CICCARELLI ADVISORY SERVICES INC
Adviser information for CICCARELLI ADVISORY SERVICES INC last updated from Form ADV on January 9th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | SEPTEMBER |
| Legal Location | Florida, United States |
Employees
| Total Number of Employees | 15 |
|---|---|
| Investment Advisory/Research | 11 |
| Registered Broker-Dealer Representatives | 15 |
| Registered State Investment Advisers | 11 |
| Licensed Agents of an Insurance Company | 14 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 3,359 | $1.1B |
| Total | 3,359 | $1.1B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 2,408 | $439.9M |
| HNW Individuals | 330 | $708.5M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 3000 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-26103 |
|---|---|
| SEC ERA File Number | 801-26103 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 110904 |
| Legal Entity Identifier | None |
Principal Office
9601 TAMIAMI TRAIL NORTHNAPLES
FL
United States
Monday - Friday, 9AM TO 5PM
Tel: 239-262-6577, Fax: 239-649-6315
Chief Compliance Officer
GERAL SMITH
CHIEF OPERATING OFFICER
110 LINDEN OAKS
SUITE E
ROCHESTER
NY
United States
Tel:
585-383-0180
Fax:
585-383-0654
G*****@************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| KANTOR, KIM, CICCARELLI | Individual | – | PRESIDENT, OWNER | 10/1985 | 50-75% |
| CICCARELLI, RAYMOND, FRANK | Individual | – | VICE-PRESIDENT, OWNER | 10/1985 | 50-75% |
| CICCARELLI, PAUL, FRANK | Individual | – | VICE-PRESIDENT | 10/1994 | < 5% |
| RAPPS, JILL, CICCARELLI | Individual | – | VICE-PRESIDENT | 10/1994 | < 5% |
| SMITH, GERAL, JEAN | Individual | – | CHIEF COMPLIANCE OFFICER | 07/2006 | < 5% |