DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Lucia Capital Group

Former SEC-registered adviserSan Diego, CaliforniaCRD 152396SEC 801-71073IAPD
Legal name Lucia Wealth Services, LLC
Latest filing Nov 25, 2020
First filing on the tape Nov 8, 2011 · 46 filings
RAUM
$128M
reported, Item 5.F
Discretionary
86%
of RAUM
Private clients
81%
$104M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
46 filings and snapshots on the tape
RAUM$1.5B as of Mar 27, 2020
Apr 30, 2012$279M then
HNW client RAUM$772M as of Mar 27, 2020
Mar 6, 2018$365M then
State-registered IARs (5.B.3)32 as of Mar 27, 2020
Mar 11, 201320 then
Employees (5.A)69 as of Mar 27, 2020
Mar 11, 201337 then
Private funds: no history
RAUM -90% over the last fiscal year-36% a year over threeIARs 29 to 2offices 22 to 2
Practice profile
derived from the filing of Nov 25, 2020; every figure names its basis
RAUM per advisor
$64.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
28derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.2MderivedHNW RAUM over HNW clients
Average account
$1.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
86%derivedof RAUM
Institutional
4.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
0.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+13%derivedbetween the last two annual amendments
Advisor growth, one year
+10%derivedItem 5.B.3 between annual amendments
Client growth, one year
+2.5%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisers, publicationsreportedItem 5.G
Wrap fee program
$1.1MreportedItem 5.I
Custody
$128M, 61 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$98.6M77%
  • Corporations and businesses$19.0M15%
  • Individuals$5.3M4.1%
  • Charitable organizations$5.0M3.9%
  • Pension and profit-sharing plans$402,7620.3%
Individual clients
12reported
HNW clients
44reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
91reported
Financial planning clients
101-250reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$128M for 61 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Paul Joseph Lucia · Presidentcontrol
      since 01/2013 · owns 10% to 25%
    • Joseph Raymond Lucia · Managing Member/ Chairmancontrol
      since 01/2010 · owns 75% or more
    • Irena Viktoria Palermo · Chief Compliance Officercontrol
      since 03/2018 · owns less than 5%
    • Paul Joseph Lucia · Membercontrol
      since 06/2013 · owns 25% to 50% of Lucia Capital Group
    • Joseph Raymond Lucia · Managing Member/Chairmancontrol
      since 01/2010 · owns 75% or more of Lucia Capital Group, LLC
    Entity owners
    • Lucia Capital Group, LLC · LLC
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    Advisers that list Lucia Capital Group as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • Santa Barbara, CA3 employees
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 5,735 to 91
      Sep 16, 2020 to Oct 30, 2020
    • Advisory employees · 27 to 6
      Sep 16, 2020 to Oct 30, 2020
    • Advisory activities · 6 to 5
      Sep 16, 2020 to Oct 30, 2020
    • BD registered reps · 38 to 4
      Sep 16, 2020 to Oct 30, 2020
    • Corporate clients · 19 to 13
      Sep 16, 2020 to Oct 30, 2020
    • HNW clients · 1,054 to 44
      Sep 16, 2020 to Oct 30, 2020
    • Individual clients · 3,066 to 12
      Sep 16, 2020 to Oct 30, 2020
    • Pension plan clients · 62.0 to unset
      Sep 16, 2020 to Oct 30, 2020
    • Assets in custody · $842M to $128M
      Sep 16, 2020 to Oct 30, 2020
    • Employees · 69 to 6
      Sep 16, 2020 to Oct 30, 2020
    • Insurance-licensed employees · 8 to 4
      Sep 16, 2020 to Oct 30, 2020
    • State-registered IARs · 32 to 2
      Sep 16, 2020 to Oct 30, 2020
    • Other offices · 20 to 2
      Sep 16, 2020 to Oct 30, 2020
    • Discretionary RAUM · $1.1B to $110M
      Sep 16, 2020 to Oct 30, 2020
    • HNW RAUM · $772M to $98.6M
      Sep 16, 2020 to Oct 30, 2020
    • Individual RAUM · $646M to $5.3M
      Sep 16, 2020 to Oct 30, 2020
    • Non-discretionary RAUM · $354M to $18.5M
      Sep 16, 2020 to Oct 30, 2020
    • Pension RAUM · $22.4M to $402,762
      Sep 16, 2020 to Oct 30, 2020
    • RAUM · $1.5B to $128M
      Sep 16, 2020 to Oct 30, 2020
    • Accounts · 5,963 to 5,735
      Aug 30, 2019 to Mar 27, 2020
    • Advisory employees · 26 to 27
      Aug 30, 2019 to Mar 27, 2020
    • Advisory activities · 4 to 6
      Aug 30, 2019 to Mar 27, 2020
    • Corporate clients · 20 to 19
      Aug 30, 2019 to Mar 27, 2020
    • HNW clients · 767 to 1,054
      Aug 30, 2019 to Mar 27, 2020
    • Individual clients · 3,253 to 3,066
      Aug 30, 2019 to Mar 27, 2020
    • Pension plan clients · 63 to 62
      Aug 30, 2019 to Mar 27, 2020
    • Assets in custody · $889M to $842M
      Aug 30, 2019 to Mar 27, 2020
    • Employees · 75 to 69
      Aug 30, 2019 to Mar 27, 2020
    • Financial planning clients · 51-100 to 101-250
      Aug 30, 2019 to Mar 27, 2020
    • State-registered IARs · 29 to 32
      Aug 30, 2019 to Mar 27, 2020
    • Other offices · 22 to 20
      Aug 30, 2019 to Mar 27, 2020
    • Discretionary RAUM · $900M to $1.1B
      Aug 30, 2019 to Mar 27, 2020
    • HNW RAUM · $607M to $772M
      Aug 30, 2019 to Mar 27, 2020
    • Individual RAUM · $648M to $646M
      Aug 30, 2019 to Mar 27, 2020
    • Non-discretionary RAUM · $390M to $354M
      Aug 30, 2019 to Mar 27, 2020
    • Pension RAUM · $19.1M to $22.4M
      Aug 30, 2019 to Mar 27, 2020
    • RAUM · $1.3B to $1.5B
      Aug 30, 2019 to Mar 27, 2020
    • Accounts · 3,727 to 5,963
      Nov 30, 2018 to Mar 26, 2019
    • Advisory employees · 25 to 26
      Nov 30, 2018 to Mar 26, 2019
    • BD registered reps · 31 to 38
      Nov 30, 2018 to Mar 26, 2019
    Signals
    5 dated events
    • Lucia Capital Group reported 2 offices beyond its principal office, down from 20 (2020-09-16 to 2020-10-30)
      Oct 30, 2020 · Office count change · derived
    • Lucia Capital Group reported 2 state-registered advisory representatives, down from 32 (2020-09-16 to 2020-10-30)
      Oct 30, 2020 · Advisor headcount change · derived
    • Lucia Capital Group reported RAUM $128.2M, down 91% from $1.5B (2020-09-16 to 2020-10-30)
      Oct 30, 2020 · RAUM change · derived
    • Lucia Capital Group reported RAUM $1.4B, down 42% from $2.4B (2018-03-06 to 2018-03-22)
      Mar 22, 2018 · RAUM change · derived
    • Lucia Capital Group reported RAUM $2.4B, up 378% from $497.2M (2017-09-29 to 2018-03-06)
      Mar 6, 2018 · RAUM change · derived
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026