RICE HALL JAMES & ASSOCIATES LLC
SEC Registeredcelebrating more than 50 years of investment excellence
About the firm
Founded in 1974, Rice Hall James & Associates is an independent, privately held investment management firm dedicated to micro, small, and SMID cap investing. The firm constructs portfolios of micro- to SMID-capitalization stocks using bottom-up, fundamental research to identify undervalued or undiscovered growth opportunities. Investment management is their sole line of business.
Firm Focus
Client segments reported on the firm's SEC Form ADV — applies to all advisors at the firm.
Areas of expertise
Services
Investment management focused on constructing portfolios of micro- to SMID-capitalization stocks using bottom-up, fundamental research.
Who they serve
Public and corporate pension funds, Taft-Hartley pension plans, foundations, endowments, financial institutions, and high-net-worth individuals.
| Client segment | Clients | Assets managed |
|---|---|---|
| Individuals (Non-HNW) | 143 | $246M |
| High Net Worth Individuals | 68 | $101M |
| Investment Companies | 0 | — |
| Pooled Investment Vehicles | 0 | $0 |
| Pension/Profit Sharing Plans | 1 | $449M |
| Charitable Organizations | 3 | $273M |
| State/Municipal Entities | 9 | — |
| Insurance Companies | 0 | — |
| Sovereign Wealth Funds | 0 | — |
| Corporations | 0 | $0 |
4 total clients reported on Form ADV.
Leadership
Office locations
Advisors at this firm
6 advisors in the directory
Regulatory & compliance
| Asset tier | Annual rate |
|---|---|
| Small Cap Equity - first $25M | 0.90% |
| Small Cap Equity - over $25M | 0.70% |
| Micro Cap Equity - flat | 1.00% |
| Small Cap Opportunities - flat | 1.00% |
| Micro Cap Opportunities - flat | 1.25% |
| SMID Cap Opportunities - first $25M | 1.00% |
| SMID Cap Opportunities - over $25M | 0.85% |
Data as of March 26, 2026 · Source: SEC IAPD & FINRA BrokerCheck
Contact Information
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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. RICE HALL JAMES & ASSOCIATES LLC 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 the SEC or FINRA websites before making any decision.