LUCIA WEALTH SERVICES, LLC

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Lucia Wealth Services is based out of San Diego. Lucia Wealth Services is a large advisory firm with 4103 clients and discretionary assets under management (AUM) of $899,703,588 (Form ADV from 2018-11-01). Their last reported 13F filing for Q3 2019 included $300,387,000 in managed 13F securities and a top 10 holdings concentration of 44.61%. Lucia Wealth Services's largest holding is Apple Inc with shares held of 77,901. Whalewisdom has at least 8 13F filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $300.387 Million
  • Prior Market Value $290.528 Million
  • New Purchases11 stocks
  • Additional Purchases54 stocks
  • Sold out of17 stocks
  • Reduced holdings in66 stocks
  • Top 10 Holdings % 44.61 %
  • Turnover % [1]:16.97%
  • Turnover Alt % [2]: 7.96 %
  • Time Held Top20:4.50 quarters
  • Time Held Top10:5.40 quarters
  • Time Held All:5.05 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-08-14

Performance for Q2 2019: 1.52%
Performance Last 4 Quarters: 3.43%
Performance Metrics
Stats are not available for the latest quarter

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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

LUCIA CAPITAL GROUP
13520 EVENING CREEK DRIVE, N. SUITE 300
SAN DIEGO CA    92128
Country: United States

Business Phone: 800-644-1150
Fax: 858-519-8931
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: CA
Number of employees: 75
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees
Amount of client funds and securities: 889,117,000
Total Number of Clients: 4103
Amount of client funds and securities by related persons: 885,929,000
Total Number of clients from related persons: 3595
Disclosures: 11.C (1),11.C (2),11.C (4),11.C (5)
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Form 4 - Recent Insider Transactions

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LUCIA WEALTH SERVICES, LLC

ownership team - last updated 2019-03-26
Name Title Start Date Direct/Indirect % Ownership
LUCIA, RAYMOND, JOSEPH MANAGING MEMBER/ CHAIRMAN 01/01/2010 Direct 75% or more
Fund Name Position direct/indirect start date end date
RJL FINANCIAL NETWORK, L.L.C. VICE PRESIDENT/DIRECTOR direct 2003-07-01
RJL WEALTH MANAGEMENT, LLC MANAGING MEMBER indirect 2010-01-01
RJL WEALTH MANAGEMENT, LLC MANAGING MEMBER/ CHIEF EXECUTIVE OFFICER direct 2010-01-01
LUCIA WEALTH SERVICES, LLC MANAGING MEMBER/ CHAIRMAN direct 2010-01-01
LUCIA WEALTH SERVICES, LLC MANAGING MEMBER/CHAIRMAN indirect 2010-01-01
RJL CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2010-01-01
LUCIA CAPITAL MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER direct 2011-06-01
VALIDUS GROWTH INVESTORS, LLC CEO indirect 2010-03-01
VALIDUS GROWTH INVESTORS, LLC CEO indirect 2010-03-01
VALIDUS GROWTH INVESTORS, LLC MEMBER, SERIES C UNITS direct 2014-07-01
LUCIA CAPITAL GROUP, LLC LLC 01/01/2010 Direct 75% or more
Fund Name Position direct/indirect start date end date
RJL WEALTH MANAGEMENT, LLC LLC direct 2010-01-01
RJL CAPITAL MANAGEMENT, LLC DIRECT OWNER & MANAGING MEMBER direct 2011-06-01
VALIDUS GROWTH INVESTORS, LLC MEMBER, SERIES A UNITS direct 2014-06-01
LUCIA, JOSEPH, PAUL PRESIDENT 01/01/2013 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
LUCIA WEALTH SERVICES, LLC PRESIDENT direct 2013-01-01
LUCIA WEALTH SERVICES, LLC MEMBER indirect 2013-06-01
RJL CAPITAL MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT direct 2011-06-01
RJL CAPITAL MANAGEMENT, LLC PRESIDENT direct 2013-01-01
VALIDUS GROWTH INVESTORS, LLC MEMBER indirect 2011-08-01
VALIDUS GROWTH INVESTORS, LLC MEMBER, SERIES C UNITS direct 2014-07-01
PALERMO, VIKTORIA, IRENA CHIEF COMPLIANCE OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
LUCIA WEALTH SERVICES, LLC CHIEF COMPLIANCE OFFICER direct 2018-03-01
LUCIA, RAYMOND, JOSEPH MANAGING MEMBER/CHAIRMAN LUCIA CAPITAL GROUP, LLC 01/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
RJL FINANCIAL NETWORK, L.L.C. VICE PRESIDENT/DIRECTOR direct 2003-07-01
RJL WEALTH MANAGEMENT, LLC MANAGING MEMBER indirect 2010-01-01
RJL WEALTH MANAGEMENT, LLC MANAGING MEMBER/ CHIEF EXECUTIVE OFFICER direct 2010-01-01
LUCIA WEALTH SERVICES, LLC MANAGING MEMBER/ CHAIRMAN direct 2010-01-01
LUCIA WEALTH SERVICES, LLC MANAGING MEMBER/CHAIRMAN indirect 2010-01-01
RJL CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2010-01-01
LUCIA CAPITAL MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER direct 2011-06-01
VALIDUS GROWTH INVESTORS, LLC CEO indirect 2010-03-01
VALIDUS GROWTH INVESTORS, LLC CEO indirect 2010-03-01
VALIDUS GROWTH INVESTORS, LLC MEMBER, SERIES C UNITS direct 2014-07-01
LUCIA, JOSEPH, PAUL MEMBER LUCIA CAPITAL GROUP 06/01/2013 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
LUCIA WEALTH SERVICES, LLC PRESIDENT direct 2013-01-01
LUCIA WEALTH SERVICES, LLC MEMBER indirect 2013-06-01
RJL CAPITAL MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT direct 2011-06-01
RJL CAPITAL MANAGEMENT, LLC PRESIDENT direct 2013-01-01
VALIDUS GROWTH INVESTORS, LLC MEMBER indirect 2011-08-01
VALIDUS GROWTH INVESTORS, LLC MEMBER, SERIES C UNITS direct 2014-07-01

