Riccio & Associates
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$1,836,449
Clients
58
0% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
58
HighAverage account size
$31,663
About
Riccio & Associates is an independent, solo-operator registered investment adviser that provides fee-based, discretionary portfolio management to individual clients through a menu of model portfolios, and also offers business consulting and advisory services to institutional or qualified clients. Clients select from strategies ranging from aggressive equity to income-oriented allocations, which the firm implements and rebalances on a discretionary basis.
The firm’s investment process combines three levels of analysis: top-down macroeconomic assessment, fundamental security analysis, and technical analysis used primarily for trade timing, with an emphasis on diversification, downside protection and a long-term horizon. Portfolios may include a broad set of instruments—U.S. and foreign securities, mutual funds, closed-end funds, hedge funds and derivatives—used for implementation, hedging or yield enhancement.
What is noteworthy for a small independent adviser is the firm’s substantial non-U.S. client base and its explicit ability to advise on assets held offshore, together with stated experience across U.S. and Latin American markets. The brochure also highlights the firm’s willingness to use emerging-market exposure, closed‑end and hedge-fund allocations and to negotiate performance‑fee arrangements for qualified clients, features that are less common among similarly sized peers.
Client services
Portfolio management
Educational seminars or workshops
Consulting services
Expertise
Active portfolio management
Options & derivatives strategies
Tax-loss harvesting
Private / alternative investments
Concentrated stock management
Fee options
Fixed fees for advisory and portfolio management services based on scope of project, minimum fixed fee $250 per quarter / $1,000 per year
$10,000,000+: 0.25% $5,000,000 - $9,999,999: 0.55% $1,000,000 - $4,999,999: 1.00% Less than $999,999 - $999,999: 2.00%
Standard hourly consulting fee: $250 per hour
Account minimum: $50,000 Minimum fee: Minimum fixed fee of $250.00 per quarter / $1,000 per year for certain small business and institutional clients Fee-only: Fee-based investment advisory services; fees may be negotiated under unusual circumstances
Main office location
Riccio & Associates
Pembroke Pines FL, United States
Number of offices
1
Most active in
Riccio & Associates has reported serving >5 clients in these states in the last 12 months.
Florida
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Quick links
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