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JOSEPH P. LUCIA & ASSOCIATES, LLC

YORKTOWN HEIGHTS, NY · CRD 147625 · IAPD ↗ · luciaandassociates.net · 914-352-6600

$388.0MRegulatory AUM
3Advisory reps
5Employees
0Clients
11-25Planning clients
0Private funds
9States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

63
April 2026 — JOSEPH P. LUCIA & ASSOCIATES, LLC reported RAUM up 28% ($303.3M -> $388.0M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
47
May 2024 — JOSEPH P. LUCIA & ASSOCIATES, LLC notice-filed in NC, SC.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
68
March 2024 — JOSEPH P. LUCIA & ASSOCIATES, LLC now reports custody of client assets ($63.8M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.