{"url":"https://nivawealth.com/firms/dale-q-rice-investment-management-310614","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/310614","regulatoryAum":156591623,"crd":"310614","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2394106","suffix":null,"lastName":"RICE","firstName":"DALE","middleName":"QUINTIN"}],"total":1,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2022-02-15","regulatoryAum":106288322,"clients":139,"employees":3,"offices":1},{"filedOn":"2023-04-05","regulatoryAum":90223140,"clients":155,"employees":4,"offices":1},{"filedOn":"2024-02-09","regulatoryAum":103110138,"clients":118,"employees":4,"offices":1},{"filedOn":"2025-03-13","regulatoryAum":132567332,"clients":121,"employees":4,"offices":1},{"filedOn":"2026-04-29","regulatoryAum":156591623,"clients":121,"employees":4,"offices":2}],"secFileNumber":"801-123463","legalName":"Dale Q. Rice Investment Management, LTD.","displayName":"Dale Q. Rice Investment Management","slug":"dale-q-rice-investment-management-310614","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Washington corporation","fiscalYearEnd":"December","headquarters":{"street":"","city":"","state":"","stateName":"","country":"","postalCode":null},"tradeNames":[],"registration":{"secApproved":"17 March 2022","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1359560.0185185184,"staff":{"employees":4,"advisory":1,"brokerDealerReps":0,"insuranceAgents":1,"promoters":0},"aum":{"regulatory":156591623,"discretionary":154108797,"discretionaryAccounts":264,"nonDiscretionary":2482826,"nonDiscretionaryAccounts":2,"wrapProgram":135996975,"nonUsClientsPct":1,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":37,"regulatoryAum":22517189},{"label":"High-net-worth individuals","clients":71,"regulatoryAum":124315293},{"label":"Pension and profit-sharing plans","clients":7,"regulatoryAum":4965368},{"label":"Insurance companies","clients":6,"regulatoryAum":4198110},{"label":"Corporations and other businesses","clients":null,"fewerThan5":true,"regulatoryAum":595663}],"feePrograms":[{"role":"main","program":"Asset Management","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1043236","versionId":1043236,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-04-29","documentName":"FORM ADV PART 2A","fee_rate_low":1,"fee_rate_high":1.5,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T16:43:37.560774+00:00","documents":[{"name":"FORM ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1043236","versionId":1043236,"submittedOn":"2026-04-29"},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1043237","versionId":1043237,"submittedOn":null}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Omaha, NE","smaAssets":149910596}],"custodyNote":"Dale Q. Rice Investment Management has custody of $63.3M in client assets for 75 clients.","otherCustodians":[],"leadership":[{"name":"Dale Rice","title":"Owner / Chief Compliance Officer","crd":"2394106"}],"ownership":[{"label":"Dale Rice","detail":"Owner / chief compliance officer in the 75% or more ownership band and a control person, since August 2020."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"Washington","offices":1,"addresses":[{"street":"10000 Ne 7th Avenue","city":"Vancouver"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"360-693-7577","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for individuals and/or small businesses"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":40},{"label":"Securities issued by registered investment companies or business development companies","percent":58},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"29 April 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/310614/PDF/310614.pdf","brochureDate":"29 April 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1043236","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Dale Q. Rice Investment Management have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Dale Q. Rice Investment Management offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Dale Q. Rice Investment Management charge?","answer":"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.","source":"FORM ADV PART 2A, filed 29 April 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Dale Q. Rice Investment Management use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Dale Q. Rice Investment Management have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Dale Q. Rice Investment Management invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Dale Q. Rice Investment Management?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Dale Q. Rice Investment Management get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Dale Q. Rice Investment Management?","answer":"Its phone number is 360-693-7577.","source":"Form ADV Part 1A, Item 1.F, filed 29 April 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}