# Rice Hall James & Associates LLC

> Rice Hall James & Associates LLC is an SEC-registered investment advisory firm in San Diego, CA, registered since 2003, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated May 6, 2026.

- CRD: 125410
- Filed as: RICE HALL JAMES & ASSOCIATES LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: San Diego, CA
- Filing period: October 2026
- Form ADV filing dated: May 6, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/125410
- AdvisorCensus page: https://advisorcensus.com/firm/rice-hall-james-and-associates-llc-san-diego-ca-125410

## Quick answers

**How is Rice Hall James & Associates LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Rice Hall James & Associates LLC reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Rice Hall James & Associates LLC located?**
Rice Hall James & Associates LLC's principal office is in San Diego, CA, according to its Form ADV; the June 2026 filing also lists 1 other office (Schedule D, Section 1.F).

**Is Rice Hall James & Associates LLC registered with the SEC or a state?**
Rice Hall James & Associates LLC is an SEC-registered investment advisory firm, registered since 2003. Status as filed: Approved. CRD 125410.

**How much does Rice Hall James & Associates LLC manage?**
Rice Hall James & Associates LLC reports $1,740,251,833 in regulatory assets under management in its Form ADV filing dated May 6, 2026 (100% discretionary).

**How have Rice Hall James & Associates LLC's assets and staff changed since 2021?**
In the Form ADV data for Rice Hall James & Associates LLC: Regulatory assets under management: $3,119,786,213 in the October 2021 data and $1,740,251,833 in the October 2026 data, down 44%. Total employees: 32 in October 2021 and 23 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Rice Hall James & Associates LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (143); high net worth individuals (68); corporations or other businesses not listed above (10).

**Which custodians does Rice Hall James & Associates LLC use?**
Rice Hall James & Associates LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Northern Trust Investments Incorporated, State Street Bank and Trust Company and The Bank of New York Mellon as custodians holding 10% or more of its separately managed account assets.

**Does Rice Hall James & Associates LLC 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/125410

**What changed in Rice Hall James & Associates LLC's recent Form ADV filings?**
In the April 2026 filing data: Employees performing advisory functions went from 14 to 13. Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

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

### Custodians (Schedule D, Section 5.K(3))
- Northern Trust Investments Incorporated
- State Street Bank and Trust Company
- The Bank of New York Mellon

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: $1,740,251,833
- Discretionary: $1,740,251,833
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 143 | $245,716,265 |
| High net worth individuals | 68 | $100,701,582 |
| Banking or thrift institutions | Fewer than 5 | $0 |
| Investment companies | 1 | $90,617,702 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 1 | $448,990,000 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 3 | $273,110,597 |
| Charitable organizations | 9 | $40,251,423 |
| State or municipal government entities (including government pension plans) | 8 | $307,872,372 |
| Other investment advisers | Fewer than 5 | $0 |
| Insurance companies | Fewer than 5 | $0 |
| Sovereign wealth funds and foreign official institutions | Fewer than 5 | $0 |
| Corporations or other businesses not listed above | 10 | $178,963,368 |
| Other | 6 | $54,028,524 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies (and business development companies)
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Other

### Firm details
- Registered since: 2003 (23 years)
- Employees: 23 total, 13 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: CA, FL, GA, IL, LA, MA, MN, MO, NC, NH, NJ, NY, OH, PA, TX, VA, WA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the June 2026 filing
- Pasadena, CA

### Websites listed on Form ADV (Item 1.I)
- [rhjfunds.com](https://rhjfunds.com)
- [ricehalljames.com](https://ricehalljames.com)
- LinkedIn @rice-hall-james-&-associates-llc

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $3,119,786,213 | 32 | March 30, 2021 |
| October 2022 | $2,947,679,029 | 31 | September 7, 2022 |
| October 2023 | $1,802,790,332 | 27 | April 27, 2023 |
| October 2024 | $1,740,724,495 | 27 | March 28, 2024 |
| October 2025 | $1,775,743,710 | 25 | March 28, 2025 |
| October 2026 | $1,740,251,833 | 23 | May 6, 2026 |

Regulatory assets under management: $3,119,786,213 in the October 2021 data and $1,740,251,833 in the October 2026 data, down 44%.
Total employees: 32 in October 2021 and 23 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Employees performing advisory functions went from 14 to 13.
- Updated its list of owners and control persons (Schedule A).

### January 2026
- No longer registered or notice-filed in IN, OK.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Rice Hall James & Associates LLC (CRD 125410): Form ADV filing data as of October 2026.