RICE HALL JAMES & ASSOCIATES, LLC

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Rice Hall James & Associates is based out of San Diego. Rice Hall James & Associates is a hedge fund with 440 clients and discretionary assets under management (AUM) of $3,359,357,841 (Form ADV from 2020-03-30). Their last reported 13F filing for Q1 2020 included $1,789,327,000 in managed 13F securities and a top 10 holdings concentration of 23.27%. Rice Hall James & Associates's largest holding is Strategic Education Inc. with shares held of 400,849. Rice Hall James & Associates has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 75 13F filings, and 10 13G filings

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03/31/2020

13F Activity

  • Market Value $1.789 Billion
  • Prior Market Value $2.957 Billion
  • New Purchases27 stocks
  • Additional Purchases34 stocks
  • Sold out of31 stocks
  • Reduced holdings in189 stocks
  • Top 10 Holdings % 23.27 %
  • Turnover % [1]:22.22%
  • Turnover Alt % [2]: 36.86 %
  • Time Held Top20:5.15 quarters
  • Time Held Top10:5.40 quarters
  • Time Held All:15.05 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

03/31/2020

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2020-05-15

Performance for Q1 2020: 36.96%
Performance Last 4 Quarters: -5.4%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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13F Managers

Subsidiaries/Managers included in latest 13F
Name
Bank of New York Mellon Corp

View Last Form Adv Compilation Report on Record

RICE HALL JAMES & ASSOCIATES LLC
600 WEST BROADWAY SUITE 1000
SAN DIEGO CA    92101-3383
Country: United States

Business Phone: 619-239-9005
Fax: 619-239-6034
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Investment advisor to an investment company
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 33
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees
Amount of client funds and securities: 68,609,800
Total Number of Clients: 440
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

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RICE HALL JAMES & ASSOCIATES LLC

ownership team - last updated 2020-03-30
Name Title Start Date Direct/Indirect % Ownership

