{
  "crd_number": 170346,
  "slug": "rice-financial-consulting-inc-los-gatos-ca-170346",
  "primary_business_name": "RICE FINANCIAL CONSULTING, INC.",
  "legal_name": "RICE FINANCIAL CONSULTING, INC.",
  "dbas": [],
  "city": "Los Gatos",
  "state": "CA",
  "country": "United States",
  "cbsa_code": "41940",
  "metro": {
    "cbsa_code": "41940",
    "common_name": "San Jose",
    "msa_name": "San Jose-Sunnyvale-Santa Clara, CA",
    "path": "/advisors/ca/san-jose"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2016-01-28",
  "years_registered": 10,
  "period": "2026-10-01",
  "filing_date": "2026-03-31",
  "carried_forward": false,
  "raum_total": 287165396.0,
  "raum_discretionary": 0.0,
  "raum_non_discretionary": 287165396.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 5,
  "advisory_employees": 5,
  "client_count_bucket": null,
  "clients_by_type": {
    "other": {
      "raum": 0.0,
      "count": 0
    },
    "charitable": {
      "raum": 0.0,
      "count": 0
    },
    "individuals": {
      "raum": 71907878.0,
      "count": 285
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": 0
    },
    "state_municipal": {
      "raum": 0.0,
      "count": 0
    },
    "insurance_companies": {
      "raum": 0.0,
      "count": 0
    },
    "investment_companies": {
      "raum": 0.0,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": 0.0,
      "count": 0
    },
    "other_investment_advisers": {
      "raum": 0.0,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 198397086.0,
      "count": 66
    },
    "pooled_investment_vehicles": {
      "raum": 0.0,
      "count": 0
    },
    "corporations_other_businesses": {
      "raum": 16860432.0,
      "count": 18
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": 0
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 2,
  "states_registered": [
    "AZ",
    "CA",
    "HI",
    "NV",
    "OR",
    "TX",
    "WA"
  ],
  "websites": [
    "https://linkedin.com/company/rice-financial-consulting-inc.",
    "https://ricefc.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/170346",
  "disclosure_items": [
    {
      "item": "11.E(2)",
      "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?"
    },
    {
      "item": "11.E(4)",
      "question": "Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?"
    }
  ],
  "city_as_filed": "LOS GATOS",
  "url": "https://advisorcensus.com/firm/rice-financial-consulting-inc-los-gatos-ca-170346",
  "display_name": "Rice Financial Consulting, Inc.",
  "summary": "Rice Financial Consulting, Inc. is an SEC-registered investment advisory firm in Los Gatos, CA, registered since 2016, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 31, 2026.",
  "citation": "AdvisorCensus. Rice Financial Consulting, Inc. (CRD 170346): 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": [
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is Rice Financial Consulting, Inc. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Rice Financial Consulting, Inc. reports these compensation arrangements: a percentage of assets under its management."
    },
    {
      "q": "Where is Rice Financial Consulting, Inc. located?",
      "a": "Rice Financial Consulting, Inc.'s principal office is in Los Gatos, CA, according to its Form ADV."
    },
    {
      "q": "Is Rice Financial Consulting, Inc. registered with the SEC or a state?",
      "a": "Rice Financial Consulting, Inc. is an SEC-registered investment advisory firm, registered since 2016. Status as filed: Approved. CRD 170346."
    },
    {
      "q": "How much does Rice Financial Consulting, Inc. manage?",
      "a": "Rice Financial Consulting, Inc. reports $287,165,396 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (0% discretionary)."
    },
    {
      "q": "How have Rice Financial Consulting, Inc.'s assets and staff changed since 2021?",
      "a": "In the Form ADV data for Rice Financial Consulting, Inc.: Regulatory assets under management: $164,320,660 in the October 2021 data and $287,165,396 in the October 2026 data, up 75%. Total employees: 2 in October 2021 and 5 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Rice Financial Consulting, Inc. serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (285); high net worth individuals (66); corporations or other businesses not listed above (18)."
    },
    {
      "q": "Which custodians does Rice Financial Consulting, Inc. use?",
      "a": "Rice Financial Consulting, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Axos and Charles Schwab & Co., Inc. as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Rice Financial Consulting, Inc. report any disciplinary disclosures?",
      "a": "Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.E(2) (self-regulatory organization's finding of a rule violation) and 11.E(4) (self-regulatory organization's expulsion, suspension, bar, or restriction). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/170346"
    },
    {
      "q": "Does Rice Financial Consulting, Inc. state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated March 31, 2026 says: \"There is no account minimum for any of RFCI’s services.\""
    },
    {
      "q": "What changed in Rice Financial Consulting, Inc.'s recent Form ADV filings?",
      "a": "In the April 2026 filing data: Regulatory assets under management went from $230,702,789 to $287,165,396 (+24%). Registered or notice-filed in AZ, NV."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 164320660.0,
      "total_employees": 2,
      "filing_date": "2021-05-28"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 175451242.0,
      "total_employees": 2,
      "filing_date": "2022-03-30"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 175352025.0,
      "total_employees": 2,
      "filing_date": "2023-03-31"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 206109362.0,
      "total_employees": 3,
      "filing_date": "2024-06-18"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 230702789.0,
      "total_employees": 5,
      "filing_date": "2025-03-31"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 287165396.0,
      "total_employees": 5,
      "filing_date": "2026-03-31"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $230,702,789 to $287,165,396 (+24%).",
        "Registered or notice-filed in AZ, NV."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 31, 2026",
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "None",
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "figures": [
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: None"
        ],
        "quotes": [
          "There is no account minimum for any of RFCI’s services."
        ]
      }
    ],
    "quotes": [
      "There is no account minimum for any of RFCI’s services."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Axos",
      "name_as_filed": "AXOS",
      "affiliated": false
    },
    {
      "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/rice-financial-consulting-inc-los-gatos-ca-170346.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 285,
      "fewer_than_5": false,
      "raum": 71907878.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 66,
      "fewer_than_5": false,
      "raum": 198397086.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 18,
      "fewer_than_5": false,
      "raum": 16860432.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    }
  ],
  "disclosure_line": "Reports 2 disclosure items on Form ADV Item 11.",
  "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/170346",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}