Joseph P. Lucia & Associates, LLC

Registered adviser

CIK

1775391

Location

Yorktown Heights, NY

Portfolio Value

Small $320,747,383

Diversification

Diversified

Filing Date

Global Rank

#5,119 / 8,814 ▼ 189

Top Industry

Consumer Electronics 20.6%

Period ended 4 months ago

Filed Aug 7, 2026 · 3mo

26 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

Registered adviser

Form ADV roster, Oct 1, 2026

Form ADV adviser

CRD 147625

Roster of Oct 1, 2026

Regulatory AUM

$388,002,041

Main clients

Individuals and high net worth (100% of AUM)

Form ADV history

Monthly rosters from Dec 2019; each row is a run with the same figures, newest first.

Rosters	Regulatory AUM	Main clients
Apr 2026 to Oct 2026	$388,002,041	Individuals and high net worth (100%)
Apr 2025 to Mar 2026	$303,293,681	Individuals and high net worth (100%)
Mar 2024 to Mar 2025	$310,337,044	Individuals and high net worth (100%)
May 2023 to Feb 2024	$294,495,687	Individuals and high net worth (100%)
Apr 2023	$294,495,687	Individuals and high net worth (100%)
Apr 2022 to Mar 2023	$221,150,421	Individuals and high net worth (100%)

3 earlier changes not shown.

Portfolio style

Measured from the filed 13F common-share book for Jun 30, 2026, never from the firm's own description.

Style

Concentrated

The top 10 positions are 61.8% of the book (60%+)

Turnover

Low turnover

8.1% over the last four quarters (under 30%)

Horizon

Long horizon

Value-weighted holding period 20.4 quarters (12+), a floor since 62.1% of the book was already held when coverage starts

Closest benchmark: every 13F filer's combined book, active share 77.8%; sector active share 68.8% against the combined 13F book's sector weights.

Over time 26 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.

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Portfolio Concentration

187 tracked positions · as of Jun 30, 2026 · Δ vs Mar 31, 2026

Top Position

11.2%

−0.7 pts

Top 5

45.6%

−0.4 pts

Top 10

62.6%

−0.7 pts

HHI

542

Diversified−21

Portfolio Trend

26 quarters · across all stocks

Sector Breakdown

As of Jun 30, 2026

Sector	% Portfolio	Value	Positions
Unclassified	79.9%	$256,287,659	137
Technology	9.7%	$31,007,697	13
Financial Services	3.5%	$11,287,056	16
Consumer Cyclical	2.9%	$9,240,805	2
Communication Services	2.4%	$7,793,995	6
Industrials	0.6%	$1,789,837	6
Healthcare	0.4%	$1,294,729	3
Utilities	0.3%	$861,365	1
Energy	0.2%	$708,209	2
Consumer Defensive	0.1%	$476,031	1

Last Quarter's Activity

Export CSV

Jun 30, 2026 vs Mar 31, 2026

Added To

Positions the filer increased

25 positions

Ticker	Company	Δ Shares	Shares	Value
—		+76,946	154,967	$8,702,946
SCHD	Schwab U.S. Dividend Equity ETF	+28,872	212,780	$6,747,253
JEPI	JPMorgan Equity Premium Income ETF	+19,079	96,503	$5,450,489
JUNW	AllianzIM U.S. Equity Buffer20 Jun ETF	+18,440	28,795	$990,260
APRW	AllianzIM U.S. Equity Buffer20 Apr ETF	+13,718	62,250	$2,311,965
SCHB	Schwab U.S. Broad Market ETF	+13,225	352,641	$10,212,483
XLF	State Street Corp	+8,923	90,938	$4,875,186
EMB	iShares J.P. Morgan USD Emerging Markets Bond ETF	+6,466	23,412	$2,257,853
XLI	State Street(R) Industrial Select Sector SPDR(R) ETF	+6,313	20,408	$3,780,173
SCYB	Schwab High Yield Bond ETF	+5,522	37,512	$982,064
—		+5,486	56,629	$2,878,452
SDSI	American Century Short Duration Strategic Income ETF	+5,124	31,412	$1,613,006
DVY	iShares Select Dividend ETF	+4,961	36,386	$5,687,131
VO	VANGUARD MID-CAP INDEX FUND	+4,620	6,160	$496,311
AGG	iShares Core U.S. Aggregate Bond ETF	+4,535	62,691	$6,205,155
JEPQ	JPMorgan Nasdaq Equity Premium Income ETF	+4,440	40,202	$2,470,814
XLU	State Street(R) Utilities Select Sector SPDR(R) ETF	+3,859	63,877	$2,896,183
MAYW	AllianzIM U.S. Equity Buffer20 May ETF	+3,775	9,729	$338,277
VUG	VANGUARD GROWTH INDEX FUND	+2,825	3,390	$292,014
GPIQ	Goldman Sachs Nasdaq-100 Premium Income ETF	+2,753	14,054	$833,542
LQD	iShares iBoxx $ Investment Grade Corporate Bond ETF	+2,711	45,485	$4,961,048
KORP	American Century Diversified Corporate Bond ETF	+2,592	18,804	$880,967
JULW	AllianzIM U.S. Equity Buffer20 Jul ETF	+2,200	19,895	$812,113
FEOE	First Eagle Overseas Equity ETF	+2,154	11,435	$610,629
KHPI	Kensington Hedged Premium Income ETF	+1,895	34,135	$881,365
No positions match the current search.

