James Michael Brokaw Rice

Employer firm

Brokaw Rice Investment Advisors, Incorporated CRD 141533

$6.53M regulatory AUM 17 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)

From the firm’s Form ADV. Read the guides:

Current Employers

Brokaw Rice Investment Advisors, Incorporated

Dallas, TX • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2025-03-11
TX	RA	APPROVED	2016-06-28

FL RA
APPROVED

Since 2025-03-11
TX RA
APPROVED

Since 2016-06-28

Branch Locations

Dallas, TX • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action Yes
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
At&T	Dallas	TX	06/2015	Present
Brokaw Rice Investment Advisors, Incorporated	Dallas	TX	07/2016	12/2023
Brokaw Rice Investment Advisors, Incorporated	Dallas	TX	01/2024	Present

06/2015 → Present

At&T

Dallas, TX
07/2016 → 12/2023

Brokaw Rice Investment Advisors, Incorporated

Dallas, TX
01/2024 → Present

Brokaw Rice Investment Advisors, Incorporated

Dallas, TX

Other Businesses

AT&T CORPORATION, NON-INVESTMENT RELATED, 208 S. Akard Street, Dallas, TX, USA, MANAGER IN THE FINANCE GROUP, START DATE 09/2012, SPEND 90% OF TIME DURING REGULAR BUSINESS HOURS AT AT&T.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2013-08-17

S65 Uniform Investment Adviser Law Examination

2013-08-17

Other Names

James Michael Brokaw Rice
James Michael Rice

View on SEC IAPD