{"url":"https://nivawealth.com/firms/ciccarelli-advisory-services-110904","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/110904","regulatoryAum":1586316444,"crd":"110904","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5760889","suffix":null,"lastName":"ALEXANDER-WASLEY","firstName":"JUDITH","middleName":"G"},{"crd":"2066191","suffix":null,"lastName":"CICCARELLI","firstName":"PAUL","middleName":"FRANK"},{"crd":"46859","suffix":null,"lastName":"CICCARELLI","firstName":"RAYMOND","middleName":"FRANK"},{"crd":"58908","suffix":null,"lastName":"CURATOLO","firstName":"ANTHONY","middleName":"JOSEPH"},{"crd":"1662559","suffix":null,"lastName":"FERRAINA","firstName":"LYNN","middleName":"ANN"},{"crd":"5242606","suffix":null,"lastName":"GILBERT","firstName":"JASEN","middleName":"MICHAEL"},{"crd":"1106058","suffix":null,"lastName":"KANTOR","firstName":"KIM","middleName":"CICCARELLI"},{"crd":"2477573","suffix":null,"lastName":"MERKEL","firstName":"STEVEN","middleName":"TROY"},{"crd":"2094363","suffix":null,"lastName":"RAPPS","firstName":"JILL","middleName":"CICCARELLI"},{"crd":"4385886","suffix":null,"lastName":"WEBSTER","firstName":"SAMANTHA","middleName":"R"}],"total":10,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2020-12-01","regulatoryAum":922352042,"clients":1694,"employees":11,"offices":2},{"filedOn":"2021-11-22","regulatoryAum":1174537775,"clients":1837,"employees":16,"offices":2},{"filedOn":"2023-07-05","regulatoryAum":1042525543,"clients":3221,"employees":15,"offices":2},{"filedOn":"2024-01-09","regulatoryAum":1148449416,"clients":2738,"employees":15,"offices":2},{"filedOn":"2024-11-21","regulatoryAum":1418463150,"clients":2092,"employees":15,"offices":2},{"filedOn":"2026-09-08","regulatoryAum":1586316444,"clients":3553,"employees":16,"offices":2}],"secFileNumber":"801-26103","legalName":"Ciccarelli 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FL","smaAssets":635368870},{"name":"SEI Investments Company","shortName":"SEI Investments","location":"Oaks, PA","smaAssets":357888758}],"custodyNote":"Ciccarelli Advisory Services does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Raymond Ciccarelli","title":"Vice-President, Owner","crd":"46859"},{"name":"Paul Ciccarelli","title":"Vice-President","crd":"2066191"},{"name":"Kim Kantor","title":"President, Owner","crd":"1106058"},{"name":"Jill Rapps","title":"Vice-President","crd":"2094363"},{"name":"Louis Albenga","title":"CCO/COO","crd":"2646134"}],"ownership":[{"label":"Kim Kantor","detail":"President, owner in the 50% to 75% ownership band and a control person, since October 1985."},{"label":"Raymond Ciccarelli","detail":"Vice-president, owner in the 50% to 75% ownership band and a control person, since October 1985."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"Florida","offices":1,"addresses":[{"street":"9601 Tamiami Trail North","city":"Naples","headquarters":true}]},{"state":"New York","offices":1,"addresses":[{"street":"110 Linden Oaks","city":"Rochester"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"239-262-6577","stateRegisteredReps":11,"otherAdviserReps":10,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Selection of other advisers (including private fund managers)","Educational seminars/workshops"],"financialPlanningClients":"3553","assetMix":[{"label":"Exchange-traded equity securities","percent":45},{"label":"U.S. government/agency bonds","percent":1},{"label":"U.S. 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They include 3,007 individual clients and 546 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 8 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Ciccarelli Advisory Services offer?","answer":"Ciccarelli Advisory Services provides financial planning, portfolio management for individuals and small businesses, selecting other managers, and educational seminars.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Ciccarelli Advisory Services charge?","answer":"Ciccarelli Advisory Services charges up to 1.25% a year for its Investment Advisory. The fee is billed in advance or in arrears and is negotiable.","source":"CAS ADV PART 2A, filed 13 November 2025","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Ciccarelli Advisory Services use?","answer":"Ciccarelli Advisory Services’ separately managed account assets are held at Charles Schwab & Co., Inc. (Orlando, FL), with $635M and SEI Investments Company (Oaks, PA), with $358M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 8 September 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Ciccarelli Advisory Services have?","answer":"Ciccarelli Advisory Services has 11 investment adviser representatives registered with state securities authorities, out of 16 employees, and 13 perform investment advisory functions. 15 employees are registered representatives of a broker-dealer and 14 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Ciccarelli Advisory Services invest in?","answer":"At the end of its last fiscal year, Ciccarelli Advisory Services’ separately managed accounts held 47% registered funds (mutual funds, ETFs, BDCs), 45% exchange-traded equities, 5% cash and equivalents, 1% U.S. government and agency bonds, 1% state and local bonds and 1% investment grade corporate bonds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Ciccarelli Advisory Services?","answer":"Ciccarelli Advisory Services’ direct owners are Kim Kantor (50% to 75%) and Raymond Ciccarelli (50% to 75%).","source":"Form ADV Part 1A, Schedules A and B, filed 8 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Ciccarelli Advisory Services get paid?","answer":"Ciccarelli Advisory Services is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Ciccarelli Advisory Services?","answer":"Ciccarelli Advisory Services’ main office is at 9601 Tamiami Trail North, Naples, FL 34108. Its phone number is 239-262-6577.","source":"Form ADV Part 1A, Item 1.F, filed 8 September 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}