RICE HALL JAMES & ASSOCIATES LLC

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
MCDOWELL, THOMAS, W MANAGING MEMBER, CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER 02/01/2003 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
RICE HALL JAMES & ASSOCIATES PRESIDENT,CEO & DIRECTOR direct 1990-09-01
RICE HALL JAMES & ASSOCIATES LLC MANAGING MEMBER, CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER direct 2003-02-01
RICE HALL JAMES & ASSOCIATES LLC MANAGEMENT COMMITTEE indirect 2003-02-01 2009-01-30
RICE HALL JAMES & ASSOCIATES LLC CEO, MANAGEMENT COMMITTEE direct 2003-02-01 2009-01-30
RICE HALL JAMES & ASSOCIATES LLC CHIEF EXECUTIVE OFFICER AND MANAGEMENT COMMITTEE direct 2003-02-01 2010-03-29
RICE HALL JAMES & ASSOCIATES LLC BOARD OF MANAGERS indirect 2003-02-01 2010-03-29
RICE HALL JAMES & ASSOCIATES LLC MANAGING MEMBER, CHIEF EXECUTIVE OFFICER direct 2003-02-01 2016-08-08
OBECK, CARL, M MEMBER, CHIEF FINANCIAL OFFICER 06/01/2009 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
RICE HALL JAMES & ASSOCIATES LLC CHIEF ADMINISTRATIVE OFFICER direct 2005-01-01
RICE HALL JAMES & ASSOCIATES LLC MEMBER, CHIEF FINANCIAL OFFICER direct 2009-06-01
RICE HALL JAMES & ASSOCIATES LLC CHIEF FINANCIAL OFFICER direct 2009-06-01
BUU-HOAN, THUONG-THAO, NGUYEN MANAGING MEMBER, CHIEF OPERATING OFFICER, PRESIDENT 06/01/2009 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
RICE HALL JAMES & ASSOCIATES LLC CHIEF OPERATING OFFICER, PRESIDENT, AND MANAGEMENT COMMITTEE direct 2009-06-01
RICE HALL JAMES & ASSOCIATES LLC MANAGING MEMBER, CHIEF OPERATING OFFICER, PRESIDENT direct 2009-06-01
RICE HALL JAMES & ASSOCIATES LLC BOARD OF MANAGERS indirect 2009-06-01
TODARO, TIMOTHY, ALAN MANAGING MEMBER, PORTFOLIO MANAGER 02/01/2003 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
RICE HALL JAMES & ASSOCIATES PARTNER & DIRECTOR direct 2000-02-01
RICE HALL JAMES & ASSOCIATES LLC MANAGING MEMBER, PORTFOLIO MANAGER direct 2003-02-01
RICE HALL JAMES & ASSOCIATES LLC MANAGEMENT COMMITTEE indirect 2003-02-01 2009-01-30
RICE HALL JAMES & ASSOCIATES LLC BOARD OF MANAGERS indirect 2003-02-01 2010-03-29
RICE HALL JAMES & ASSOCIATES LLC PARTNER AND MANAGEMENT COMMITTEE direct 2003-02-01 2010-03-29
RICE HALL JAMES & ASSOCIATES LLC MANAGING MEMBER direct 2003-02-01 2016-03-29
THOME, CARA, MARGARET MANAGING MEMBER, PORTFOLIO MANAGER 06/01/2009 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
RICE HALL JAMES & ASSOCIATES LLC PARTNER AND MANAGEMENT COMMITTEE direct 2009-06-01
RICE HALL JAMES & ASSOCIATES LLC MANAGING MEMBER direct 2009-06-01
RICE HALL JAMES & ASSOCIATES LLC MANAGING MEMBER, PORTFOLIO MANAGER direct 2009-06-01
MARQUEZ, JANINE, ANN CHIEF COMPLIANCE OFFICER 06/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
RICE HALL JAMES & ASSOCIATES LLC CHIEF COMPLIANCE OFFICER direct 2009-06-01
RICE, GARY, SCHULER PORTFOLIO MANAGER 08/01/1987 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
RICE HALL JAMES & ASSOCIATES LLC PORTFOLIO MANAGER direct 1987-08-01
HOLTZ, LOUIS, MILLETT MANAGING MEMBER, CHIEF INVESTMENT OFFICER, PORTFOLIO MANAGER 10/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
ROGER ENGEMANN & ASSOCIATES, INC VICE PRESIDENT & RESEARCH ANALYST direct 2001-01-01 2002-01-03
ROGER ENGEMANN & ASSOCIATES, INC VICE PRESIDENT & SR. RESEARCH ANALYST & PORTFOLIO MANAGER direct 2001-01-01 2003-08-29
ENGEMANN ASSET MANAGEMENT VICE PRESIDENT & PORTFOLIO MANAGER direct 2001-01-01 2006-09-15
ENGEMANN ASSET MANAGEMENT MANAGING DIRECTOR & PORTFOLIO MANAGER direct 2001-01-01 2008-03-20
LIPSKER, YOSSI MANAGING MEMBER, PORTFOLIO MANAGER 10/01/2018 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
ROGER ENGEMANN & ASSOCIATES, INC VICE PRESIDENT & SR. RESEARCH ANALYST direct 1999-03-01 2002-01-03
ROGER ENGEMANN & ASSOCIATES, INC VICE PRESIDENT & SR. RESEARCH ANALYST & PORTFOLIO MANAGER direct 1999-03-01 2003-08-29
ENGEMANN ASSET MANAGEMENT VICE PRESIDENT & PORTFOLIO MANAGER direct 1999-03-01 2006-09-15
ENGEMANN ASSET MANAGEMENT PRESIDENT AND PORTFOLIO MANAGER direct 2006-10-01 2008-03-20

