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DALE Q. RICE INVESTMENT MANAGEMENT
Legal name: DALE Q. RICE INVESTMENT MANAGEMENT, LTD.
CRD 310614File 801-123463
APPROVED
Retail clients
Custody
Filing as of Apr 29, 2026
Feed vintage Aug 17, 2026
Regulatory AUM
$156.6M
Bottom 25% of cohort (national)
Discretionary AUM
$154.1M
Non-discretionary $2.5M
Clients
121
266 accounts
Employees
4
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- LARO
- Registration date
- Mar 17, 2022
- Principal office
- Not reported
- Phone
- 360-693-7577
- Website
- Not reported
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $156.6M
- Discretionary AUM
- $154.1M
- Non-discretionary AUM
- $2.5M
- Discretionary accounts
- 264
- Non-discretionary accounts
- 2
- Total accounts
- 266
- AUM per client
- $1.3M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | Fewer than 5 | $596K |
| Insurance companies | 6 | $4.2M |
| High net worth individuals | 71 | $124.3M |
| Pension and profit sharing plans | 7 | $5.0M |
| Individuals (other than high net worth individuals) | 37 | $22.5M |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To |
|---|---|---|---|
| Aug 12, 2026 | Registration | — | APPROVED |
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.