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Rice Financial Consulting, Inc. CRD 170346
$287M regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
300 E. Main Street, Los Gatos, CA 95030 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-06-12 |
| HI | RA | APPROVED | 2024-06-12 |
| TX | RA | APPROVED | 2024-06-12 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| West Valley Community College | Saratoga | CA | 08/2012 | 05/2017 |
| University Of California Santa Cruz | Santa Cruz | CA | 09/2017 | 05/2019 |
| University Of California Natural Reserve System | Santa Cruz | CA | 05/2018 | 09/2019 |
| Rice Financial Consulting, Inc. | Los Gatos | CA | 12/2019 | Present |
| Rice Financial Consulting, Inc. | Los Gatos | CA | 03/2024 | Present |
| Summer Break | Los Gatos | CA | 05/2017 | 09/2017 |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-03-01 |
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