RICE HALL JAMES & ASSOCIATES LLC

ownership team - last updated 2017-03-30
Name Title Start Date Direct/Indirect % Ownership
MCDOWELL, THOMAS, W MANAGING MEMBER, CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER 02/01/2003 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
RICE HALL JAMES & ASSOCIATES PRESIDENT,CEO & DIRECTOR direct 1990-09-01
RICE HALL JAMES & ASSOCIATES LLC MANAGING MEMBER, CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER direct 2003-02-01
RICE HALL JAMES & ASSOCIATES LLC MANAGEMENT COMMITTEE indirect 2003-02-01 2009-01-30
RICE HALL JAMES & ASSOCIATES LLC CEO, MANAGEMENT COMMITTEE direct 2003-02-01 2009-01-30
RICE HALL JAMES & ASSOCIATES LLC CHIEF EXECUTIVE OFFICER AND MANAGEMENT COMMITTEE direct 2003-02-01 2010-03-29
RICE HALL JAMES & ASSOCIATES LLC BOARD OF MANAGERS indirect 2003-02-01 2010-03-29
RICE HALL JAMES & ASSOCIATES LLC MANAGING MEMBER, CHIEF EXECUTIVE OFFICER direct 2003-02-01 2016-08-08
OBECK, CARL, M MEMBER, CHIEF FINANCIAL OFFICER 06/01/2009 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
RICE HALL JAMES & ASSOCIATES LLC CHIEF ADMINISTRATIVE OFFICER direct 2005-01-01
RICE HALL JAMES & ASSOCIATES LLC MEMBER, CHIEF FINANCIAL OFFICER direct 2009-06-01
RICE HALL JAMES & ASSOCIATES LLC CHIEF FINANCIAL OFFICER direct 2009-06-01
BUU-HOAN, THUONG-THAO, NGUYEN MANAGING MEMBER, CHIEF OPERATING OFFICER, PRESIDENT 06/01/2009 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
RICE HALL JAMES & ASSOCIATES LLC CHIEF OPERATING OFFICER, PRESIDENT, AND MANAGEMENT COMMITTEE direct 2009-06-01
RICE HALL JAMES & ASSOCIATES LLC MANAGING MEMBER, CHIEF OPERATING OFFICER, PRESIDENT direct 2009-06-01
RICE HALL JAMES & ASSOCIATES LLC BOARD OF MANAGERS indirect 2009-06-01
TODARO, TIMOTHY, ALAN MANAGING MEMBER, PORTFOLIO MANAGER 02/01/2003 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
RICE HALL JAMES & ASSOCIATES PARTNER & DIRECTOR direct 2000-02-01
RICE HALL JAMES & ASSOCIATES LLC MANAGING MEMBER, PORTFOLIO MANAGER direct 2003-02-01
RICE HALL JAMES & ASSOCIATES LLC MANAGEMENT COMMITTEE indirect 2003-02-01 2009-01-30
RICE HALL JAMES & ASSOCIATES LLC BOARD OF MANAGERS indirect 2003-02-01 2010-03-29
RICE HALL JAMES & ASSOCIATES LLC PARTNER AND MANAGEMENT COMMITTEE direct 2003-02-01 2010-03-29
RICE HALL JAMES & ASSOCIATES LLC MANAGING MEMBER direct 2003-02-01 2016-03-29
THOME, CARA, MARGARET MANAGING MEMBER, PORTFOLIO MANAGER 06/01/2009 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
RICE HALL JAMES & ASSOCIATES LLC PARTNER AND MANAGEMENT COMMITTEE direct 2009-06-01
RICE HALL JAMES & ASSOCIATES LLC MANAGING MEMBER direct 2009-06-01
RICE HALL JAMES & ASSOCIATES LLC MANAGING MEMBER, PORTFOLIO MANAGER direct 2009-06-01
MARQUEZ, JANINE, ANN CHIEF COMPLIANCE OFFICER 06/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
RICE HALL JAMES & ASSOCIATES LLC CHIEF COMPLIANCE OFFICER direct 2009-06-01
RICE, GARY, SCHULER PORTFOLIO MANAGER 08/01/1987 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
RICE HALL JAMES & ASSOCIATES LLC PORTFOLIO MANAGER direct 1987-08-01

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