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Rice Pontes Capital, Inc.

Rice Pontes Capital, Inc. is a Broker-Dealer with 4 financial professionals registered in CA. The firm's primary clients are Individuals and High Net Worth Individuals.

Advisors (4)

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Name Start Date
David Robert Rice Jul 2007
Daniel W. Leonard, CFP®, CASL® Aug 2012
Aldo John Barbaglia Aug 2013
Anthony Joseph Pontes Jul 2007
*Unless otherwise noted, an advisor's inclusion in the above list is based on that advisor's registration as per their SEC registration filing. Please note that the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an advisor listed above may no longer be employed by that firm. Please contact the firm directly to determine the employment status of the advisors listed above.

Firm Assets Under Management

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$59.8M
Total Assets
162
Accounts
$369.4K
Estimated Average Account Balance
*The AUM displayed is firm level data as reported on the SEC ADV filings and may not reflect all of a firm's assets.
*Average Account Balance is the total AUM of the firm divided by the number of accounts listed on the SEC ADV filing. This calculation is an estimate.

Ownership

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*The pie chart is not drawn to scale and is simply included to make the data visually understandable. The ownership is from the firm's or advisor's Form ADV. Executives with less than 5% share may not own any of the firm. Please see the Form ADV for complete disclosure.

Executives and Control Persons

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Name Title Tenure Date
David Robert Rice Vice President, Secretary 12/01/1995
Anthony Joseph Pontes President 12/01/1995
David Robert Rice Chief Compliance Officer 02/01/2008

Affiliated Investment Advisors and Broker Dealers

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No firm affiliates listed.

Principal Office & Place of Business

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Principal Office

Address:
2001 Crow Canyon Road
San Ramon , CA 94583
Phone Number: (925) 362-9571
Other Offices Address City State Zip
2001 Crow Canyon Road San Ramon CA 94583

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Commissions