Anthon Shaw is a registered investment advisor at Rice Hall James & Associates LLC, based in San Diego, CA, with 32 years of industry experience. Anthon operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include High Net Worth, Investment Management. Their firm serves 249 clients with $1.7B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 1.00% |
Standard fee schedules vary by strategy. Small Cap Equity charges 0.90% on the first $25M and 0.70% above. Micro Cap Equity charges 1.0% flat. Small Cap Opportunities charges 1.0% flat. Micro Cap Opportunities charges 1.25% flat. SMID Cap Opportunities charges 1.0% on the first $25M and 0.85% above. Minimum annual fees apply ranging from $45,000 to $62,500 depending on the strategy.
Fee Estimator
Location
600 West Broadway Suite 1000, San Diego, CA, 92101
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Anthon is the Director of Operations at Rice Hall James & Associates since 2010, supervising a team that handles operational activities. This role requires full-time commitment, with 100 hours dedicated during trading.
Employment History
Current Registrations
Rice Hall James & Associates LLC
Previous Registrations
Foreside Fund Services, LLCBroker
LPL Financial Corporation
LPL Financial CorporationBroker
LPL Financial Corporation
LPL Financial CorporationBroker
Pruco Securities CorporationBroker
State Registrations1 state
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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