James E. Rice

CAPITAL ASSET MANAGEMENT

COLUMBUS, OH 43235-8615

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CRD#: 5250489

Professional summary

James Eric Rice, CFP®, who also goes by J Eric Rice, Eric Rice, is a registered financial advisor currently at CAPITAL ASSET MANAGEMENT, INC. located in Columbus, Ohio.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. James has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

J Eric Rice | Eric Rice

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 James Eric 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®

CFP^®

Certified Financial Planner

Start date: 2013

Experience

Current

May 2, 2008 - Present

CAPITAL ASSET MANAGEMENT, INC.

Office #1: 445 Hutchinson Avenue, Suite 270, Columbus, OH 43235-8615

RIA

CRD#: 120597

COLUMBUS, OH

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".

CAPITAL ASSET MANAGEMENT, INC.

CRD#: 120597 / SEC#: 801-121081

RIA

Registered Investment Advisory firm - (4/30/2021 Approved)

Ohio

Registered Investment Advisory firm - (6/7/2021 Terminated)

Texas

Registered Investment Advisory firm - (1/25/2021 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Ohio
(5/2/2008)

IAR

Texas
(2/8/2021)

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

IAR

Series 65

Date: 5/1/2008

Uniform Investment Adviser Law Examination

Current Firm

CAPITAL ASSET MANAGEMENT, INC.

CRD#: 120597 / SEC#: 801-121081

RIA

Registered Investment Advisory firm - (4/30/2021 Approved)

Ohio

Registered Investment Advisory firm - (6/7/2021 Terminated)

Texas

Registered Investment Advisory firm - (1/25/2021 Conditional Restricted)

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Contact information

Main Address

445 Hutchinson Avenue, Suite 270, Columbus, OH 43235-8615

Mailing Address

Phone number

(614) 515-5510

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CAM BROCHURE_PARTS 2A AND 2B_2025 (3/24/2025)

Regulatory assets under management

Total Number of Accounts	326
AUM (Assets Under Management)	$ 180,054,268

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/11/2025	Cover Page	Report
03/29/2024	Cover Page	Report
09/15/2023	Cover Page	Report

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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James E. Rice

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Eric Rice's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPITAL ASSET MANAGEMENT, INC.

Primary Firm SEC Registration

CAPITAL ASSET MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/1/2008

Current Firm

CAPITAL ASSET MANAGEMENT, INC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CAPITAL ASSET MANAGEMENT, INC.

TRUST BUT VERIFY

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