{"url":"https://nivawealth.com/firms/rice-financial-consulting-170346","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/170346","regulatoryAum":287165396,"crd":"170346","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7930726","suffix":null,"lastName":"Hansen","firstName":"Janelle","middleName":"Denae"},{"crd":"5463414","suffix":null,"lastName":"HUNDRIESER","firstName":"DOROTHY","middleName":"JANET"},{"crd":"1064788","suffix":null,"lastName":"RICE","firstName":"STEPHEN","middleName":"MANFRED"},{"crd":"7617288","suffix":null,"lastName":"YATES","firstName":"MARIA","middleName":null}],"total":4,"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":"2021-05-28","regulatoryAum":164320660,"clients":316,"employees":2,"offices":1},{"filedOn":"2022-03-30","regulatoryAum":175451242,"clients":304,"employees":2,"offices":1},{"filedOn":"2023-03-31","regulatoryAum":175352025,"clients":324,"employees":2,"offices":1},{"filedOn":"2024-06-18","regulatoryAum":206109362,"clients":674,"employees":3,"offices":1},{"filedOn":"2025-03-31","regulatoryAum":230702789,"clients":348,"employees":5,"offices":1},{"filedOn":"2026-03-31","regulatoryAum":287165396,"clients":369,"employees":5,"offices":1}],"secFileNumber":"801-107140","legalName":"Rice Financial Consulting, Inc.","displayName":"Rice Financial Consulting","slug":"rice-financial-consulting-170346","website":"https://ricefc.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/170346/5e7aede1b70b33fb-r1.webp","tone":"light","width":531,"height":200,"sourceUrl":"https://www.ricefc.com/","sourceLabel":"Rice Financial Consulting, Inc., website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/rice-financial-consulting-inc./","founded":"2003","organization":"California corporation","fiscalYearEnd":"December","headquarters":{"street":"300 E. Main Street","city":"Los Gatos","state":"CA","stateName":"California","country":"United States","postalCode":"95030"},"tradeNames":[],"registration":{"secApproved":"28 January 2016","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":770099.6125356125,"staff":{"employees":5,"advisory":5,"brokerDealerReps":0,"insuranceAgents":1,"promoters":0},"aum":{"regulatory":287165396,"discretionary":0,"discretionaryAccounts":0,"nonDiscretionary":287165396,"nonDiscretionaryAccounts":369,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":285,"regulatoryAum":71907878},{"label":"High-net-worth individuals","clients":66,"regulatoryAum":198397086},{"label":"Corporations and other businesses","clients":18,"regulatoryAum":16860432}],"feePrograms":[],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T14:54:04.891371+00:00","documents":[{"name":"ADV PART 2A -  RICE FINANCIAL","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1036946","versionId":1036946,"submittedOn":"2026-03-31"},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=463895","versionId":463895,"submittedOn":null},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=353942","versionId":353942,"submittedOn":null}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":179478074},{"name":"Axos","shortName":"Axos","location":"San Francisco, CA","smaAssets":96629704}],"custodyNote":"Rice Financial Consulting does not have custody of client assets.","leadership":[{"name":"Stephen Rice","title":"President","crd":"1064788"},{"name":"Dorothy Hundrieser","title":"Managing Member and Chief Compliance Officer","crd":"5463414"}],"ownership":[{"label":"Stephen Rice","detail":"President in the 75% or more ownership band and a control person, since September 2003."}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"300 E. Main Street","city":"Los Gatos","headquarters":true}]}],"brochureServices":["insurance"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"408-354-3400","stateRegisteredReps":4,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Selection of other advisers (including private fund managers)"],"financialPlanningClients":"0","assetMix":[{"label":"Securities issued by registered investment companies or business development companies","percent":100}],"privateFunds":0},"sources":{"adv1FilingDate":"31 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/170346/PDF/170346.pdf","brochureDate":"31 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1036946","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 Rice Financial Consulting have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Rice Financial Consulting offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Rice Financial Consulting use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Rice Financial Consulting have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Rice Financial Consulting invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Rice Financial Consulting?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Rice Financial Consulting get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is Rice Financial Consulting registered with the SEC?","answer":"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","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Rice Financial Consulting?","answer":"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.","source":"Form ADV Part 1A, Item 1.F, filed 31 March 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."}