Stephen Rice
Stephen Rice is a ChFC-designated registered investment advisor at Rice Financial Consulting, INC., based in Los Gatos, CA, with 25 years of industry experience. Stephen operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include High Net Worth, Investment Management, Retirement Planning. Their firm serves 369 clients with $290M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $500K | 1.50% |
| $500K - $1.0M | 1.50% |
| $1.0M - $3.0M | 1.25% |
| $3.0M - $5.0M | 1.00% |
| $5.0M - $10.0M | 1.50% |
| $10M+ | 1.00% |
Total fees include Rice Financial Consulting's fee plus a third-party manager fee of up to 0.50% contingent on asset mix. Fees are negotiable.
Fee Estimator
Location
300 E. Main Street, Los Gatos, CA, 95030
Get directionsHistory
Regulatory History (4)
Customer Dispute
October 2012Customer Dispute
June 2012Customer Dispute
September 2009Customer Dispute
April 2003Other Business Activities
Stephen serves on the board and as treasurer of the Los Gatos Monte Sereno Police Foundation, a charitable organization. He spends minimal time on these activities.
Employment History
Current Registrations
Rice Financial Consulting, INC.
Previous Registrations
Park Avenue Securities LLC
Integrated Financial & Insurance Services
Park Avenue Securities LLC
State Registrations3 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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