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AR

Andre Rice

MULLER & MONROE ASSET MANAGEMENT
CHICAGO, IL
·CRD# 726165·45 years experience

Professional Summary

Andre Rice, who also goes by S Andre Rice, S. Andre Rice, Sherman Andre Rice, is a registered financial advisor currently at MULLER & MONROE ASSET MANAGEMENT,LLC located in Chicago, Illinois. Andre is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. Andre has worked at 5 firms and has passed the Series 63, Series 65, Series 7 and Series 5 exams.

At a Glance

Always Fiduciary

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

S Andre Rice, S. Andre Rice, Sherman Andre Rice

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

45 years in the financial services industry

Current & Past Employments

MULLER & MONROE ASSET MANAGEMENT,LLC·CRD# 132073
RIA
180 N. Stetson Ave. Suite 1320, Chicago, IL 606101
November 23, 2004 - Present
ILLINOIS PRIVATE EQUITY FUND-OF-FUNDS G.P., LLC·CRD# 133363
RIA
Chicago , IL
November 29, 2004 - November 20, 2017
REFCO SECURITIES, LLC·CRD# 14094
BD
New York, NY
May 1, 1996 - September 13, 1996
CITISTREET EQUITIES LLC·CRD# 7447
BD
Somerset, NJ
June 25, 1987 - March 6, 1990
GOLDMAN SACHS & CO. LLC·CRD# 361
BD
March 23, 1981 - August 6, 1985

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Current Firm

M&
MULLER & MONROE ASSET MANAGEMENT,LLC

MULLER & MONROE ASSET MANAGEMENT,LLC

CRD#: 132073 / SEC#: 801-69275
RIA
Registered Investment Advisory firm - SEC (7/3/2008 Approved)

Contact Information

Main Address

180 N. Stetson Avenue Suite 1320, Chicago, IL 60601-6820

Phone Number

(312) 782-7771

# of Employees

17

SEC notice filing (1 States and Territories)

Registered to provide investment advisory services in 1 US states and territories.

Documents

Latest Form ADV

Part 2 Brochures

M2AM FORM ADV PART 2A 7.13.26 (7/13/2026)

Regulatory Assets Under Management

Total Number of Accounts

9

AUM (Assets Under Management)

$1,670,117,549

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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)SINCE JULY 1999, MR. RICE HAS SERVED AS PRESIDENT OF MULLER & MONROE ASSET MANAGEMENT, LLC, A REGISTERED INVESTMENT ADVISOR. MR. RICE'S ACTIVITIES INCLUDE, BUT ARE NOT LIMITED TO, OVERSEEING ALL FUNCTIONS OF THE FIRM INCLUDING INVESTMENTS, SALES AND MARKETING, FINANCIAL REPORTING, AND BACK OFFICE. MR. RICE WILL SPLIT HIS TIME APPROXIMATELY 50%/50% BETWEEN SUPERVISING THE INVESTING, BACK OFFICE AND CLIENT SERVICE ACTIVITIES OF MULLER & MONROE ASSET MANAGEMENT AND THE SALES AND MARKETING ACTIVITIES OF WANNAMAKER POND, LLC. 2) MR. RICE IS THE MANAGING MEMBER OF THE RICE GROUP LTD. HE HAS HELD THIS ROLE SINCE NOVEMBER 1986. 3) SINCE SEPTEMBER 2012, MR. RICE HAS SERVED AS A BOARD MEMBER FOR THE CHICAGO COOK WORKFORCE INVESTMENT BOARD LOCATED AT 69 W. WASHINGTON STREET, SUITE 2860, CHICAGO, IL 60602. THE BOARD IS A FEDERALLY MANDATED BODY THAT OVERSEES THE INVESTMENT OF THE REGION'S ANNUAL WORKFORCE INVESTMENT ACT ALLOCATION FROM THE U.S DEPARTMENT OF LABOR. MR. RICE ATTENDS MEETINGS AT THE BAORD TO DISCUSS PARTNERSHIPS AND THE DEVELOPMENT OF PROGRAMS IN THE CHICAGOLAND REGION. MR. RICE DEVOTES 5 HOURS PER MONTH TO THIS OUTSIDE BUSINESS.

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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".
M&
MULLER & MONROE ASSET MANAGEMENT,LLC

MULLER & MONROE ASSET MANAGEMENT,LLC

CRD#: 132073 / SEC#: 801-69275
RIA
Registered Investment Advisory firm - SEC (7/3/2008 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.
IAR
Illinois
(11/23/2004)

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 2016About the Series 63 exam

Series 65 — Uniform Investment Adviser Law Examination

Passed Oct 2004About the Series 65 exam

Series 7 — General Securities Representative Examination

Passed Apr 1996About the Series 7 exam

Series 5 — Interest Rate Options Examination

Passed Jun 1982

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CRS (Client Relationship Summary) - RIA

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

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AR
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