Dale Q. Rice Investment Management provides portfolio management for individuals and small businesses.
Dale Q. Rice Investment Management reports 121 clients. They include 71 high-net-worth individuals, 37 individual clients, and 7 pension and profit-sharing plans. Of its assets, 98.4% ($154M across 264 accounts) are managed with discretion; $2.48M across 2 accounts are not. A wrap fee program the firm both sponsors and manages holds $136M. Of its clients, 1% are outside the U.S.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 31% | 14% |
| High-net-worth individuals | 59% | 79% |
| Pension and profit-sharing plans | 6% | 3% |
| Insurance companies | 5% | 3% |
| Corporations and other businesses | Fewer than 5 | <1% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 37 | $22.5M | 14.4% | $609K |
| High-net-worth individuals | 71 | $124M | 79.4% | $1.75M |
| Pension and profit-sharing plans | 7 | $4.97M | 3.2% | $709K |
| Insurance companies | 6 | $4.2M | 2.7% | $700K |
| Corporations and other businesses | Fewer than 5 | $596K | 0.4% | — |
| Total | 121 | $157M | 100% | — |
- Clients
- 37
- Regulatory AUM
- $22.5M
- AUM share
- 14.4%
- Avg. per client
- $609K
- Clients
- 71
- Regulatory AUM
- $124M
- AUM share
- 79.4%
- Avg. per client
- $1.75M
- Clients
- 7
- Regulatory AUM
- $4.97M
- AUM share
- 3.2%
- Avg. per client
- $709K
- Clients
- 6
- Regulatory AUM
- $4.2M
- AUM share
- 2.7%
- Avg. per client
- $700K
- Clients
- Fewer than 5
- Regulatory AUM
- $596K
- AUM share
- 0.4%
- Avg. per client
- —
Total
- Clients
- 121
- Regulatory AUM
- $157M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 1%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
Dale Q. Rice Investment Management charges 1.00%–1.50% a year for its Asset Management. The fee is billed in advance and is negotiable.
Fee details and sources
Dale Rice owns 75% or more of Dale Q. Rice Investment Management. The leadership team of Dale Q. Rice Investment Management includes Chief Compliance Officer Dale Rice. It has 4 employees, 1 of them in advisory roles.
Leadership
- Dale RiceOwner / Chief Compliance Officer
Investment adviser representatives
1 representatives listed in the SEC register as of 9 October 2026.
Staff
- 4 employees
- 1 in advisory functions
- 1 state-registered rep
- 1 insurance agent
- Owns 75% or more of Dale Q. Rice Investment Management, LTD.
Dale Rice
Control person · since August 2020
Dale Q. Rice Investment Management’s regulatory assets grew from $106M (February 2022) to $157M (April 2026); clients fell from 139 to 121 and employees rose from 3 to 4.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| April 2026 | $157M | 121 | 4 | 2 |
| March 2025 | $133M | 121 | 4 | 1 |
| February 2024 | $103M | 118 | 4 | 1 |
| April 2023 | $90.2M | 155 | 4 | 1 |
| February 2022 | $106M | 139 | 3 | 1 |
Besides its headquarters, Dale Q. Rice Investment Management has 1 office, with 2 listed addresses in Washington.
Washington · 1 listed address
- 10000 Ne 7th Avenue, Vancouver
Contact and registration details
- Legal name
- Dale Q. Rice Investment Management, LTD.
- Headquarters
- Not reported
- Website
- Not reported
- Phone
- 360-693-7577
- SEC file
- 801-123463
- Structure
- Washington corporation
- Fiscal year end
- December
Dale Q. Rice Investment Management uses Charles Schwab ($150M) as custodian for its separately managed accounts. Dale Q. Rice Investment Management has custody of $63.3M in client assets for 75 clients.
- Charles SchwabCharles Schwab & Co., Inc. · Omaha, NE · $150M100%
At year end, Dale Q. Rice Investment Management’s separately managed accounts were mostly in funds (58%) and stocks (40%).
What the accounts hold
- Stocks40%
- Funds58%
- Cash2%
How many clients does Dale Q. Rice Investment Management have?
Dale Q. Rice Investment Management has 121 clients and manages $157 million for them, as of April 2026. They include 71 high-net-worth individuals, 37 individual clients, and 7 pension and profit-sharing plans.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 29 April 2026
What services does Dale Q. Rice Investment Management offer?
Dale Q. Rice Investment Management provides portfolio management for individuals and small businesses.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Dale Q. Rice Investment Management charge?
Dale Q. Rice Investment Management charges 1.00%–1.50% a year for its Asset Management. The fee is billed in advance and is negotiable.
Which custodians does Dale Q. Rice Investment Management use?
Dale Q. Rice Investment Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Omaha, NE), with $150M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 29 April 2026
How many financial advisors does Dale Q. Rice Investment Management have?
Dale Q. Rice Investment Management has 1 investment adviser representative registered with state securities authorities, out of 4 employees, and 1 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Dale Q. Rice Investment Management invest in?
At the end of its last fiscal year, Dale Q. Rice Investment Management’s separately managed accounts held 58% registered funds (mutual funds, ETFs, BDCs), 40% exchange-traded equities and 2% cash and equivalents.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Dale Q. Rice Investment Management?
Dale Q. Rice Investment Management’s direct owner is Dale Rice (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 29 April 2026
How does Dale Q. Rice Investment Management get paid?
Dale Q. Rice Investment Management is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Dale Q. Rice Investment Management?
Its phone number is 360-693-7577.