Wealth manager, independent · LOS Gatos, CA
Rice Financial Consulting, Inc.
SEC-registered investment adviser · CRD 170346 · SEC 801-107140
At a glance
Rice Financial Consulting, Inc. is an SEC-registered investment adviser based in LOS Gatos, California, with $287 million in regulatory assets under management as of its Form ADV filed March 31, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 351 individual clients. By Form ADV it is a wealth manager, ranked 4,514th of 8,915 wealth managers and 10,382nd of 17,210 SEC-registered advisers by assets.
Main office 408-354-3400ricefc.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $287M
- Rank among wealth managers
- #4,514 of 8,915
- Rank among all SEC RIAs
- #10,382 of 17,210
- Rank in California
- #1,188 of 1,873
- Individual clients
- 351
- High-net-worth clients
- 66
- Accounts
- 369
- Discretionary
- 0% of AUM
- Employees
- 5
- Advisory staff
- 5
- Offices
- 1
Owners and executives on its Form ADV
- Stephen M. RicePresident
- Dorothy J. HundrieserManaging Member and Chief Compliance Officer
Custody and brokerage
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 66 | $198M | 69% |
| Individuals | 285 | $72M | 25% |
| Corporations or other businesses | 18 | $17M | 6% |
Disciplinary disclosures
Rice Financial Consulting, Inc. answers yes to 2 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Selecting other advisers
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗ricefc.com ↗
AtlasMembers
The full record on Rice Financial Consulting, Inc.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 9 years of filings
- Locked
- Growth over one, three and five years
- Locked
- Rank against 6,510 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 2 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Rice Financial Consulting, Inc. manage?
Rice Financial Consulting, Inc. reports $287 million in regulatory assets under management across 369 accounts, on its Form ADV filed March 31, 2026.
What kind of firm is Rice Financial Consulting, Inc.?
Rice Financial Consulting, Inc. is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Rice Financial Consulting, Inc.’s clients?
By assets, its largest client types are high-net-worth individuals ($198 million, 66 clients); individuals ($72 million, 285 clients); corporations or other businesses ($17 million, 18 clients).
Does Rice Financial Consulting, Inc. have any disciplinary history?
Rice Financial Consulting, Inc. answers yes to 2 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Rice Financial Consulting, Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-31), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →