Anthon H. Shaw

RICE HALL JAMES & ASSOCIATES LLC

SAN DIEGO, CA 92101

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CRD#: 2371370

Professional summary

Anthon Horton Shaw, CFA, who also goes by Tony Shaw, is a registered financial advisor currently at RICE HALL JAMES & ASSOCIATES LLC located in San Diego, California and FORESIDE FUND SERVICES, LLC located in San Diego, California.

Anthon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Anthon has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tony Shaw

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) RICE HALL JAMES & ASSOCIATES, SAN DIEGO, CA, INVESTMENT RELATED, START DATE 08/2010; Director of Operations, SUPERVISE TEAM THAT HANDLES OPERATIONAL ACTIVITIES; 160 HRS/MTH WITH 100 HRS DURING TRADING

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthon Horton Shaw'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®

CFA

Chartered Financial Analyst

Experience

Current

October 21, 2010 - Present

RICE HALL JAMES & ASSOCIATES LLC

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

RIA

CRD#: 125410

SAN DIEGO, CA

Current

October 11, 2010 - Present

FORESIDE FUND SERVICES, LLC

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

CRD#: 46106

SAN DIEGO, CA

Past

September 2, 2009 - August 4, 2010

LPL FINANCIAL LLC

RIA

CRD#: 6413

SAN DIEGO, CA

Past

September 2, 2009 - August 4, 2010

LPL FINANCIAL LLC

CRD#: 6413

SAN DIEGO, CA

Past

December 31, 1997 - March 26, 2009

LPL FINANCIAL LLC

RIA

CRD#: 6413

SAN DIEGO, CA

Past

January 14, 1994 - March 26, 2009

LPL FINANCIAL LLC

CRD#: 6413

SAN DIEGO, CA

Past

July 29, 1993 - November 12, 1993

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(10/11/2010)

IAR

California
(10/21/2010)

Florida
(1/2/2024)

Georgia
(1/2/2024)

Illinois
(1/2/2024)

Indiana
(1/2/2024)

Louisiana
(1/2/2024)

Massachusetts
(1/2/2024)

Minnesota
(1/2/2024)

Missouri
(1/2/2024)

New Hampshire
(1/2/2024)

New Jersey
(1/2/2024)

New York
(1/2/2024)

North Carolina
(1/2/2024)

Ohio
(1/2/2024)

Oklahoma
(1/2/2024)

Pennsylvania
(1/2/2024)

Texas
(1/2/2024)

Virginia
(1/2/2024)

Washington
(1/2/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/10/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/12/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 11/30/2001

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 4/25/1995

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/28/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/20/1999

General Securities Principal Examination

SRO Registrations

FINRA

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

Anthon H. Shaw

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthon Horton Shaw's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORESIDE FUND SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

RICE HALL JAMES & ASSOCIATES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/10/1996

Series 63

Date: 5/12/1995

SIE

Date: 10/1/2018

Series 3

Date: 11/30/2001

Series 7

Date: 4/25/1995

Series 6

Date: 7/28/1993

Series 24

Date: 12/20/1999

FINRA

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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