Lucia Wealth Services, LLC
Filing Date
Global Rank
#2,394
/ 5,416
▲ 54
· as of Sep 2020
Top Industry
Drug Manufacturers - General
18.4%
Period ended 6 years ago
Filed Nov 9, 2020 · 5y
3 quarters · since Mar 2020
Regulatory profile
From Form ADV, the SEC filer profile, 13D/13G type codes and N-CEN, never from the name.
Holder type
Unknown
Portfolio style
Measured from the filed 13F common-share book for Sep 30, 2020, never from the firm's own description.
Style
Diversified active
Top 10 weight 53.7%, 27.3 effective positions, active share 68.2% against the S&P 500 as of 2020-09-30; it meets none of the index-like, systematic-like or concentrated tests
Turnover
Turnover unknown
It needs four straight quarters of measured turnover
Horizon
Horizon unknown
The value-weighted holding period is at least 3.0 quarters, but 97.7% of the book was already held when coverage starts
Closest benchmark: the S&P 500 as of 2020-09-30, active share 68.2%; sector active share 27.5% against the combined 13F book's sector weights.
Over time 3 measured quarters
How the bands are measured
Style bands measure the filed 13F common-share book each closed quarter, tested in this order. Unknown: under $10,000,000 of valued equity or 5 stocks. Index-like (100+ stocks): active share of 20% or less against the closest benchmark, which is the S&P 500, S&P MidCap 400, S&P SmallCap 600, Russell 1000, Russell 2000, Nasdaq-100 or Dow Jones Industrial Average (weighted by an index-tracking fund's reported holdings or the index's constituents nearest the quarter end, over the names resolved to companies, and only when those are 90%+ of its weight) or every 13F filer's combined book, or index series holding 80%+ of the registered fund assets it advises (N-CEN) and equal to 50%+ of its book. Systematic-like: 500+ stocks, 100%+ annual turnover and a top 10 weight of 25% or less. Concentrated: a top 10 weight of 60%+ or 12 or fewer effective positions. Diversified active: none of these. Turnover is the smaller of buys and sells over average equity value, summed over four quarters: low under 30%, high 100%+. Horizon is the value-weighted number of quarters each position has been held: short under 4, long 12+.
Clone Performance
Build a hypothetical price-return history from this filer's public 13F holdings.
View clone backtestPortfolio Concentration
172 tracked positions · as of Sep 30, 2020 · Δ vs Jun 30, 2020Top Position
8.4%
−0.9 pts
Top 5
33.5%
−0.7 pts
Top 10
53.7%
−1.2 pts
HHI
367
Diversified−21
Portfolio Trend
3 quarters · across all stocks
Sector Breakdown
As of Sep 30, 2020| Sector | % Portfolio | Value |
|---|---|---|
| Unclassified | 27.3% | $106,967,291 |
| Technology | 26.9% | $105,272,715 |
| Healthcare | 15.7% | $61,372,306 |
| Consumer Defensive | 12.8% | $50,000,553 |
| Communication Services | 6.2% | $24,370,688 |
| Financial Services | 5.9% | $22,989,201 |
| Consumer Cyclical | 2.5% | $9,621,857 |
| Industrials | 1.3% | $4,931,975 |
| Real Estate | 1.1% | $4,433,181 |
| Utilities | 0.2% | $838,911 |
| Energy | 0.1% | $301,778 |
| Basic Materials | 0.0% | $12,989 |
Last Quarter's Activity
Export CSVAdded To
Positions the filer increased
25 positions
| Ticker | Company | Δ Shares | Shares | Value | Open |
|---|---|---|---|---|---|
| AAPL | Apple Inc. | +167,053 | 221,722 | $25,677,624 | |
| PHYS | Sprott Physical Gold Trust | +129,648 | 628,282 | $9,455,644 | |
| — | +27,257 | 149,097 | $1,360,000 | ||
| MRK | Merck & Co., Inc. | +17,130 | 222,832 | $18,483,922 | |
| TOTL | State Street(R) DoubleLine(R) Total Return Tactical ETF | +15,862 | 115,650 | $5,702,701 | |
| SPTL | State Street(R) SPDR(R) Portfolio Long Term Treasury ETF | +9,976 | 145,465 | $6,799,034 | |