Trimmed

Positions the filer reduced

25 positions

Ticker	Company	Δ Shares	Shares	Value
TLT	iShares 20+ Year Treasury Bond ETF	−8,537	11,651	$1,006,879
ET	Energy Transfer LP	−6,721	59,939	$0
SCHX	Schwab U.S. Large-Cap ETF	−6,199	94,370	$2,777,309
SCHG	Schwab U.S. Large-Cap Growth ETF	−5,583	220,706	$7,468,691
BCTK	Baron Technology ETF	−3,786	36,509	$1,185,848
PFF	iShares Preferred and Income Securities ETF	−3,623	43,129	$1,315,003
PNQI	Victory Portfolios II	−3,274	15,727	$716,836
PFXF	VanEck Preferred Securities ex Financials ETF	−3,065	82,819	$1,477,490
IBIT	iShares Bitcoin Trust ETF	−2,783	10,612	$353,273
BXSL	Blackstone Secured Lending Fund	−2,753	38,985	$924,334
XLE	State Street(R) Energy Select Sector SPDR(R) ETF	−2,659	76,024	$4,037,634
IHI	iShares U.S. Medical Devices ETF	−2,511	8,463	$418,156
RSPT	Victory Portfolios II	−2,488	143,025	$9,225,112
SCHP	Schwab U.S. TIPS ETF	−2,108	25,974	$688,311
UBER	Uber Technologies, Inc	−1,881	17,174	$1,239,275
PGF	Victory Portfolios II	−1,530	16,316	$223,692
BTC	Grayscale Bitcoin Mini Trust ETF	−1,523	23,589	$612,134
WCLD	WisdomTree Cloud Computing Fund	−1,497	18,828	$603,550
BAB	Invesco Exchange-Traded Fund Trust II	−1,340	9,256	$248,431
FEBW	AllianzIM U.S. Equity Buffer20 Feb ETF	−1,290	23,380	$830,925
BIV	Vanguard Bond Index Funds	−1,268	38,098	$2,922,116
SOCL	Global X Social Media ETF	−1,165	17,861	$782,490
SPHY	State Street(R) SPDR(R) Portfolio High Yield Bond ETF	−1,075	19,476	$456,517
ZAP	Global X U.S. Electrification ETF	−733	6,688	$231,471
GBTC	Grayscale Bitcoin Trust ETF	−685	17,945	$816,856
No positions match the current search.

