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

LUCIA CAPITAL GROUP

LUCIA WEALTH SERVICES, LLC, CRD 152396

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:e04cf76b-caf5-19c2-18b1-046f58e544f6

Data as of Nov 25, 2020 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 83
Dated events: 5
On other graphs: 0
Observed: Nov 8, 2011 to Nov 25, 2020
46 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: $128MItem 5.F on the latest filing (2020-11-25); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $110M
Private client RAUM: $104MderivedItem 5.D individuals plus high net worth individuals
Private client share: 81%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees: 6
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 91
Individual clients: 12
High net worth clients: 44
Custody, client assets: $128M
SEC number: 801-71073
CRD: 152396
Filings on the tape: 46
First filed: Nov 8, 2011
Latest filed: Nov 25, 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 CAPITAL GROUP, LLC	LLC	E	yes	01/2010	Mar 18, 2016	Nov 25, 2020
LUCIA, JOSEPH, PAUL	Member	C	yes	06/2013	Mar 11, 2013	Nov 25, 2020
LUCIA, JOSEPH, PAUL	President	B	yes	01/2013	Mar 11, 2013	Nov 25, 2020
LUCIA, RAYMOND, JOSEPH	MANAGING MEMBER/CHAIRMAN	E	yes	01/2010	Nov 8, 2011	Nov 25, 2020
LUCIA, RAYMOND, JOSEPH	MANAGING MEMBER/ CHAIRMAN	E	yes	01/2010	Nov 8, 2011	Nov 25, 2020
PALERMO, VIKTORIA, IRENA	CHIEF COMPLIANCE OFFICER	Na	yes	03/2018	Apr 11, 2018	Nov 25, 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	no	n/a
15 EQUITY	n/a	Independent wealth	$136M	N	yes	n/a
LUCIA SECURITIES, LLC	n/a	n/a	n/a	N	yes	CA

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
SANTA BARBARA	CA	United States	3	yes
n/a	n/a	n/a	1	no

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	Mar 27, 2020	$1.5B	$1.1B	69	27	20	n/a	n/a
2018	Mar 26, 2019	$1.3B	$900M	75	26	22	n/a	n/a
2017	Mar 6, 2018	$2.4B	$1.4B	46	25	22	n/a	n/a
2016	Mar 31, 2017	$497M	$409M	34	24	n/a	n/a	n/a
2015	Mar 18, 2016	$499M	$376M	46	27	n/a	n/a	n/a
2014	Mar 30, 2015	$499M	$262M	46	27	n/a	n/a	n/a
2013	Mar 31, 2014	$391M	$201M	37	29	n/a	n/a	n/a
2012	Mar 11, 2013	$332M	$285M	37	25	n/a	n/a	n/a
2011	Apr 30, 2012	$279M	$279M	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	$128M	$1.3B	-90.1%	$497M	-36.3%	6	75	2	22

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
LPL FINANCIAL LLC	4	Dec 31, 2020	Sep 1, 2020	SAN DIEGO, CA	Firm absorbed	RIA to ibd	66.7%
PINHOOK CAPITAL, LLC	3	Oct 5, 2020	Jun 14, 2018	SAN DIEGO, CA	Team lift out	Other	10.3%
LPL FINANCIAL LLC	18	Oct 5, 2020	Sep 1, 2020	SAN DIEGO, CA	Firm absorbed	RIA to ibd	62.1%
LPL FINANCIAL LLC	2	Sep 4, 2020	Sep 10, 2020	SAN DIEGO, CA	Team lift out	RIA to ibd	6.5%

Relationships

showing 80 of 83

Affiliated with (3)

→ VALIDEX GLOBAL INVESTINGRegistered adviserother investment adviser
factForm ADV
→ 15 EQUITYRegistered adviserother investment adviser, common control
factForm ADV
← PINHOOK CAPITAL, LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (4)

← LUCIA, RAYMOND, JOSEPHOwnerMANAGING MEMBER/CHAIRMAN, ownership code E, individual
Nov 8, 2011 to presentfactForm ADV
← PALERMO, VIKTORIA, IRENAOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Apr 11, 2018 to presentfactForm ADV
← LUCIA, JOSEPH, PAULOwnerMEMBER, ownership code C, individual
Mar 11, 2013 to presentfactForm ADV
← LUCIA CAPITAL GROUP, LLCOwnerLLC, ownership code E, domestic entity
Mar 18, 2016 to presentfactForm ADV