| LMBS | First Trust Low Duration Opportunities ETF | +9,641 | 69,804 | $3,607,470 | |
| JNJ | Johnson & Johnson | +8,858 | 191,956 | $28,578,409 | |
| VTI | VANGUARD TOTAL STOCK MARKET INDEX FUND | +7,425 | 31,571 | $5,376,857 | |
| — | +6,853 | 168,373 | $0 | ||
| — | +6,562 | 23,723 | $2,453,000 | ||
| BMY | Bristol Myers Squibb Co | +6,462 | 38,250 | $2,306,092 | |
| HSY | Hershey Co | +5,188 | 99,155 | $14,212,877 | |
| AKAM | Akamai Technologies Inc | +5,185 | 16,298 | $1,801,580 | |
| MSFT | Microsoft Corp | +4,811 | 110,559 | $23,253,874 | |
| CCI | Crown Castle Inc. | +4,594 | 19,956 | $3,322,674 | |
| KMB | Kimberly Clark Corp | +4,581 | 112,322 | $16,585,466 | |
| BR | Broadridge Financial Solutions, Inc. | +4,409 | 157,753 | $20,823,396 | |
| ADP | Automatic Data Processing Inc | +4,388 | 80,279 | $11,198,117 | |
| JNK | State Street(R) SPDR(R) Bloomberg High Yield Bond ETF | +4,287 | 33,296 | $3,471,773 | |
| TTWO | Take Two Interactive Software Inc | +4,206 | 15,588 | $2,575,449 | |
| — | +4,184 | 20,035 | $1,448,000 | ||
| IBM | International Business Machines Corp | +3,876 | 73,511 | $8,944,082 | |
| ICLR | Icon PLC | +3,775 | 13,376 | $2,556,019 | |
| NVO | Novo Nordisk A S | +3,542 | 17,430 | $1,210,164 | |
| No positions match the current search. | |||||
Trimmed
Positions the filer reduced
25 positions
| Ticker | Company | Δ Shares | Shares | Value | Open |
|---|---|---|---|---|---|
| HUSV | First Trust Horizon Managed Volatility Domestic ETF | −29,298 | 530,843 | $14,513,247 | |
| SPDW | State Street(R) SPDR(R) Portfolio Developed World ex-US ETF | −14,117 | 89,968 | $2,632,463 | |
| VRIG | Invesco Variable Rate Investment Grade ETF | −10,694 | 311,156 | $7,732,226 | |
| DVY | iShares Select Dividend ETF | −8,805 | 1,577 | $0 | |
| FYC | First Trust Small Cap Growth AlphaDEX Fund | −8,103 | 51,031 | $2,411,725 | |
| FVD | First Trust Value Line Dividend Index Fund | −7,694 | 95,971 | $3,019,247 | |
| GWX | State Street(R) SPDR(R) S&P(R) International Small Cap ETF | −7,040 | 44,436 | $1,349,076 | |
| — | −5,834 | 34,640 | $2,718,893 | ||
| FTC | First Trust Large Cap Growth AlphaDEX Fund | −5,243 | 33,236 | $2,790,826 | |
| EWX | State Street(R) SPDR(R) S&P(R) Emerging Markets Small Cap ETF | −5,167 | 32,097 | $1,424,464 | |
| MDYG | State Street(R) SPDR(R) S & P 400(TM) Mid Cap Growth ETF | −4,387 | 30,119 | $1,728,529 | |
| FTHI | First Trust BuyWrite Income ETF | −4,035 | 51,516 | $988,076 | |
| FLRN | State Street(R) SPDR(R) Bloomberg Investment Grade Floating Rate ETF | −2,955 | 187,831 | $5,743,871 | |
| SPLB | State Street(R) SPDR(R) Portfolio Long Term Corporate Bond ETF | −2,350 | 30,535 | $970,402 | |
| VEA | Vanguard FTSE Developed Markets ETF | −2,302 | 8,020 | $328,018 | |
| VMBS | VANGUARD MORTGAGE-BACKED SECURITIES INDEX FUND | −2,072 | 3,707 | $201,178 | |
| SLYV | State Street(R) SPDR(R) S & P 600(TM) Small Cap Value ETF | −1,673 | 20,283 | $1,015,975 | |
| VWO | VANGUARD EMERGING MARKETS STOCK INDEX FUND | −1,460 | 5,068 | $219,140 | |
| SDY | State Street(R) SPDR(R) S&P(R) Dividend ETF | −1,187 | 11,672 | $1,078,492 | |
| T | At&T Inc. | −1,122 | 1,894 | $53,997 | |
| VUG | VANGUARD GROWTH INDEX FUND | −602 | 2,638 | $600,435 | |
| VGIT | VANGUARD INTERMEDIATE-TERM TREASURY INDEX FUND | −524 | 3,183 | $224,337 | |
| XOM | ExxonMobil Holdings Corp | −500 | 5,934 | $203,714 | |
| SRE | Sempra | −459 | 356 | $42,136 | |
| VIG | Vanguard Specialized Funds | −455 | 19,815 | $2,549,397 | |
| No positions match the current search. | |||||
New Positions
Positions the filer opened this quarter
8 positions
| Ticker | Company | Shares | Value | Open |
|---|---|---|---|---|
| ACA | Arcosa, Inc. | 5,213 | $229,841 | |
| — | 5,779 | $198,000 | ||
