Frazer C. Rice

NEXT CAPITAL MANAGEMENT

New York, NY 10036

CRD#: 7072320

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Professional summary

Frazer Clark Rice, who also goes by Frazer Rice, is a registered financial advisor currently at NEXT CAPITAL MANAGEMENT LLC located in New York, New York.

Frazer is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Frazer has worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Frazer 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 Frazer Clark 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

December 1, 2022 - Present

NEXT CAPITAL MANAGEMENT LLC

Office #1: Eleven Times Square 15th Floor, New York, NY 10036

RIA

CRD#: 110793

New York, NY

Past

June 17, 2019 - March 10, 2020

CALAMOS WEALTH MANAGEMENT LLC

RIA

CRD#: 143490

New York, NY

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".

NEXT CAPITAL MANAGEMENT LLC

NEXT CAPITAL | NEXT CAPITAL MANAGEMENT LLC

CRD#: 110793 / SEC#: 801-56281

RIA

Registered Investment Advisory firm - (3/24/1999 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

New York
(12/1/2022)

IAR

Texas
(12/1/2022)

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: 12/1/2022

Uniform Investment Adviser Law Examination

Current Firm

NEXT CAPITAL MANAGEMENT LLC

NEXT CAPITAL | NEXT CAPITAL MANAGEMENT LLC

CRD#: 110793 / SEC#: 801-56281

RIA

Registered Investment Advisory firm - (3/24/1999 Approved)

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Contact information

Main Address

Eleven Times Square 15th Floor, New York, NY 10036

Mailing Address

Phone number

(212) 433-1111

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (1/30/2026)

Regulatory assets under management

Total Number of Accounts	2,332
AUM (Assets Under Management)	$ 2,135,481,487

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/26/2026	Cover Page	Report
09/23/2024	Cover Page	Report
01/25/2024	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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Frazer C. Rice

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frazer Clark Rice's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEXT CAPITAL MANAGEMENT LLC

CALAMOS WEALTH MANAGEMENT LLC

Primary Firm SEC Registration

NEXT CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/1/2022

Current Firm

NEXT CAPITAL MANAGEMENT LLC

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

NEXT CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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