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Joseph P. Lucia & Associates, LLC

Joseph P. Lucia & Associates, LLC. CRD 147625

J

CRD: 147625

Joseph P. Lucia & Associates, LLC

Yorktown Heights, NY, 10598
9143526600
www.luciaandassociates.net
$388.0M Total AUM
$388.0M Disc. AUM
9.6% 3Y CAGR
5 Employees
662 ADV. Clients
15 yrs Firm Age

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Firm Details

Custodian
Charles Schwab & Company
Clients
Retail
Platforms
--
Established Date
08-09-2010
Office Locations
1

Office Locations

3505 Hill Blvd. Suite J Yorktown Heights NY

About Joseph P. Lucia & Associates, LLC

Joseph P. Lucia & Associates, LLC is an independent, fiduciary RIA delivering collaborative financial planning and customized portfolio management with ongoing monitoring and strategy updates. Client assets are custodied at Charles Schwab Institutional, supporting operational stability. The firm emphasizes objective advice, responsive service, and seasoned professionals, with leadership recognized by multiple Greater New York-area industry awards.

Team overview

-- AVG AGE
$129.3M AVG AUM / ADVISOR
$586.1K AVG AUM / CLIENT
8 yrs AVG TENURE
5 Employees
3 Advisory Reps
3 RIA Reps
15yrs Firm Age

Insights

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Asset Classes

Element oak Pathway

Client Personas

Radial legacy

Investment Themes

Zenith wave Matrix vertex

Investment Vehicles

Alpha Summit

Services

Glacier quantum Momentum Beacon Value Meridian vertex Element Eagle Harbor legacy Insight bridge

Owner & Executives

J

JOSEPH PAUL LUCIA

Chief Compliance Officer, MANAGING PRINCIPAL

CRD
#4428262
Ownership
75% or more
(988) 736-3123
insight.crest@capitalcapital.com
in linkedin.com/in/delta-wave

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Contacts

A

ANTHONY PAGANO

--

CRD
#4813177
(610) 501-6785
harbor.prime@eaglecapital.com
in linkedin.com/in/ember-summit
J

JOHN E SLOAN

Wealth Manager

CRD
#5442912
(671) 962-9435
quantum.zenith@quantumcapital.com
in linkedin.com/in/radial-peak

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Assets Under Management

Total AUM
Discretionary
Non-Discretionary
03-04-2022
03-14-2023
04-22-2024
03-11-2025
03-25-2026
Category Assets AVG. Account size
Discretionary $388,002,041 $235,868
Non-Discretionary $0 --
Total $388,002,041 $235,868

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Separately Managed Accounts

Total SMA Asset: $388,002,041

$388.0M Total SMA
Public Funds:
18.8%
Equity - Exchange:
6.8%
Municipal Bonds:
17.9%
Cash:
18.2%
Corporate - Investment Grade:
16.0%
Other:
15.8%
U.S. Government/Agency:
6.5%
Asset class Assets Assets %
Public Funds $986,150,745 18.8%
Equity - Exchange $356,692,823 6.8%
Municipal Bonds $938,941,401 17.9%
Cash $954,677,849 18.2%
Corporate - Investment Grade $839,277,230 16.0%
Other $828,786,265 15.8%
U.S. Government/Agency $340,956,375 6.5%
Total $5,245,482,688 100.0%

13F Holdings | Q1 2026

Issuer Class Cusip Ticker % Value
PRIME VALUE ZENITH VECTOR VG2ZOSGOK OJYXV 2.46% $108,737,870
FOCUS VECTOR GLACIER ALPHA MERIDIAN ATKZ9WBD6 DYCZQ 2.89% $60,261,778
MOMENTUM EMBER INSIGHT EAGLE EMBER BG2S9QNT1 MDVS 6.33% $89,663,364
VECTOR EMBER FUSION HARBOR PEAK EVPFHOSFP SBAUK 1.52% $16,824,239
OPTIMA FUSION OAK GLACIER NORTH TH2XZXE24 EXA 6.86% $112,127,555
UNISON ATLAS UNISON EAGLE PRIME 1708WPDK4 AQD 10.24% $1,746,316
OAK WAVE FRONTIER OAK S0I9R1VLZ PAPBP 8.65% $45,284,347
MATRIX WAVE NORTH INSIGHT NUWQRTZGM VJFK 6.75% $69,288,426

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