| CVCO | Cavco Industries, Inc. | 1,059 | $190,948 | |
| DLS | WisdomTree International SmallCap Dividend Fund | 3,100 | $185,690 | |
| EW | Edwards Lifesciences Corp | 2,034 | $162,353 | |
| XLY | State Street(R) Consumer Discretionary Select Sector SPDR(R) ETF | 1,030 | $151,389 | |
| MDLZ | Mondelez International, Inc. | 2,094 | $120,300 | |
| TSLA | Tesla, Inc. | 170 | $72,931 | |
| No positions match the current search. | ||||
Sold Out
Positions the filer fully exited
8 positions
| Ticker | Company | Shares | Value | Open |
|---|---|---|---|---|
| WFC | Wells Fargo & Company | 4,784 | $122,470 | |
| BNDX | Vanguard Total International Bond ETF | 1,689 | $97,505 | |
| QDF | FlexShares Quality Dividend Index Fund | 2,300 | $97,175 | |
| IAU | Ishares Gold Trust | 1,262 | $21,441 | |
| GSK | GSK plc | 386 | $15,442 | |
| SLV | iShares Silver Trust | 553 | $9,406 | |
| NAC | Nuveen California Quality Municipal Income Fund | 205 | $2,925 | |
| IVW | iShares S&P 500 Growth ETF | 80 | $0 | |
| No positions match the current search. | ||||
172 tracked positions ·
$391,113,445 total
· filing declares
177 positions · $426,202,000
· as of Sep 30, 2020
All sectors
Basic Materials
Communication Services
Consumer Cyclical
Consumer Defensive
Energy
Financial Services
Healthcare
Industrials
Real Estate
Technology
Utilities
Showing 1–50
of 172 positions by value
· page 1 of 4
| Ticker | Company | Type | Shares | Value (USD) | % of Portfolio | History |
|---|---|---|---|---|---|---|
| JNJ |
Johnson & Johnson
Healthcare
|
Added | 191,956 | $28,578,409 | 7.31% | |
| AAPL |
Apple Inc.
Technology
|
Added | 221,722 | $25,677,624 | 6.57% | |
| MSFT |
Microsoft Corp
Technology
|
Added | 110,559 | $23,253,874 | 5.95% | |
| BR |
Broadridge Financial Solutions, Inc.
Technology
|
Added | 157,753 | $20,823,396 | 5.32% | |
| MRK |
Merck & Co., Inc.
Healthcare
|
Added | 222,832 | $18,483,922 | 4.73% | |
| KMB |
Kimberly Clark Corp
Consumer Defensive
|
Added | 112,322 | $16,585,466 | 4.24% | |
| GOOG |
Alphabet Inc.
Communication Services
|
Added | 10,180 | $14,961,000 | 3.83% | |
| HUSV |
First Trust Horizon Managed Volatility Domestic ETF
|
Reduced | 530,843 | $14,513,247 | 3.71% | |
| HSY |
Hershey Co
Consumer Defensive
|
Added | 99,155 | $14,212,877 | 3.63% | |
| ADP |
Automatic Data Processing Inc
Technology
|
Added | 80,279 | $11,198,117 | 2.86% | |
| CLX |
Clorox Co
Consumer Defensive
|
Added | 49,966 | $10,501,354 | 2.68% | |
| PHYS |
Sprott Physical Gold Trust
Financial Services
|
Added | 628,282 | $9,455,644 | 2.42% | |
| IBM |
International Business Machines Corp
Technology
|
Added | 73,511 | $8,944,082 | 2.29% | |
| VRIG |
Invesco Variable Rate Investment Grade ETF
|
Reduced | 311,156 | $7,732,226 | 1.98% | |
| MKC |
Mccormick & Co Inc
Consumer Defensive
|
Added | 35,827 | $6,954,020 | 1.78% | |
| SPTL |
State Street(R) SPDR(R) Portfolio Long Term Treasury ETF
|
Added | 145,465 | $6,799,034 | 1.74% | |
| SPMB |
State Street(R) SPDR(R) Portfolio Mortgage Backed Bond ETF
|
Added | 248,849 | $6,629,337 | 1.69% | |
| FLRN |
State Street(R) SPDR(R) Bloomberg Investment Grade Floating Rate ETF
|
Reduced | 187,831 | $5,743,871 | 1.47% | |
| TOTL |
State Street(R) DoubleLine(R) Total Return Tactical ETF
|
Added | 115,650 | $5,702,701 | 1.46% | |
| VTI |
VANGUARD TOTAL STOCK MARKET INDEX FUND
|
Added | 31,571 | $5,376,857 | 1.37% | |
| SPTI |
State Street(R) SPDR(R) Portfolio Intermediate Term Treasury ETF
|
Added | 150,564 | $5,004,747 | 1.28% | |
| LMBS |
First Trust Low Duration Opportunities ETF
|
Added | 69,804 | $3,607,470 | 0.92% | |
| JNK |
State Street(R) SPDR(R) Bloomberg High Yield Bond ETF
|
Added | 33,296 | $3,471,773 | 0.89% | |
| CCI |
Crown Castle Inc.
