RICE HALL JAMES & ASSOCIATES
CRD #104697 SEC #801-30441 SAN DIEGO, CA [619]239-9005
SEC Registered
Total AUM
$1.2B
Discretionary
$1.2B
Employees
--
Clients
--
Accounts
527
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jun 6, 2001
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| KING, CHARLES | I | PARTNER & DIRECTOR | NA | Control |
| KING, CHARLES | I | PARTNER & DIRECTOR | NA | Control |
| MCDOWELL, THOMAS | I | PRESIDENT,CEO & DIRECTOR | NA | Control |
| MCDOWELL, THOMAS | I | PRESIDENT,CEO & DIRECTOR | NA | Control |
| TESSMER, DAVID | I | PARTNER & DIRECTOR | NA | Control |
| TESSMER, DAVID | I | PARTNER & DIRECTOR | NA | Control |
| TODARO, TIMOTHY, ALAN | I | PARTNER & DIRECTOR | NA | Control |
| TODARO, TIMOTHY, ALAN | I | PARTNER & DIRECTOR | NA | Control |
| URBONYA, PATRICIA, ANN | I | PARTNER, DIRECTOR & COO | NA | Control |
| URBONYA, PATRICIA, ANN | I | PARTNER, DIRECTOR & COO | NA | Control |
| OLD MUTUAL (NETHERLANDS)B.V. | FE | 100% SHAREHOLDER OF OLD MUTUAL (SOUTH AFRICA) LTD | E | |
| OLD MUTUAL (SOUTH AFRICA) LTD | FE | 100% SHAREHOLDER OF OLD MUTUAL LIFE HOLDINGS (SOUTH AFRICA) LTD | E | |
| OLD MUTUAL (US) HOLDINGS INC | DE | 100% SHAREHOLDER OF RICE HALL JAMES & ASSOCIATES | E | Control |
| OLD MUTUAL (US) HOLDINGS INC | DE | 100% SHAREHOLDER OF RICE HALL JAMES & ASSOCIATES | E | Control |
| OLD MUTUAL LIFE HOLDINGS (SOUTH AFRICA) LTD | FE | 100% SHAREHOLDER OF OLD MUTUAL LIFE ASSURANCE CO (SOUTH AFRICA) LTD | E | |
| OLD MUTUAL PLC | FE | 100% SHAREHOLDER OLD MUTUAL (US) HOLDING INC | E | Control |
| OLD MUTUAL PLC | FE | 100% SHAREHOLDER OF OM GROUP (UK) LTD | E | Control |
| OM GROUP (UK) LTD | FE | 100% SHAREHOLDER OF OLD MUTUAL (NETHERLANDS) B.V. | E | |
| OLD MUTUAL LIFE ASSURANCE COMPANY (SOUTH AFRICA) LTD | FE | 8.71% SHAREHOLDER OF OLD MUTUAL PLC | A |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| OLD MUTUAL PLC | FE | OLD MUTUAL (US) HOLDINGS INC | E | Control |
Registrations
Federal
IA
Jun 6, 2001 REGISTERED
Notice Filings (49)
AK AL AR AZ CA CO CT DC DE FL GA HI IA ID IL IN KS KY LA MA MD ME MI MN MO MS MT NC NE NH NJ NM NV NY OH OK OR PA RI SC SD TN TX UT VA VT WA WI WV
Address
600 WEST BROADWAY SUITE 1000SAN DIEGO, CA 92101-3383
USA
Phone: [619]239-9005