Joseph P. Lucia & Associates, LLC
Firm details
- Headquarters
- Yorktown Heights, New York
- CRD number
- 147625
- Registered since
- April 24, 2012
- Website
- www.luciaandassociates.net
- Custodians
- CHARLES SCHWAB & CO., INC.
- Fee structure
- Percentage of AUM, Fixed Fees
- Client types
- HNWI63.03%
- Individuals36.97%
- Services
- Financial PlanningPortfolio Management for IndividualsSelection of Other Advisers
Firm profile
FINTRXOverview
Joseph P. Lucia & Associates, LLC is an independent registered investment adviser that operates as a limited liability company. The firm, registered with the SEC since 2012, serves individual and family clients and functions as a capital allocator that also selects outside managers. Its advisory services include financial planning, portfolio management for individuals and small businesses, and the selection of other advisers. Fees are charged as a percentage of assets under management and through fixed-fee arrangements. The adviser does not identify as an active ESG investor and is not registered as a multi-state adviser.
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Public Funds/Mutual Funds77%
- Exchange Traded Equities15%
- State & Local Bonds4%
- US Government Bonds1%
- Investment Grade Corp Bonds1%
Contacts
3 of 3
Joseph Lucia
Founder and PresidentCRD 4428262
Anthony Pagano
Registered RepresentativeCRD 4813177
John Sloan
Financial PlannerCRD 5442912
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 174Active vs passive
$364M in ETFs
84%
$306M
13%
$57.1M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| VANECK SEMICONDUCTOR ETF (SMH) | VanEck | Passive | Technology | $23.3M | 35,559 | 6.42% |
Location
Yorktown Heights, NY
Westchester
Location
Yorktown Heights, NY
Headquartered in Yorktown Heights, NY, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.
- Metro area
- New York-Newark, NY-NJ-CT-PA
- Region
- Northeast
- County
- Westchester
- Address
- 3505 Hill Blvd
- Time zone
- ET (UTC-5)
- Office locations
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