LUCIA WEALTH SERVICES, LLC

ownership team - last updated 2018-11-30
Name Title Start Date Direct/Indirect % Ownership
LUCIA, RAYMOND, JOSEPH MANAGING MEMBER/ CHAIRMAN 01/01/2010 Direct 75% or more
Fund Name Position direct/indirect start date end date
RJL FINANCIAL NETWORK, L.L.C. VICE PRESIDENT/DIRECTOR direct 2003-07-01
RJL WEALTH MANAGEMENT, LLC MANAGING MEMBER indirect 2010-01-01
RJL WEALTH MANAGEMENT, LLC MANAGING MEMBER/ CHIEF EXECUTIVE OFFICER direct 2010-01-01
LUCIA WEALTH SERVICES, LLC MANAGING MEMBER/ CHAIRMAN direct 2010-01-01
LUCIA WEALTH SERVICES, LLC MANAGING MEMBER/CHAIRMAN indirect 2010-01-01
RJL CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2010-01-01
LUCIA CAPITAL MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER direct 2011-06-01
VALIDUS GROWTH INVESTORS, LLC CEO indirect 2010-03-01
VALIDUS GROWTH INVESTORS, LLC CEO indirect 2010-03-01
VALIDUS GROWTH INVESTORS, LLC MEMBER, SERIES C UNITS direct 2014-07-01
LUCIA CAPITAL GROUP, LLC LLC 01/01/2010 Direct 75% or more
Fund Name Position direct/indirect start date end date
RJL WEALTH MANAGEMENT, LLC LLC direct 2010-01-01
RJL CAPITAL MANAGEMENT, LLC DIRECT OWNER & MANAGING MEMBER direct 2011-06-01
VALIDUS GROWTH INVESTORS, LLC MEMBER, SERIES A UNITS direct 2014-06-01
LUCIA, JOSEPH, PAUL PRESIDENT 01/01/2013 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
LUCIA WEALTH SERVICES, LLC PRESIDENT direct 2013-01-01
LUCIA WEALTH SERVICES, LLC MEMBER indirect 2013-06-01
RJL CAPITAL MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT direct 2011-06-01
RJL CAPITAL MANAGEMENT, LLC PRESIDENT direct 2013-01-01
VALIDUS GROWTH INVESTORS, LLC MEMBER indirect 2011-08-01
VALIDUS GROWTH INVESTORS, LLC MEMBER, SERIES C UNITS direct 2014-07-01
PALERMO, VIKTORIA, IRENA CHIEF COMPLIANCE OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
LUCIA WEALTH SERVICES, LLC CHIEF COMPLIANCE OFFICER direct 2018-03-01
LUCIA, RAYMOND, JOSEPH MANAGING MEMBER/CHAIRMAN RJL HOLDING, LLC 01/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
RJL FINANCIAL NETWORK, L.L.C. VICE PRESIDENT/DIRECTOR direct 2003-07-01
RJL WEALTH MANAGEMENT, LLC MANAGING MEMBER indirect 2010-01-01
RJL WEALTH MANAGEMENT, LLC MANAGING MEMBER/ CHIEF EXECUTIVE OFFICER direct 2010-01-01
LUCIA WEALTH SERVICES, LLC MANAGING MEMBER/ CHAIRMAN direct 2010-01-01
LUCIA WEALTH SERVICES, LLC MANAGING MEMBER/CHAIRMAN indirect 2010-01-01
RJL CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2010-01-01
LUCIA CAPITAL MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER direct 2011-06-01
VALIDUS GROWTH INVESTORS, LLC CEO indirect 2010-03-01
VALIDUS GROWTH INVESTORS, LLC CEO indirect 2010-03-01
VALIDUS GROWTH INVESTORS, LLC MEMBER, SERIES C UNITS direct 2014-07-01
LUCIA, JOSEPH, PAUL MEMBER LUCIA CAPITAL GROUP 06/01/2013 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
LUCIA WEALTH SERVICES, LLC PRESIDENT direct 2013-01-01
LUCIA WEALTH SERVICES, LLC MEMBER indirect 2013-06-01
RJL CAPITAL MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT direct 2011-06-01
RJL CAPITAL MANAGEMENT, LLC PRESIDENT direct 2013-01-01
VALIDUS GROWTH INVESTORS, LLC MEMBER indirect 2011-08-01
VALIDUS GROWTH INVESTORS, LLC MEMBER, SERIES C UNITS direct 2014-07-01