Registered with (66)

← JILL ANN LUKEHARTAdvisorregistration: previous registration
Aug 28, 2012 to Dec 31, 2020factForm ADV
← TIY LYNN ONEALAdvisorregistration: previous registration
Mar 18, 2015 to Dec 31, 2020factForm ADV
← LANCE WILLIAM HELFERTAdvisorregistration: previous registration
Jun 1, 2015 to Dec 31, 2020factForm ADV
← RYAN ATTICUS LOWEAdvisorregistration: previous registration
Oct 24, 2014 to Dec 31, 2020factForm ADV
← VIKTORIA IRENA PALERMOAdvisorregistration: previous registration
May 27, 2014 to Dec 31, 2020factForm ADV
← JONATHAN CABIGAS FERRERAdvisorregistration: previous registration
Jun 23, 2014 to Dec 31, 2020factForm ADV
← RICHARD BRUCE PLUMAdvisorregistration: previous registration
Apr 21, 2010 to Oct 9, 2020factForm ADV
← TERRANCE WILLIAM KEYESAdvisorregistration: previous registration
Apr 27, 2010 to Oct 5, 2020factForm ADV
← SONDRA FORKNERAdvisorregistration: previous registration
Apr 26, 2010 to Oct 5, 2020factForm ADV
← JOHN PROKOSAdvisorregistration: previous registration
Apr 9, 2010 to Oct 5, 2020factForm ADV
← JANEAN EVON STRIPEAdvisorregistration: previous registration
Apr 14, 2010 to Oct 5, 2020factForm ADV
← TRACY LYNN MARLINAdvisorregistration: previous registration
Jan 15, 2013 to Oct 5, 2020factForm ADV
← TIMOTHY JOHN SHEAAdvisorregistration: previous registration
Apr 9, 2010 to Oct 5, 2020factForm ADV
← CHRISTOPHER ALLEN LLOYDAdvisorregistration: previous registration
Apr 23, 2010 to Oct 5, 2020factForm ADV
← RONNIE RAY SANCHEZAdvisorregistration: previous registration
Jun 12, 2012 to Oct 5, 2020factForm ADV
← RAYMOND JOSEPH LUCIAAdvisorregistration: previous registration
Apr 9, 2010 to Oct 5, 2020factForm ADV
← PRESTON W SCHUMACHERAdvisorregistration: previous registration
Apr 14, 2010 to Oct 5, 2020factForm ADV
← JOSEPH PAUL LUCIAAdvisorregistration: previous registration
Apr 9, 2010 to Oct 5, 2020factForm ADV
← SEAN P OCONNORAdvisorregistration: previous registration
Apr 18, 2019 to Oct 5, 2020factForm ADV
← JONATHAN PAUL SAVONAAdvisorregistration: previous registration
Apr 14, 2010 to Oct 5, 2020factForm ADV
← BRANDON MITCHELL HIBDONAdvisorregistration: previous registration
Apr 15, 2010 to Oct 5, 2020factForm ADV
← RASHARD JERMAINE COOKAdvisorregistration: previous registration
Aug 27, 2012 to Oct 5, 2020factForm ADV
← THOMAS A WYCKOFFAdvisorregistration: previous registration
Mar 21, 2011 to Oct 5, 2020factForm ADV
← ARA FREEDMANAdvisorregistration: previous registration
Apr 10, 2012 to Oct 5, 2020factForm ADV
← CHRISTOPHER ANTHONY PANAGIOTUAdvisorregistration: previous registration
May 11, 2015 to Oct 5, 2020factForm ADV
← Hillary Dale MooreAdvisorregistration: previous registration
Jun 16, 2020 to Oct 5, 2020factForm ADV
← Marisa FordAdvisorregistration: previous registration
Jul 10, 2019 to Oct 5, 2020factForm ADV
← Lance Taylor PetersAdvisorregistration: previous registration
Jun 13, 2019 to Oct 5, 2020factForm ADV
← Darren Joseph PolandAdvisorregistration: previous registration
Sep 17, 2019 to Oct 5, 2020factForm ADV
← CATHERINE ANN FORDAdvisorregistration: previous registration
Apr 20, 2010 to Sep 14, 2020factForm ADV
and 36 more

