Thuong-Thao Nguyen Buu-Hoan
Investment Adviser Representative at RICE HALL James & Associates LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Thuong-Thao Nguyen Buu-Hoan is an investment adviser representative with RICE HALL James & Associates LLC in San Diego, CA, where they have been registered since 2010. They have worked in the securities industry since 2003 and were previously registered with RICE HALL James & Associates. They have passed 2 industry qualification exams, including the Series 65 (investment adviser) and Series 63 (state securities agent). They are registered to provide investment advice in California and Texas.
Office
Advisors at this office: 5
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- California, Texas
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- RICE HALL James & Associates LLCFeb 2003 – no end date reportedSan Diego, CA
Official records & sources
Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About RICE HALL James & Associates LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Firm account minimum
- $5,000,000 (waivable)
- Small Cap Equity - first $25M0.90%
- Small Cap Equity - over $25M0.70%
- Micro Cap Equity - flat1.00%
- Small Cap Opportunities - flat1.00%
+3 more tiers on the firm profile
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Investment management focused on constructing portfolios of micro- to SMID-capitalization stocks using bottom-up, fundamental research.
Client types the firm serves
Firm assets under management
$1B–$5B
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 6
- Offices listed on AdvisorFinder:
- 2
- Main office:
- San Diego, CA
- Founded:
- 1974
- SEC file number:
- 801-61905
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of May 6, 2026
View full firm profileOther advisors at RICE HALL James & Associates LLC
5 other advisors in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Thuong-Thao Nguyen Buu-Hoan has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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