SEC-registered independent wealth management RIA
Dale Q. Rice Investment Management
As of its Form ADV filed April 29, 2026, Dale Q. Rice Investment Management, an SEC-registered independent wealth management RIA in Henderson, Nevada, reported $156.6 million in regulatory assets under management across 266 accounts, ranking #51 among independent RIAs in Nevada by assets.
Registration
- Registration
- SEC-registered, Approved
- CRD number
- 310614
- SEC file number
- 801-123463
- Registered since
- March 17, 2022
- Latest Form ADV filing
- April 29, 2026
- Legal name
- DALE Q. RICE INVESTMENT MANAGEMENT, LTD.
- Organized as
- Corporation
- Fiscal year ends
- December
- Other offices
- 1
Key figures
- Regulatory assets under management
- $156.6 million
- Discretionary
- $154.1 million (98.4%)
- Non-discretionary
- $2.5 million
- Accounts
- 266 (264 discretionary)
- Clients
- 121, approximate as reported
- Employees
- 4
- Advisory staff
- 1 performing investment advisory functions
- Average account
- $588,690
- Asset growth, 1 year
- 18.1% (from $132.6 million a year earlier)
- Asset growth, 3-year annual rate
- 20.2% (from $90.2 million three years earlier)
- Asset growth, 5-year annual rate
- Not reported
- Client growth, 1 year
- 0.0% (from 121)
Independent wealth management RIA: individual and high net worth clients hold at least half of its regulatory assets, it offers financial planning or portfolio management for individuals, and it is not a broker-dealer, a bank or part of one by the directory's rules. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among independent wealth management RIAs.
| Ranking | Nationally | In Nevada | Value |
|---|---|---|---|
| Largest independent RIAs by assets under management | #6,254 | #51 | $156.6 million |
| Fastest-growing independent RIAs over one year | #2,810 | #24 | 18.1%from $132.6 million |
| Independent RIAs with the biggest asset gains over one year | #5,166 | #41 | $24.0 million |
| Independent RIAs with the most clients | #7,864 | #57 | 121 |
| Independent RIAs with the fastest client growth over one year | #4,062 | #28 | 0.0%from 121 |
| Independent RIAs with the most accounts | #7,387 | #62 | 266 |
| Independent RIAs with the most advisory staff | #10,188 | #80 | 1 |
| Independent RIAs with the most high net worth clients | #4,295 | #22 | 71 |
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 1, 2020 | $0 |
| October 3, 2022 | $106.3 million |
| October 5, 2023 | $90.2 million |
| October 1, 2024 | $103.1 million |
| September 2, 2025 | $132.6 million |
| October 2, 2026 | $156.6 million |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| High net worth individuals 71 clients | $124.3 million | |
| Individuals (other than high net worth) 37 clients | $22.5 million | |
| Pension and profit sharing plans 7 clients | $5.0 million | |
| Insurance companies 6 clients | $4.2 million | |
| Corporations or other businesses fewer than 5 clients | $595,663 |
How the firm is paid
- A percentage of assets under management
Advisory services
- Portfolio management for individuals or small businesses
Wrap fee program sponsor or portfolio manager: yes.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Insurance broker or agent
Financial industry affiliations (Item 7.A)
None reported.
Custody (Item 9)
The firm reported custody of client cash or securities, $63.3 million in total.
Investment adviser representatives
- IARs registered with the firm
- 1
- Also registered through a broker-dealer
- 0
- Employees who are IARs (Form ADV 5.B(3))
- 1
1 of the firm's 1 IAR is registered in jurisdictions that require IAR CE. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 0 disclosure questions. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in Nevada
| Firm | City | RAUM |
|---|---|---|
| Conway Partners | Incline Village | $166.3 million |
| Prakash Investment Advisors LLC | Las Vegas | $161.5 million |
| Read & Powell Financial Services, LLC | Elko | $159.7 million |
| Elevage Partners, LLC | Reno | $154.6 million |
| Curtis Wealth Management LLC | Henderson | $148.5 million |
The five independent RIAs nearest in regulatory assets with a main office in the same state.
Elsewhere
- Dale Q. Rice Investment Management on IAPD: Form ADV, brochures and disclosure detail.
- Independent RIAs in Nevada
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.