Rice Financial Consulting provides selecting other managers and insurance.
Rice Financial Consulting reports 369 clients. They include 285 individual clients, 66 high-net-worth individuals, and 18 corporations and other businesses. Of its assets, 0.0% ($0 across 0 accounts) are managed with discretion; $287M across 369 accounts are not.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 77% | 25% |
| High-net-worth individuals | 18% | 69% |
| Corporations and other businesses | 5% | 6% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 285 | $71.9M | 25.0% | $252K |
| High-net-worth individuals | 66 | $198M | 69.1% | $3.01M |
| Corporations and other businesses | 18 | $16.9M | 5.9% | $937K |
| Total | 369 | $287M | 100% | $778K |
- Clients
- 285
- Regulatory AUM
- $71.9M
- AUM share
- 25.0%
- Avg. per client
- $252K
- Clients
- 66
- Regulatory AUM
- $198M
- AUM share
- 69.1%
- Avg. per client
- $3.01M
- Clients
- 18
- Regulatory AUM
- $16.9M
- AUM share
- 5.9%
- Avg. per client
- $937K
Total
- Clients
- 369
- Regulatory AUM
- $287M
- AUM share
- 100%
- Avg. per client
- $778K
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 0
Rice Financial Consulting is paid through a percentage of assets under management. The reviewed brochures do not disclose an asset-based fee rate. Read the SEC-filed brochure.
Stephen Rice owns 75% or more of Rice Financial Consulting. The leadership team of Rice Financial Consulting includes President Stephen Rice and Chief Compliance Officer Dorothy Hundrieser. It has 5 employees.
Leadership
- Stephen RicePresident
- Dorothy HundrieserManaging Member and Chief Compliance Officer
Investment adviser representatives
4 representatives listed in the SEC register as of 9 October 2026.
- Janelle Denae Hansen
- Dorothy Janet Hundrieser
- Stephen Manfred Rice
- Maria Yates
Staff
- 5 employees
- 5 in advisory functions
- 4 state-registered reps
- 1 insurance agent
- Owns 75% or more of Rice Financial Consulting, Inc.
Stephen Rice
Control person · since September 2003
Rice Financial Consulting’s regulatory assets grew 1.7× from $164M (May 2021) to $287M (March 2026); clients rose from 316 to 369 and employees from 2 to 5.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $287M | 369 | 5 | 1 |
| March 2025 | $231M | 348 | 5 | 1 |
| June 2024 | $206M | 674 | 3 | 1 |
| March 2023 | $175M | 324 | 2 | 1 |
| March 2022 | $175M | 304 | 2 | 1 |
| May 2021 | $164M | 316 | 2 | 1 |
Besides its headquarters, Rice Financial Consulting has 0 offices, with 1 listed address in California.
California · 1 listed address
- 300 E. Main Street, Los GatosHQ
Contact and registration details
- Legal name
- Rice Financial Consulting, Inc.
- Headquarters
- 300 E. Main Street, Los Gatos, CA 95030
- Website
- ricefc.com
- Phone
- 408-354-3400
- @rice-financial-consulting-inc.
- SEC file
- 801-107140
- Founded
- 2003
- Structure
- California corporation
- Fiscal year end
- December
Rice Financial Consulting uses Charles Schwab ($179M, 65%) and Axos ($96.6M, 35%) as custodians for its separately managed accounts. Rice Financial Consulting does not have custody of client assets.
- Charles SchwabCharles Schwab & Co., Inc. · San Francisco, CA · $179M65%
- AxosAxos · San Francisco, CA · $96.6M35%
At year end, Rice Financial Consulting’s separately managed accounts were mostly in funds (100%).
What the accounts hold
- Funds100%
How many clients does Rice Financial Consulting have?
Rice Financial Consulting has 369 clients and manages $287 million for them, as of March 2026. They include 285 individual clients, 66 high-net-worth individuals, and 18 corporations and other businesses.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 31 March 2026
What services does Rice Financial Consulting offer?
Rice Financial Consulting provides selecting other managers and insurance.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4
Which custodians does Rice Financial Consulting use?
Rice Financial Consulting’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $179M and Axos (San Francisco, CA), with $96.6M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 31 March 2026
How many financial advisors does Rice Financial Consulting have?
Rice Financial Consulting has 4 investment adviser representatives registered with state securities authorities, out of 5 employees, and 5 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 Rice Financial Consulting invest in?
At the end of its last fiscal year, Rice Financial Consulting’s separately managed accounts held 100% registered funds (mutual funds, ETFs, BDCs).
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Rice Financial Consulting?
Rice Financial Consulting’s direct owner is Stephen Rice (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 31 March 2026
How does Rice Financial Consulting get paid?
Rice Financial Consulting 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
Is Rice Financial Consulting registered with the SEC?
Yes, Rice Financial Consulting has been registered with the SEC as an investment adviser since 28 January 2016. Its CRD number is 170346 and its SEC file number is 801-107140.
Source: Form ADV Part 1A, Item 1, filed 31 March 2026; IAPD firm record
How do I contact Rice Financial Consulting?
Rice Financial Consulting’s main office is at 300 E. Main Street, Los Gatos, CA 95030. Its phone number is 408-354-3400. Its website is ricefc.com.