Gary S. Rice

RICE HALL JAMES & ASSOCIATES LLC

SAN DIEGO, CA 92101

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CRD#: 2335569

Professional summary

Gary Schuler Rice is a registered financial advisor currently at RICE HALL JAMES & ASSOCIATES LLC located in San Diego, California.

Gary is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Gary has worked at 5 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

RICE, HALL JAMES & ASSOCIATES LLC, SAN DIEGO, CA, INVESTMENT ADVISOR, INVESTMENT RELATED, START DATE 06/1983, MEMBER/PM, 200 HOURS PER MONTH WITH 143 HOURS DURING TRADING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gary Schuler Rice's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

March 28, 2003 - Present

RICE HALL JAMES & ASSOCIATES LLC

Office #1: 600 West Broadway Suite 1000, San Diego, CA 92101

RIA

CRD#: 125410

SAN DIEGO, CA

Past

July 20, 2004 - February 24, 2023

FORESIDE FUND SERVICES, LLC

CRD#: 46106

SAN DIEGO, CA

Past

April 9, 2001 - June 24, 2004

FUNDS DISTRIBUTOR, LLC

CRD#: 7174

PORTLAND, ME

Past

December 1, 1997 - April 9, 2001

UAM FUND DISTRIBUTORS, INC.

CRD#: 24364

BOSTON, MA

Past

July 8, 1997 - March 27, 2003

RICE HALL JAMES & ASSOCIATES

RIA

CRD#: 104697

SAN DIEGO, CA

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".

RICE HALL JAMES & ASSOCIATES LLC

CRD#: 125410 / SEC#: 801-61905

RIA

Registered Investment Advisory firm - (2/13/2003 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(3/28/2003)

IAR

Texas
(3/15/2010)

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: 10/27/1997

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/19/1993

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 11/28/1997

Investment Company Products/Variable Contracts Representative Examination

Current Firm

RICE HALL JAMES & ASSOCIATES LLC

CRD#: 125410 / SEC#: 801-61905

RIA

Registered Investment Advisory firm - (2/13/2003 Approved)

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Contact information

Main Address

600 West Broadway Suite 1000, San Diego, CA 92101

Mailing Address

Phone number

(619) 239-9005

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RICE HALL JAMES ADV PART 2A BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	265
AUM (Assets Under Management)	$ 1,775,743,710

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

Gary S. Rice

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gary Schuler Rice's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORESIDE FUND SERVICES, LLC

FUNDS DISTRIBUTOR, LLC

UAM FUND DISTRIBUTORS, INC.

RICE HALL JAMES & ASSOCIATES

Primary Firm SEC Registration

RICE HALL JAMES & ASSOCIATES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/27/1997

Series 65

Date: 3/19/1993

SIE

Date: 10/1/2018

Series 6

Date: 11/28/1997

Current Firm

RICE HALL JAMES & ASSOCIATES LLC

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RICE HALL JAMES & ASSOCIATES LLC

TRUST BUT VERIFY

Contact information

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