# Joseph P. Lucia & Associates, LLC

> Joseph P. Lucia & Associates, LLC is an SEC-registered investment advisory firm in Yorktown Heights, NY, registered since 2012, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 25, 2026.

- CRD: 147625
- Filed as: JOSEPH P. LUCIA & ASSOCIATES, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Yorktown Heights, NY
- Filing period: October 2026
- Form ADV filing dated: March 25, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/147625
- AdvisorCensus page: https://advisorcensus.com/firm/joseph-p-lucia-and-associates-llc-yorktown-heights-ny-147625

## Quick answers

**How is Joseph P. Lucia & Associates, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Joseph P. Lucia & Associates, LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees).

**Where is Joseph P. Lucia & Associates, LLC located?**
Joseph P. Lucia & Associates, LLC's principal office is in Yorktown Heights, NY, according to its Form ADV.

**Is Joseph P. Lucia & Associates, LLC registered with the SEC or a state?**
Joseph P. Lucia & Associates, LLC is an SEC-registered investment advisory firm, registered since 2012. Status as filed: Approved. CRD 147625.

**How much does Joseph P. Lucia & Associates, LLC manage?**
Joseph P. Lucia & Associates, LLC reports $388,002,041 in regulatory assets under management in its Form ADV filing dated March 25, 2026 (100% discretionary).

**How have Joseph P. Lucia & Associates, LLC's assets and staff changed since 2021?**
In the Form ADV data for Joseph P. Lucia & Associates, LLC: Regulatory assets under management: $254,623,850 in the October 2021 data and $388,002,041 in the October 2026 data, up 52%. Total employees: 6 in October 2021 and 5 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Joseph P. Lucia & Associates, LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (561); high net worth individuals (101).

**Which custodians does Joseph P. Lucia & Associates, LLC use?**
Joseph P. Lucia & Associates, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.

**Does Joseph P. Lucia & Associates, LLC report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/147625

**Does Joseph P. Lucia & Associates, LLC state an account minimum?**
Its Form ADV Part 2A brochure dated March 25, 2026 says: "We primarily offer investment advisory services to individuals, including high net worth individuals, and small businesses. In general, we do not require a minimum dollar amount to open and maintain an advisory account."

**What changed in Joseph P. Lucia & Associates, LLC's recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $303,293,681 to $388,002,041 (+28%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)

### Fees and minimums (Form ADV Part 2A brochure dated March 25, 2026)

- Account minimum: None

> We primarily offer investment advisory services to individuals, including high net worth individuals, and small businesses. In general, we do not require a minimum dollar amount to open and maintain an advisory account.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $388,002,041
- Discretionary: $388,002,041
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 561 | $143,461,039 |
| High net worth individuals | 101 | $244,541,002 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2012 (14 years)
- Employees: 5 total, 3 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CT, FL, NC, NH, NJ, NY, PA, SC, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- luciaandassociates.net

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $254,623,850 | 6 | August 16, 2021 |
| October 2022 | $221,150,421 | 5 | March 4, 2022 |
| October 2023 | $294,495,687 | 5 | March 14, 2023 |
| October 2024 | $310,337,044 | 5 | April 22, 2024 |
| October 2025 | $303,293,681 | 5 | March 11, 2025 |
| October 2026 | $388,002,041 | 5 | March 25, 2026 |

Regulatory assets under management: $254,623,850 in the October 2021 data and $388,002,041 in the October 2026 data, up 52%.
Total employees: 6 in October 2021 and 5 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $303,293,681 to $388,002,041 (+28%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Joseph P. Lucia & Associates, LLC (CRD 147625): Form ADV filing data as of October 2026.