New Positions

Positions the filer opened this quarter

19 positions

Ticker	Company	Shares	Value
FLUD	Franklin Ultra Short Bond ETF	47,132	$1,179,949
—		12,728	$533,175
GSEW	Goldman Sachs Equal Weight U.S. Large Cap Equity ETF	5,096	$481,164
PANW	Palo Alto Networks Inc	1,115	$380,237
AMD	Advanced Micro Devices Inc	637	$370,039
DBND	DoubleLine Opportunistic Core Bond ETF	7,945	$362,220
—		2,002	$331,090
GEV	GE Vernova Inc.	231	$271,392
GE	General Electric Co	682	$254,883
URI	United Rentals, Inc.	209	$236,774
IHF	iShares U.S. Healthcare Providers ETF	4,220	$233,492
CRWV	CoreWeave, Inc.	2,338	$232,724
BAC	Bank Of America Corp	4,084	$232,706
NASA	Tema Etfs LLC	7,367	$223,809
DGT	State Street(R) SPDR(R) Global Dow ETF	1,172	$216,573
MARW	AllianzIM U.S. Equity Buffer20 Mar ETF	5,674	$204,888
GLW	Corning Inc	791	$202,045
UTG	Reaves Utility Income Fund	4,913	$200,057
FDIS	Fidelity MSCI Consumer Discretionary Index ETF	1,945	$200,023
No positions match the current search.

Sold Out

Positions the filer fully exited

1 positions

Ticker	Company	Shares	Value	Open
CI	Cigna Group	750	$200,062
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

187 tracked positions · $320,747,383 total · filing declares 188 positions · $332,557,554 · as of Jun 30, 2026

All sectors Communication Services Consumer Cyclical Consumer Defensive Energy Financial Services Healthcare Industrials Technology Utilities

