing dated: April 29, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/310614
- AdvisorCensus page: https://advisorcensus.com/firm/dale-q-rice-investment-management-310614

## Quick answers

**How is Dale Q. Rice Investment Management compensated?**
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.

**Is Dale Q. Rice Investment Management registered with the SEC or a state?**
Dale Q. Rice Investment Management is an SEC-registered investment advisory firm, registered since 2022. Status as filed: Approved. CRD 310614.

**How much does Dale Q. Rice Investment Management manage?**
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).

**How have Dale Q. Rice Investment Management's assets and staff changed since 2022?**
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.

**What types of clients does Dale Q. Rice Investment Management serve?**
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).

**Which custodians does Dale Q. Rice Investment Management use?**
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.

**Does Dale Q. Rice Investment Management report any disciplinary disclosures?**
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

**Does Dale Q. Rice Investment Management state an account minimum?**
Its Form ADV Part 2A brochure dated April 29, 2026 says: "There is no minimum account size to open and maintain an advisory account."

**What changed in Dale Q. Rice Investment Management's recent Form ADV filings?**
In the May 2026 filing data: Added an office in Vancouver, WA. Registered or notice-filed in NV.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Fees and minimums (Form ADV Part 2A brochure dated April 29, 2026)

- Account minimum: None

> There is no minimum account size to open and maintain an advisory account.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

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.

### Regulatory assets under management (Item 5.F)
- Total: $156,591,623
- Discretionary: $154,108,797
- Non-discretionary: $2,482,826

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 37 | $22,517,189 |
| High net worth individuals | 71 | $124,315,293 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 7 | $4,965,368 |
| Insurance companies | 6 | $4,198,110 |
| Corporations or other businesses not listed above | Fewer than 5 | $595,663 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2022 (4 years)
- Employees: 4 total, 1 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: CA, NV, OR, WA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the May 2026 filing
- Vancouver, WA

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2022 | $106,288,322 | 3 | February 15, 2022 |
| October 2023 | $90,223,140 | 4 | April 5, 2023 |
| October 2024 | $103,110,138 | 4 | August 2, 2024 |
| October 2025 | $132,567,332 | 4 | March 13, 2025 |
| October 2026 | $156,591,623 | 4 | April 29, 2026 |

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.

## Changes in the filing (last 12 months)

### May 2026
- Added an office in Vancouver, WA.
- Registered or notice-filed in NV.

### March 2026
- Regulatory assets under management went from $132,567,332 to $156,591,623 (+18%).

### January 2026
- No longer registered or notice-filed in TX.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Dale Q. Rice Investment Management (CRD 310614): Form ADV filing data as of October 2026.