Warm Springs Advisors provides financial planning and portfolio management for individuals and small businesses. Financial planning was provided to 11–25 clients last fiscal year.
Warm Springs Advisors reports 15 clients. They include 15 high-net-worth individuals. Of its assets, 100.0% ($131M across 47 accounts) are managed with discretion.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | Fewer than 5 | <1% |
| High-net-worth individuals | 100% | 99% |
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) | Fewer than 5 | $1.11M | 0.8% | — |
| High-net-worth individuals | 15 | $130M | 99.2% | $8.68M |
| Total | 15 | $131M | 100% | — |
- Clients
- Fewer than 5
- Regulatory AUM
- $1.11M
- AUM share
- 0.8%
- Avg. per client
- —
- Clients
- 15
- Regulatory AUM
- $130M
- AUM share
- 99.2%
- Avg. per client
- $8.68M
Total
- Clients
- 15
- Regulatory AUM
- $131M
- AUM share
- 100%
- Avg. per client
- —
- 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
- 11–25
Warm Springs Advisors charges 0.90%–1.00% a year for its Asset Management Services. The fee is billed in arrears and is negotiable.
Fee details and sources
Philip Rice owns 75% or more of Warm Springs Advisors. The leadership team of Warm Springs Advisors includes President Philip Rice. It has 3 employees, 1 of them in advisory roles.
Leadership
- Philip RicePresident and Chief Compliance Officer
Investment adviser representatives
2 representatives listed in the SEC register as of 9 October 2026.
Staff
- 3 employees
- 1 in advisory functions
- 1 state-registered rep
- 1 soliciting firm
- Owns 75% or more of Warm Springs Advisors Inc.
Philip Rice
Control person · since November 2019
Besides its headquarters, Warm Springs Advisors has 0 offices, with 1 listed address in California.
California · 1 listed address
- 80 E. Sir Francis Drake BLVD. Suite 4d, LarkspurHQ
Contact and registration details
- Legal name
- Warm Springs Advisors Inc.
- Headquarters
- 80 E. Sir Francis Drake BLVD. Suite 4d, Larkspur, CA 94939
- Website
- Not reported
- Phone
- 415-497-8564
- SEC file
- 801-134774
- Structure
- California corporation
- Fiscal year end
- December
Warm Springs Advisors uses Charles Schwab ($131M) as custodian for its separately managed accounts. Warm Springs Advisors does not have custody of client assets.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $131M100%
At year end, Warm Springs Advisors’ separately managed accounts were mostly in stocks (90%). Its reported 13F holdings for the quarter ended 30 June 2026 total $145M across 45 positions; the largest are Nvidia Corporation (13.0%), Advanced Micro Devices Inc. (10.1%) and Broadcom Inc. (7.9%).
What the accounts hold
- Stocks90%
- Funds8%
- Cash2%
Reported 13F holdings
- $145M
- Reported 13F value
- 45
- Positions
- 62.4%
- In the 10 largest
- +22.7%
- Value vs. prior quarter
- Nvidia Corporation13.0%
- Advanced Micro Devices Inc.10.1%
- Broadcom Inc.7.9%
- Alphabet Inc. · Cap Stk CL A7.0%
- Apple Inc.4.7%
- Meta Platforms Inc. · CL A4.4%
- Microsoft Corp.4.3%
- Amazon Com Inc.4.2%
- Invesco Qqq TR · Unit Ser 13.6%
- Intuitive Surgical Inc.3.2%
Together, the ten largest are 62.4% of reported value.
How many clients does Warm Springs Advisors have?
Warm Springs Advisors has 15 clients and manages $131 million for them, as of February 2026. They include 15 high-net-worth individuals.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 13 February 2026
What services does Warm Springs Advisors offer?
Warm Springs Advisors provides financial planning and 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 Warm Springs Advisors charge?
Warm Springs Advisors charges 0.90%–1.00% a year for its Asset Management Services. The fee is billed in arrears and is negotiable.
Source: WARM SPRINGS ADVISORS ADV PART 2A AND 2B, filed 13 February 2026
Which custodians does Warm Springs Advisors use?
Warm Springs Advisors’ separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $131M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 13 February 2026
How many financial advisors does Warm Springs Advisors have?
Warm Springs Advisors has 1 investment adviser representative registered with state securities authorities, out of 3 employees, and 1 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Warm Springs Advisors invest in?
At the end of its last fiscal year, Warm Springs Advisors’ separately managed accounts held 90% exchange-traded equities, 8% registered funds (mutual funds, ETFs, BDCs) 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 Warm Springs Advisors?
Warm Springs Advisors’ direct owner is Philip Rice (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 13 February 2026
How does Warm Springs Advisors get paid?
Warm Springs Advisors 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 Warm Springs Advisors registered with the SEC?
Yes, Warm Springs Advisors has been registered with the SEC as an investment adviser since 25 November 2025. Its CRD number is 306501 and its SEC file number is 801-134774.
Source: Form ADV Part 1A, Item 1, filed 13 February 2026; IAPD firm record
How do I contact Warm Springs Advisors?
Warm Springs Advisors’ main office is at 80 E. Sir Francis Drake BLVD. Suite 4d, Larkspur, CA 94939. Its phone number is 415-497-8564.