David R. Rice

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CRD#: 1233413

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

David Robert Rice was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1984. David had worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

(1) INSIGHT CAPITAL MANAGEMENT POSITION: Independent Contractor NATURE: Outside Registered Investment Advisor/Outside IAR INVESTMENT RELATED: Yes NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 60 START DATE: 07/01/2021 ADDRESS: 2001 Crow Canyon Road, San Ramon CA 94583, United States DESCRIPTION: OUTSIDE RIA. (2) INSURANCE POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 06/01/2021 ADDRESS: 2001 Crow Canyon Road, San Ramon CA 94583, United States DESCRIPTION: OUTSIDE INSURANCE.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 29, 2023 - December 31, 2023

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

SAN RAMON, CA

Past

February 24, 2022 - September 23, 2025

INSIGHT CAPITAL MANAGEMENT

RIA

CRD#: 314558

SAN RAMON, CA

Past

December 9, 2021 - March 30, 2023

ARKADIOS CAPITAL

CRD#: 282710

San Ramon, CA

Past

October 31, 2017 - December 12, 2019

RESOURCE INVESTMENT ARCHITECTS, INC.

RIA

CRD#: 111894

San Ramon, CA

Past

August 24, 2016 - January 3, 2022

INVESTMENT ARCHITECTS, INC.

CRD#: 17774

San Ramon, CA

Past

June 16, 2016 - January 6, 2022

INSIGHT CAPITAL MANAGEMENT, LLC

RIA

CRD#: 176530

SAN RAMON, CA

Past

July 9, 2007 - November 30, 2016

RICE PONTES CAPITAL, INC.

RIA

CRD#: 40056

SAN RAMON, CA

Past

May 3, 1999 - October 5, 2001

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

April 9, 1998 - May 3, 1999

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

July 17, 1996 - October 31, 2016

RICE PONTES CAPITAL, INC.

CRD#: 40056

SAN RAMON, CA

Past

March 25, 1994 - July 10, 1995

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

July 2, 1993 - October 19, 1993

INVESTMENT ARCHITECTS, INC.

CRD#: 17774

PETALUMA, CA

Past

August 19, 1986 - July 10, 1991

INVESTMENT ARCHITECTS, INC.

CRD#: 17774

PETALUMA, CA

Past

February 5, 1986 - July 8, 1986

AMERICAN INVESTORS COMPANY

CRD#: 38

Past

March 22, 1984 - February 25, 1985

NEW ENGLAND SECURITIES

CRD#: 615

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717 / SEC#: 801-62667, 8-22870

RIA

Registered Investment Advisory firm - SEC (1/30/2004 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 5/4/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/17/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/3/1996

General Securities Principal Examination

Current Firm

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717 / SEC#: 801-62667, 8-22870

RIA

Registered Investment Advisory firm - SEC (1/30/2004 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

12671 High Bluff Drive Suite 200, San Diego, CA 92130

Mailing Address

12671 High Bluff Drive Suite 200, San Diego, CA 92130

Phone number

(858) 436-3180

Established

Delaware since 07/09/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

622

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2B WRAP BROCHURE (9/4/2025)

FORM ADV PART 2A BROCHURE (9/4/2025)

Direct owners and executive officers

Name	Position	CRD#
INDEPENDENT FINANCIAL GROUP, INC.	OWNER
DAVIS, SCOTT EARLE	CFO & FINOP	7160800
DENNEN, BRIAN	CCO BROKERAGE & ADVISORY	3239786
FISCHER, DAVID ALLEN	MANAGING DIRECTOR	1634222
HEISING, SCOTT ALLEN	CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR	2192259
KEEFE, KEVIN MICHAEL	PRESIDENT, COO	1869560
KREISMAN, SARAH JILL	SVP & GENERAL COUNSEL	2671706
PEARSON, TROY DALE	ROSFP	2413897

Regulatory assets under management

Total Number of Accounts	44,046
AUM (Assets Under Management)	$ 11,322,059,063

Disclosures

Regulatory Event	15
Arbitration	2
Bond	1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

David R. Rice

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INSIGHT CAPITAL MANAGEMENT

ARKADIOS CAPITAL

RESOURCE INVESTMENT ARCHITECTS, INC.

INVESTMENT ARCHITECTS, INC.

INSIGHT CAPITAL MANAGEMENT, LLC

RICE PONTES CAPITAL, INC.

PARK AVENUE SECURITIES LLC

GUARDIAN INVESTOR SERVICES LLC

RICE PONTES CAPITAL, INC.

GUARDIAN INVESTOR SERVICES LLC

INVESTMENT ARCHITECTS, INC.

INVESTMENT ARCHITECTS, INC.

AMERICAN INVESTORS COMPANY

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

INDEPENDENT FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/4/1984

SIE

Date: 10/1/2018

Series 7

Date: 3/17/1984

Series 24

Date: 4/3/1996

Current Firm

INDEPENDENT FINANCIAL GROUP, LLC

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

INDEPENDENT FINANCIAL GROUP, LLC

TRUST BUT VERIFY

Contact information

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