Louis M. Holtz

RICE HALL JAMES & ASSOCIATES LLC

Pasadena, CA 91101

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CRD#: 4329938

Professional summary

Louis Millett Holtz is a registered financial advisor currently at RICE HALL JAMES & ASSOCIATES LLC located in Pasadena, California.

Louis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Louis has worked at 2 firms .

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Louis Millett Holtz'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

May 18, 2011 - Present

RICE HALL JAMES & ASSOCIATES LLC

Office #1: 300 N. Lake Ave., Suite 929, Pasadena, CA 91101

RIA

CRD#: 125410

Pasadena, CA

Past

March 29, 2005 - October 2, 2008

ENGEMANN ASSET MANAGEMENT

RIA

CRD#: 105158

PASADENA, 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
(5/18/2011)

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

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.

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Louis M. Holtz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Louis Millett Holtz's CRS (Customer Relationship Summary).

Certified licenses

Experience

RICE HALL JAMES & ASSOCIATES LLC

ENGEMANN ASSET MANAGEMENT

Primary Firm SEC Registration

RICE HALL JAMES & ASSOCIATES LLC

State Registrations and Notice Filings

Exams

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

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