LUCIA WEALTH SERVICES, LLC

ownership team - last updated 2018-04-18
Name Title Start Date Direct/Indirect % Ownership
LUCIA, JOSEPH, PAUL PRESIDENT 01/01/2013 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
LUCIA WEALTH SERVICES, LLC PRESIDENT direct 2013-01-01
LUCIA WEALTH SERVICES, LLC MEMBER indirect 2013-06-01
RJL CAPITAL MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT direct 2011-06-01
RJL CAPITAL MANAGEMENT, LLC PRESIDENT direct 2013-01-01
VALIDUS GROWTH INVESTORS, LLC MEMBER indirect 2011-08-01
VALIDUS GROWTH INVESTORS, LLC MEMBER, SERIES C UNITS direct 2014-07-01
LUCIA, RAYMOND, JOSEPH MANAGING MEMBER/ CHAIRMAN 01/01/2010 Direct 75% or more
Fund Name Position direct/indirect start date end date
RJL FINANCIAL NETWORK, L.L.C. VICE PRESIDENT/DIRECTOR direct 2003-07-01
RJL WEALTH MANAGEMENT, LLC MANAGING MEMBER indirect 2010-01-01
RJL WEALTH MANAGEMENT, LLC MANAGING MEMBER/ CHIEF EXECUTIVE OFFICER direct 2010-01-01
LUCIA WEALTH SERVICES, LLC MANAGING MEMBER/ CHAIRMAN direct 2010-01-01
LUCIA WEALTH SERVICES, LLC MANAGING MEMBER/CHAIRMAN indirect 2010-01-01
RJL CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2010-01-01
LUCIA CAPITAL MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER direct 2011-06-01
VALIDUS GROWTH INVESTORS, LLC CEO indirect 2010-03-01
VALIDUS GROWTH INVESTORS, LLC CEO indirect 2010-03-01
VALIDUS GROWTH INVESTORS, LLC MEMBER, SERIES C UNITS direct 2014-07-01
LUCIA CAPITAL GROUP, LLC LLC 01/01/2010 Direct 75% or more
Fund Name Position direct/indirect start date end date
RJL WEALTH MANAGEMENT, LLC LLC direct 2010-01-01
RJL CAPITAL MANAGEMENT, LLC DIRECT OWNER & MANAGING MEMBER direct 2011-06-01
VALIDUS GROWTH INVESTORS, LLC MEMBER, SERIES A UNITS direct 2014-06-01
PALERMO, VIKTORIA, IRENA CHIEF COMPLIANCE OFFICER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
LUCIA WEALTH SERVICES, LLC CHIEF COMPLIANCE OFFICER direct 2018-03-01
LUCIA, RAYMOND, JOSEPH MANAGING MEMBER/CHAIRMAN RJL HOLDING, LLC 01/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
RJL FINANCIAL NETWORK, L.L.C. VICE PRESIDENT/DIRECTOR direct 2003-07-01
RJL WEALTH MANAGEMENT, LLC MANAGING MEMBER indirect 2010-01-01
RJL WEALTH MANAGEMENT, LLC MANAGING MEMBER/ CHIEF EXECUTIVE OFFICER direct 2010-01-01
LUCIA WEALTH SERVICES, LLC MANAGING MEMBER/ CHAIRMAN direct 2010-01-01
LUCIA WEALTH SERVICES, LLC MANAGING MEMBER/CHAIRMAN indirect 2010-01-01
RJL CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2010-01-01
LUCIA CAPITAL MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER direct 2011-06-01
VALIDUS GROWTH INVESTORS, LLC CEO indirect 2010-03-01
VALIDUS GROWTH INVESTORS, LLC CEO indirect 2010-03-01
VALIDUS GROWTH INVESTORS, LLC MEMBER, SERIES C UNITS direct 2014-07-01
LUCIA, JOSEPH, PAUL MEMBER LUCIA CAPITAL GROUP 06/01/2013 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
LUCIA WEALTH SERVICES, LLC PRESIDENT direct 2013-01-01
LUCIA WEALTH SERVICES, LLC MEMBER indirect 2013-06-01
RJL CAPITAL MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT direct 2011-06-01
RJL CAPITAL MANAGEMENT, LLC PRESIDENT direct 2013-01-01
VALIDUS GROWTH INVESTORS, LLC MEMBER indirect 2011-08-01
VALIDUS GROWTH INVESTORS, LLC MEMBER, SERIES C UNITS direct 2014-07-01

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