JOSEPH P. LUCIA & ASSOCIATES, LLC

Filed: 10/28/2022ACC: 0001606587-22-002035

📋 What this filing means

JOSEPH P. LUCIA & ASSOCIATES, LLC filed this quarterly 13F‑HR report disclosing 107 equity positions with a total reported market value of $127.4K. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.

107

Positions

$127.4K

Total AUM (reported)

2.45M

Total Shares

Allocation by class

COM$14.0K11.0%

SELECT DIVID ETF$5.3K4.2%

S&P500 EQL FIN$5.1K4.0%

S&P500 EQL TEC$4.7K3.7%

FLTG RATE NT ETF$4.5K3.6%

S&P 500 DV ARIST$3.9K3.1%

US TIPS ETF$3.8K3.0%

Portfolio Concentration

Top 3$15.7K12.3%

4–10$26.8K21.1%

11–25$35.3K27.7%

Rest$49.6K38.9%

Top 3 weight

12.3%

Top 10 weight

33.4%

Voting Authority Distribution

Total shares with voting rights: 2.45M

Sole

Full voting authority

0.00

% of voting shares0.0%

Shared

Joint voting authority

0.00

% of voting shares0.0%

None

No voting authority

2.45M

% of voting shares100.0%

Investment Discretion (by position count)

Sole107

Shared0

Other0

Dominant voting typeNone · 100.0% of voting shares

Institutional Holdings107

Rows:

ISHARES TR

SOLE

SELECT DIVID ETF

Shares49.62K

TypeSH

Market value$5.3K

4.18%

Sole

0.00

Shared

0.00

None

49.62K

APPLE INC

SOLE

COM

Shares38.05K

TypeSH

Market value$5.3K

4.13%

Sole

0.00

Shared

0.00

None

38.05K

INVESCO EXCHANGE TRADED FD T

SOLE

S&P500 EQL FIN

Shares99.87K

TypeSH

Market value$5.1K

4.02%

Sole

0.00

Shared

0.00

None

99.87K

INVESCO EXCHANGE TRADED FD T

SOLE

S&P500 EQL TEC

Shares20.88K

TypeSH

Market value$4.7K

3.71%

Sole

0.00

Shared

0.00

None

20.88K

ISHARES TR

SOLE

FLTG RATE NT ETF

Shares90.50K

TypeSH

Market value$4.5K

3.57%

Sole

0.00

Shared

0.00

None

90.50K

PROSHARES TR

SOLE

S&P 500 DV ARIST

Shares48.97K

TypeSH

Market value$3.9K

3.07%

Sole

0.00

Shared

0.00

None

48.97K

SCHWAB STRATEGIC TR

SOLE

US TIPS ETF

Shares74.02K

TypeSH

Market value$3.8K

3.01%

Sole

0.00

Shared

0.00

None

74.02K

VANECK ETF TRUST

SOLE

SEMICONDUCTR ETF

Shares18K

TypeSH

Market value$3.3K

2.62%

Sole

0.00

Shared

0.00

None

18K

SELECT SECTOR SPDR TR

SOLE

TECHNOLOGY

Shares27.32K

TypeSH

Market value$3.2K

2.55%

Sole

0.00

Shared

0.00

None

27.32K

INVESCO EXCHANGE TRADED FD T

SOLE

S&P500 EQL HLT

Shares12.85K

TypeSH

Market value$3.2K

2.54%

Sole

0.00

Shared

0.00

None

12.85K

SCHWAB STRATEGIC TR

SOLE

US LCAP GR ETF

Shares55.53K

TypeSH

Market value$3.1K

2.43%

Sole

0.00

Shared

0.00

None

55.53K

AMAZON COM INC

SOLE

COM

Shares25.89K

TypeSH

Market value$2.9K

2.30%

Sole

0.00

Shared

0.00

None

25.89K

ETF MANAGERS TR

SOLE

PRIME CYBR SCRTY

Shares66.32K

TypeSH

Market value$2.9K

2.26%

Sole

0.00

Shared

0.00

None

66.32K

SCHWAB STRATEGIC TR

SOLE

US DIVIDEND EQ

Shares43.15K

TypeSH

Market value$2.9K

2.25%

Sole

0.00

Shared

0.00

None

43.15K

SPDR SER TR

SOLE

S&P REGL BKG

Shares42.74K

TypeSH

Market value$2.5K

1.98%

Sole

0.00

Shared

0.00

None

42.74K

INVESCO EXCHANGE TRADED FD T

SOLE

S&P500 EQL STP

Shares16.18K

TypeSH

Market value$2.5K

1.95%

Sole

0.00

Shared

0.00

None

16.18K

VANGUARD SPECIALIZED FUNDS

SOLE

DIV APP ETF

Shares16.76K

TypeSH

Market value$2.3K

1.78%

Sole

0.00

Shared

0.00

None

16.76K

VANECK ETF TRUST

SOLE

PREFERRED SECURT

Shares127.56K

TypeSH

Market value$2.2K

1.72%

Sole

0.00

Shared

0.00

None

127.56K

ISHARES TR

SOLE

PFD AND INCM SEC

Shares68.89K

TypeSH

Market value$2.2K

1.71%

Sole

0.00

Shared

0.00

None

68.89K

ISHARES TR

SOLE

0-5 YR TIPS ETF

Shares21.41K

TypeSH

Market value$2.1K

1.62%

Sole

0.00

Shared

0.00

None

21.41K

SCHWAB STRATEGIC TR

SOLE

US BRD MKT ETF

Shares47.99K

TypeSH

Market value$2.0K

1.58%

Sole

0.00

Shared

0.00

None

47.99K

VANGUARD INDEX FDS

SOLE

MCAP GR IDXVIP

Shares11.66K

TypeSH

Market value$2.0K

1.56%

Sole

0.00

Shared

0.00

None

11.66K

SCHWAB STRATEGIC TR

SOLE

US SML CAP ETF

Shares52.27K

TypeSH

Market value$2.0K

1.55%

Sole

0.00

Shared

0.00

None

52.27K

SCHWAB STRATEGIC TR

SOLE

US MID-CAP ETF

Shares31.62K

TypeSH

Market value$1.9K

1.50%

Sole

0.00

Shared

0.00

None

31.62K

SCHWAB STRATEGIC TR

SOLE

US LRG CAP ETF

Shares44.68K

TypeSH

Market value$1.9K

1.49%

Sole

0.00

Shared

0.00

None

44.68K

Issuer	Class	Shares	Type	Value / Portfolio %	None
ISHARES TRSOLE	SELECT DIVID ETF	49.62K	SH	$5.3K 4.18%	49.62K
APPLE INCSOLE	COM	38.05K	SH	$5.3K 4.13%	38.05K
INVESCO EXCHANGE TRADED FD TSOLE	S&P500 EQL FIN	99.87K	SH	$5.1K 4.02%	99.87K
INVESCO EXCHANGE TRADED FD TSOLE	S&P500 EQL TEC	20.88K	SH	$4.7K 3.71%	20.88K
ISHARES TRSOLE	FLTG RATE NT ETF	90.50K	SH	$4.5K 3.57%	90.50K
PROSHARES TRSOLE	S&P 500 DV ARIST	48.97K	SH	$3.9K 3.07%	48.97K
SCHWAB STRATEGIC TRSOLE	US TIPS ETF	74.02K	SH	$3.8K 3.01%	74.02K
VANECK ETF TRUSTSOLE	SEMICONDUCTR ETF	18K	SH	$3.3K 2.62%	18K
SELECT SECTOR SPDR TRSOLE	TECHNOLOGY	27.32K	SH	$3.2K 2.55%	27.32K
INVESCO EXCHANGE TRADED FD TSOLE	S&P500 EQL HLT	12.85K	SH	$3.2K 2.54%	12.85K
SCHWAB STRATEGIC TRSOLE	US LCAP GR ETF	55.53K	SH	$3.1K 2.43%	55.53K
AMAZON COM INCSOLE	COM	25.89K	SH	$2.9K 2.30%	25.89K
ETF MANAGERS TRSOLE	PRIME CYBR SCRTY	66.32K	SH	$2.9K 2.26%	66.32K
SCHWAB STRATEGIC TRSOLE	US DIVIDEND EQ	43.15K	SH	$2.9K 2.25%	43.15K
SPDR SER TRSOLE	S&P REGL BKG	42.74K	SH	$2.5K 1.98%	42.74K
INVESCO EXCHANGE TRADED FD TSOLE	S&P500 EQL STP	16.18K	SH	$2.5K 1.95%	16.18K
VANGUARD SPECIALIZED FUNDSSOLE	DIV APP ETF	16.76K	SH	$2.3K 1.78%	16.76K
VANECK ETF TRUSTSOLE	PREFERRED SECURT	127.56K	SH	$2.2K 1.72%	127.56K
ISHARES TRSOLE	PFD AND INCM SEC	68.89K	SH	$2.2K 1.71%	68.89K
ISHARES TRSOLE	0-5 YR TIPS ETF	21.41K	SH	$2.1K 1.62%	21.41K
SCHWAB STRATEGIC TRSOLE	US BRD MKT ETF	47.99K	SH	$2.0K 1.58%	47.99K
VANGUARD INDEX FDSSOLE	MCAP GR IDXVIP	11.66K	SH	$2.0K 1.56%	11.66K
SCHWAB STRATEGIC TRSOLE	US SML CAP ETF	52.27K	SH	$2.0K 1.55%	52.27K
SCHWAB STRATEGIC TRSOLE	US MID-CAP ETF	31.62K	SH	$1.9K 1.50%	31.62K
SCHWAB STRATEGIC TRSOLE	US LRG CAP ETF	44.68K	SH	$1.9K 1.49%	44.68K

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