Moved with (2)

→ LPL FINANCIAL LLCRegistered adviser2 advisors, team lift out
Sep 4, 2020 to Sep 10, 2020factForm ADV
→ PINHOOK CAPITAL, LLCRegistered adviser3 advisors, team lift out, same day
Oct 5, 2020 to Jun 14, 2018factForm ADV

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Oct 30, 2020
Regulatory AUM changed
Lucia Capital Group reported RAUM $128.2M, down 91% from $1.5B (2020-09-16 to 2020-10-30)
Form ADVobserved 5 days ago
$-1.3B
Occurred
Mar 22, 2018
Regulatory AUM changed
Lucia Capital Group reported RAUM $1.4B, down 42% from $2.4B (2018-03-06 to 2018-03-22)
Form ADVobserved 5 days ago
$-1.0B
Occurred
Mar 6, 2018
Regulatory AUM changed
Lucia Capital Group reported RAUM $2.4B, up 378% from $497.2M (2017-09-29 to 2018-03-06)
Form ADVobserved 5 days ago
$1.9B

Show 2 bookkeeping events

Occurred
Oct 30, 2020
Lucia Capital Group reported 2 offices beyond its principal office, down from 20 (2020-09-16 to 2020-10-30)
Occurred
Oct 30, 2020
Lucia Capital Group reported 2 state-registered advisory representatives, down from 32 (2020-09-16 to 2020-10-30)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e04cf76b-caf5-19c2-18b1-046f58e544f6
First observed: Nov 8, 2011
Last observed: Nov 25, 2020 70 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.

LUCIA CAPITAL GROUP

LUCIA WEALTH SERVICES, LLC, CRD 152396

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:e04cf76b-caf5-19c2-18b1-046f58e544f6

Data as of Nov 25, 2020 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:07 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

LUCIA CAPITAL GROUP, LLC

LLC

yes

01/2010

Mar 18, 2016

Nov 25, 2020

LUCIA, JOSEPH, PAUL

Member

yes

06/2013

Mar 11, 2013

Nov 25, 2020

LUCIA, JOSEPH, PAUL

President

yes

01/2013

Mar 11, 2013

Nov 25, 2020

LUCIA, RAYMOND, JOSEPH

MANAGING MEMBER/CHAIRMAN

yes

01/2010

Nov 8, 2011

Nov 25, 2020

LUCIA, RAYMOND, JOSEPH

MANAGING MEMBER/ CHAIRMAN

yes

01/2010

Nov 8, 2011

Nov 25, 2020

PALERMO, VIKTORIA, IRENA

CHIEF COMPLIANCE OFFICER

yes

03/2018

Apr 11, 2018

Nov 25, 2020

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

VALIDUS GROWTH INVESTORS, LLC

n/a

Asset manager

$353M

n/a

15 EQUITY

n/a

Independent wealth

$136M

yes

n/a

LUCIA SECURITIES, LLC

n/a

yes

City

State

Country

Employees

Also broker-dealer

SANTA BARBARA

United States

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Mar 27, 2020

$1.5B

$1.1B

n/a

2018

Mar 26, 2019

$1.3B

$900M

n/a

2017

Mar 6, 2018

$2.4B

$1.4B

n/a

2016

Mar 31, 2017

$497M

$409M

n/a

2015

Mar 18, 2016

$499M

$376M

n/a

2014

Mar 30, 2015

$499M

$262M

n/a

2013

Mar 31, 2014

$391M

$201M

n/a

2012

Mar 11, 2013

$332M

$285M

n/a

2011

Apr 30, 2012

$279M

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

$128M

$1.3B

-90.1%

$497M

-36.3%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

LPL FINANCIAL LLC

Dec 31, 2020

Sep 1, 2020

SAN DIEGO, CA

Firm absorbed

RIA to ibd

66.7%

PINHOOK CAPITAL, LLC

Oct 5, 2020

Jun 14, 2018

SAN DIEGO, CA

Team lift out

Other

10.3%

LPL FINANCIAL LLC

Oct 5, 2020

Sep 1, 2020

SAN DIEGO, CA

Firm absorbed

RIA to ibd

62.1%

LPL FINANCIAL LLC

Sep 4, 2020

Sep 10, 2020

SAN DIEGO, CA

Team lift out

RIA to ibd

6.5%