Real Estate
|
Added | 19,956 | $3,322,674 | 0.85% | |
| FVD |
First Trust Value Line Dividend Index Fund
|
Reduced | 95,971 | $3,019,247 | 0.77% | |
| FTC |
First Trust Large Cap Growth AlphaDEX Fund
|
Reduced | 33,236 | $2,790,826 | 0.71% | |
| ADBE |
Adobe Inc.
Technology
|
Added | 5,609 | $2,750,821 | 0.70% | |
|
|
Reduced | 34,640 | $2,718,893 | 0.70% | ||
| SPDW |
State Street(R) SPDR(R) Portfolio Developed World ex-US ETF
|
Reduced | 89,968 | $2,632,463 | 0.67% | |
| CRM |
Salesforce, Inc.
Technology
|
Added | 10,312 | $2,591,611 | 0.66% | |
| TTWO |
Take Two Interactive Software Inc
Communication Services
|
Added | 15,588 | $2,575,449 | 0.66% | |
| ICLR |
Icon PLC
Healthcare
|
Added | 13,376 | $2,556,019 | 0.65% | |
| VIG |
Vanguard Specialized Funds
|
Reduced | 19,815 | $2,549,397 | 0.65% | |
|
|
Added | 23,723 | $2,453,000 | 0.63% | ||
| FYC |
First Trust Small Cap Growth AlphaDEX Fund
|
Reduced | 51,031 | $2,411,725 | 0.62% | |
| SPY |
Spdr S&P 500 ETF Trust
|
Added | 7,065 | $2,365,997 | 0.60% | |
| BMY |
Bristol Myers Squibb Co
Healthcare
|
Added | 38,250 | $2,306,092 | 0.59% | |
| BABA |
Alibaba Group Holding Ltd
Consumer Cyclical
|
Added | 7,584 | $2,229,544 | 0.57% | |
| META |
Meta Platforms, Inc.
Communication Services
|
Added | 8,273 | $2,166,698 | 0.55% | |
|
|
Added | 23,462 | $2,147,242 | 0.55% | ||
| BRK-B |
Berkshire Hathaway Inc
Financial Services
|
Added | 10,045 | $2,138,982 | 0.55% | |
| LOW |
Lowes Companies Inc
Consumer Cyclical
|
Added | 11,307 | $1,875,379 | 0.48% | |
| PYPL |
PayPal Holdings, Inc.
Financial Services
|
Added | 9,320 | $1,836,319 | 0.47% | |
| AKAM |
Akamai Technologies Inc
Technology
|
Added | 16,298 | $1,801,580 | 0.46% | |
| AMAT |
Applied Materials Inc
Technology
|
Added | 29,711 | $1,766,318 | 0.45% | |
| MDYG |
State Street(R) SPDR(R) S & P 400(TM) Mid Cap Growth ETF
|
Reduced | 30,119 | $1,728,529 | 0.44% | |
| UPS |
United Parcel Service Inc
Industrials
|
Added | 9,816 | $1,635,640 | 0.42% | |
| BRK-A |
Berkshire Hathaway Inc
Financial Services
|
Held | 5 | $1,600,005 | 0.41% | |
| ACN |
Accenture plc
Technology
|
Added | 6,586 | $1,488,370 | 0.38% | |
| NBIS |
Nebius Group N.V.
Communication Services
|
Added | 22,772 | $1,486,000 | 0.38% |
Showing the top 50 of 172 positions. Create a free account to see every position, past quarters, search, filters and CSV export.
Covers the securities this platform tracks: U.S.-listed common stock and the put/call positions reported on it. A 13F can also report security types outside that coverage — preferred shares, bonds, warrants, untracked share classes — so the filing's own declared total can exceed the figures above. The source filing is linked at the top of this table.