Showing 1–50 of 187 positions by value · page 1 of 4

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	Held (qtrs)	Est. cost/share	% of Portfolio
SMH	VanEck Semiconductor ETF	Reduced	35,559	-429	$23,322,792	+69.0%	26+	before history	7.27%
AAPL	Apple Inc. Technology	Reduced	45,874	-425	$13,274,100	+13.0%	26+	before history	4.14%
NVDA	Nvidia Corp Technology	Reduced	55,049	-542	$11,014,754	+13.6%	23	unpriced	3.43%
SCHB	Schwab U.S. Broad Market ETF	Added	352,641	+13,225	$10,212,483	+19.9%	26+	before history	3.18%
RSPT	Victory Portfolios II	Reduced	143,025	-2,488	$9,225,112	+40.1%	26+	before history	2.88%
SPY	Spdr S&P 500 ETF Trust	Added	11,909	+132	$8,893,283	+16.1%	26+	before history	2.77%
		Added	154,967	+76,946	$8,702,946	+110.4%	26+	before history	2.71%
AMZN	Amazon Com Inc Consumer Cyclical	Reduced	36,128	-104	$8,610,747	+14.1%	26+	before history	2.68%
XLK	State Street(R) Technology Select Sector SPDR(R) ETF	Reduced	42,378	-645	$8,073,856	+41.2%	26+	before history	2.52%
QQQ	Invesco Qqq Trust, Series 1	Added	10,378	+574	$7,642,359	+35.1%	18	$371.95	2.38%
SCHG	Schwab U.S. Large-Cap Growth ETF	Reduced	220,706	-5,583	$7,468,691	+13.3%	26+	before history	2.33%
BINC		Reduced	135,438	-460	$7,088,824	+0.4%	8	$52.85	2.21%
SCHD	Schwab U.S. Dividend Equity ETF	Added	212,780	+28,872	$6,747,253	+19.6%	26+	before history	2.10%
RSP	Victory Portfolios II	Added	30,687	+1,540	$6,529,272	+16.7%	10	$175.88	2.04%
AGG	iShares Core U.S. Aggregate Bond ETF	Added	62,691	+4,535	$6,205,155	+7.5%	26+	before history	1.93%
RSPF	Victory Portfolios II	Added	78,992	+167	$6,125,829	+8.9%	26+	before history	1.91%
DVY	iShares Select Dividend ETF	Added	36,386	+4,961	$5,687,131	+19.5%	26+	before history	1.77%
JEPI	JPMorgan Equity Premium Income ETF	Added	96,503	+19,079	$5,450,489	+24.2%	15	$55.43	1.70%
LQD	iShares iBoxx $ Investment Grade Corporate Bond ETF	Added	45,485	+2,711	$4,961,048	+6.4%	26+	before history	1.55%
XLF	State Street Corp Financial Services	Added	90,938	+8,923	$4,875,186	+20.4%	26+	before history	1.52%
HACK		Reduced	45,467	-10	$4,770,852	+39.7%	26+	before history	1.49%
VOO	VANGUARD 500 INDEX FUND	Added	6,440	+1,781	$4,423,056	+58.9%	11	unpriced	1.38%
XLE	State Street(R) Energy Select Sector SPDR(R) ETF	Reduced	76,024	-2,659	$4,037,634	−16.2%	18	unpriced	1.26%
XLI	State Street(R) Industrial Select Sector SPDR(R) ETF	Added	20,408	+6,313	$3,780,173	+65.8%	26+	before history	1.18%
RSPH	Victory Portfolios II	Reduced	112,545	-175	$3,735,368	+9.8%	26+	before history	1.16%
XLV	State Street(R) Health Care Select Sector SPDR(R) ETF	Reduced	20,408	-127	$3,237,933	+7.5%	26+	before history	1.01%
VIG	Vanguard Specialized Funds	Added	12,868	+593	$3,044,826	+15.3%	26+	before history	0.95%
SCHA	Schwab U.S. Small-Cap ETF	Reduced	83,638	-120	$3,021,840	+24.1%	26+	before history	0.94%
RSPN	Victory Portfolios II	Reduced	47,088	-500	$3,013,632	+10.0%	26+	before history	0.94%
VB	Vanguard Index Funds	Reduced	9,643	-139	$2,922,986	+14.1%	26+	before history	0.91%
BIV	Vanguard Bond Index Funds	Reduced	38,098	-1,268	$2,922,116	−3.8%	26+	before history	0.91%
XLU	State Street(R) Utilities Select Sector SPDR(R) ETF	Added	63,877	+3,859	$2,896,183	+5.2%	8	unpriced	0.90%
VOT	VANGUARD MID-CAP GROWTH INDEX FUND	Reduced	9,434	-188	$2,889,634	+16.7%	26+	before history	0.90%
		Added	56,629	+5,486	$2,878,452	+12.6%	23	unpriced	0.90%
SCHX	Schwab U.S. Large-Cap ETF	Reduced	94,370	-6,199	$2,777,309	+7.7%	26+	before history	0.87%
SCHM	Schwab U.S. Mid-Cap ETF	Held	68,648	0	$2,531,051	+19.1%	26+	before history	0.79%
RSPG	Victory Portfolios II	Reduced	25,677	-468	$2,515,318	−12.1%	26+	before history	0.78%
META	Meta Platforms, Inc. Communication Services	Reduced	4,433	-149	$2,497,064	−4.7%	26+	before history	0.78%
GOOGL	Alphabet Inc. Communication Services	Reduced	6,938	-224	$2,479,433	+20.4%	26+	before history	0.77%
JEPQ	JPMorgan Nasdaq Equity Premium Income ETF	Added	40,202	+4,440	$2,470,814	+24.4%	14	$49.00	0.77%
QYLD	Global X NASDAQ 100 Covered Call ETF	Added	128,483	+1,742	$2,367,941	+8.9%	26+	before history	0.74%
AVUV	Avantis U.S. Small Cap Value ETF	Reduced	18,617	-23	$2,322,656	+12.8%	21	$82.61	0.72%
APRW	AllianzIM U.S. Equity Buffer20 Apr ETF	Added	62,250	+13,718	$2,311,965	+34.7%	8	$33.21	0.72%
FTSD	Franklin Short Duration U.S. Government ETF	Reduced	25,425	-338	$2,301,216	−1.6%	8	$90.56	0.72%
EMB	iShares J.P. Morgan USD Emerging Markets Bond ETF	Added	23,412	+6,466	$2,257,853	+41.8%	3	unpriced	0.70%
JANW	AllianzIM U.S. Equity Buffer20 Jan ETF	Held	44,755	0	$1,730,899	+6.0%	7	$33.80	0.54%
SDSI	American Century Short Duration Strategic Income ETF	Added	31,412	+5,124	$1,613,006	+19.6%	7	$51.15	0.50%
GPIX	Goldman Sachs S&P 500 Premium Income ETF	Added	27,827	+406	$1,546,346	+12.7%	3	$52.26	0.48%
RSPS	Victory Portfolios II	Reduced	50,550	-125	$1,515,489	+1.4%	26+	before history	0.47%
PFXF	VanEck Preferred Securities ex Financials ETF	Reduced	82,819	-3,065	$1,477,490	−1.9%	26+	before history	0.46%

Showing the top 50 of 187 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.