SR
ChFC

Stephen Manfred Rice

24 Years of Experience

Firm Information

Compensation
Fee-Only (AUM)
Number of Advisors
4 advisors
Number of Clients
348 clients
Average Client Portfolio
$663K average
Assets Under Management
$230.7M

Fee Structure

Minimum Investment:None

Rice Financial Consulting is compensated via a fee share from the advisers to which it directs clients. The fees shared will not exceed any limit imposed by any regulatory agency. The annual fee schedule is based on assets and is contingent on the asset mix determined by the Third Party. Final fee schedule will be reflected in the client contract. RFCI's fees are negotiable. Clients are responsible for the payment of all third party fees (i.e. custodian fees, brokerage fees, mutual fund fees, transaction fees, etc.).

Areas of Practice
Investment ManagementRetirement PlanningHigh Net Worth
Loading...

Advisor Information

Office location

300 E. Main Street, Los Gatos, CA, 95030

Get directions
Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
October 2012
Settled
Customer Dispute
June 2012
Settled
Customer Dispute
September 2009
Denied
Customer Dispute
April 2003
Denied
Other 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.
August 2014 - Present · 11 yrs 5 mos
Previous Registrations
Park Avenue Securities LLC
October 2014 - October 2014 · 0 mos
Integrated Financial & Insurance Services
February 2003 - December 2004 · 1 yr 10 mos
Park Avenue Securities LLC
January 2001 - October 2014 · 13 yrs 9 mos
State Registrations3 states
CAHITX
Advisor
Exams
No exam information available for this advisor.