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DALE Q. RICE INVESTMENT MANAGEMENT
DALE Q. RICE INVESTMENT MANAGEMENT, LTD.
CRD 310614 · SEC 801-123463
Corporate platformCorporation
Large incorporated asset manager or corporate group — typically not a local adviser team.
CA, United States
Registration
Registered (APPROVED)
Source
SEC registered
Total AUM
$156.6M
Discretionary AUM
$154.1M
Team
4 total employees; 1 advisory reps
Clients
—
Fees
Percentage of AUM
Org form
Corporation
Filing date
2026-04-29
Disciplinary history
No
Services
Portfolio management (individuals)
Client types
| Type | Clients | AUM |
|---|---|---|
| Individuals | 37 | $22.5M |
| High net worth individuals | 71 | $124.3M |
| Pension/profit sharing plans | 7 | $5.0M |
| Insurance companies | 6 | $4.2M |
States served
CA, NV, OR, WA
Official SEC filing: View on IAPD