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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

PINHOOK CAPITAL, LLC

CRD 158509

SAN DIEGO, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:657ff671-cd5d-dbe7-79c0-ce0e8a88026a

Data as of May 12, 2020 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to May 12, 2020
24 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $509MItem 5.F on the latest filing (2020-05-12); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $171M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 9
Advisory employees: 7
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 2
Individual clients: 0
High net worth clients: 0
SEC number: 801-72595
CRD: 158509
Filings on the tape: 24
First filed: Mar 30, 2012
Latest filed: May 12, 2020
Organised: Limited Liability Company, California

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
LUCIA, JOSEPH, PAUL	President	B	yes	01/2013	Mar 30, 2012	May 12, 2020
LUCIA, RAYMOND, JOSEPH	CHIEF EXECUTIVE OFFICER	E	yes	06/2011	Mar 30, 2012	May 12, 2020
SCALZO, MARK, CHRISTOPHER	CHIEF INVESTMENT OFFICER	Na	yes	06/2014	Mar 19, 2015	May 12, 2020
AVNET, MITCHELL, STEVEN	CHIEF COMPLIANCE OFFICER	Na	no	03/2018	Apr 17, 2018	May 12, 2020

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
VALIDUS GROWTH INVESTORS, LLC	n/a	Asset manager	$353M	N	yes	n/a
LUCIA WEALTH SERVICES, LLC	n/a	Former SEC adviser	$128M	N	yes	n/a
LUCIA SECURITIES, LLC	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019	May 12, 2020	$509M	$171M	9	7	0	n/a	n/a
2018	Mar 29, 2019	$497M	$188M	10	6	0	n/a	n/a
2017	Mar 31, 2018	$541M	$203M	10	6	0	n/a	n/a
2016	Mar 29, 2017	$509M	$201M	10	4	n/a	n/a	n/a
2015	Mar 31, 2016	$496M	$202M	10	5	n/a	n/a	n/a
2014	Mar 19, 2015	$196M	$196M	5	3	n/a	n/a	n/a
2013	Mar 25, 2014	$110M	$110M	5	2	n/a	n/a	n/a
2012	Feb 22, 2013	$38.0M	$38.0M	5	2	n/a	n/a	n/a
2011	Mar 30, 2012	$100,000	$100,000	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$509M	$497M	2.5%	$509M	0.0%	9	10	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
VALIDEX GLOBAL INVESTING	2	Sep 30, 2020	Jan 1, 2025	SAN DIEGO, CA	Team lift out	Other	33.3%
LPL FINANCIAL LLC	2	Sep 30, 2020	Sep 1, 2020	SAN DIEGO, CA	Team lift out	Other	33.3%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
LUCIA CAPITAL GROUP	3	Oct 5, 2020	Jun 14, 2018	SAN DIEGO, CA	Team lift out	Other	10.3%

Relationships

Affiliated with (2)

→ LUCIA CAPITAL GROUPRegistered adviserother investment adviser, common control
factForm ADV
→ VALIDEX GLOBAL INVESTINGRegistered adviserother investment adviser, common control
factForm ADV

Owns (1)

← AVNET, MITCHELL, STEVENOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Apr 17, 2018 to presentfactForm ADV

Controls (3)

← SCALZO, MARK, CHRISTOPHEROwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Mar 19, 2015 to presentfactForm ADV
← LUCIA, RAYMOND, JOSEPHOwnerCHIEF EXECUTIVE OFFICER, ownership code E, individual
Mar 30, 2012 to presentfactForm ADV
← LUCIA, JOSEPH, PAULOwnerPRESIDENT, ownership code B, individual
Mar 30, 2012 to presentfactForm ADV

Moved with (3)

→ VALIDEX GLOBAL INVESTINGRegistered adviser2 advisors, team lift out, same day
Sep 30, 2020 to Jan 1, 2025factForm ADV
→ LPL FINANCIAL LLCRegistered adviser2 advisors, team lift out, same day
Sep 30, 2020 to Sep 1, 2020factForm ADV
← LUCIA CAPITAL GROUPRegistered adviser3 advisors, team lift out, same day
Oct 5, 2020 to Jun 14, 2018factForm ADV

Registered with (9)

← MITCHELL STEVEN AVNETAdvisorregistration: previous registration
Apr 25, 2018 to Sep 30, 2020factForm ADV
← MARK CHRISTOPHER SCALZOAdvisorregistration: previous registration
Jul 23, 2014 to Sep 30, 2020factForm ADV
← RAYMOND JOSEPH LUCIAAdvisorregistration: previous registration
Apr 1, 2013 to Sep 30, 2020factForm ADV
← JOSEPH PAUL LUCIAAdvisorregistration: previous registration
Apr 2, 2013 to Sep 30, 2020factForm ADV
← THOMAS A WYCKOFFAdvisorregistration: previous registration
Jun 14, 2018 to Sep 30, 2020factForm ADV
← AARON JAY ROSENAdvisorregistration: previous registration
Nov 20, 2014 to Sep 30, 2020factForm ADV
← THERESA JEAN OCHSAdvisorregistration: previous registration
Apr 1, 2013 to Apr 12, 2018factForm ADV
← RYAN ATTICUS LOWEAdvisorregistration: previous registration
Nov 3, 2014 to Sep 29, 2017factForm ADV
← SHELSEY MEGAN ROBERTSONAdvisorregistration: previous registration
Jan 4, 2016 to Apr 22, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:657ff671-cd5d-dbe7-79c0-ce0e8a88026a
First observed: Mar 30, 2012
Last observed: May 12, 2020 77 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

PINHOOK CAPITAL, LLC

CRD 158509

SAN DIEGO, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:657ff671-cd5d-dbe7-79c0-ce0e8a88026a

Data as of May 12, 2020 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:22 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

LUCIA, JOSEPH, PAUL

President

yes

01/2013

Mar 30, 2012

May 12, 2020

LUCIA, RAYMOND, JOSEPH

CHIEF EXECUTIVE OFFICER

yes

06/2011

Mar 30, 2012

May 12, 2020

SCALZO, MARK, CHRISTOPHER

CHIEF INVESTMENT OFFICER

yes

06/2014

Mar 19, 2015

May 12, 2020

AVNET, MITCHELL, STEVEN

CHIEF COMPLIANCE OFFICER

03/2018

Apr 17, 2018

May 12, 2020

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

VALIDUS GROWTH INVESTORS, LLC

n/a

Asset manager

$353M

yes

n/a

LUCIA WEALTH SERVICES, LLC

n/a

Former SEC adviser

$128M

yes

n/a

LUCIA SECURITIES, LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

May 12, 2020

$509M

$171M

n/a

2018

Mar 29, 2019

$497M

$188M

n/a

2017

Mar 31, 2018

$541M

$203M

n/a

2016

Mar 29, 2017

$509M

$201M

n/a

2015

Mar 31, 2016

$496M

$202M

n/a

2014

Mar 19, 2015

$196M

n/a

2013

Mar 25, 2014

$110M

n/a

2012

Feb 22, 2013

$38.0M

n/a

2011

Mar 30, 2012

$100,000

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

$509M

$497M

2.5%

$509M

0.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

VALIDEX GLOBAL INVESTING

Sep 30, 2020

Jan 1, 2025

SAN DIEGO, CA

Team lift out

Other

33.3%

LPL FINANCIAL LLC

Sep 30, 2020

Sep 1, 2020

SAN DIEGO, CA

Team lift out

Other

33.3%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

LUCIA CAPITAL GROUP

Oct 5, 2020

Jun 14, 2018

SAN DIEGO, CA

Team lift out

Other

10.3%