LW
Lucia Wealth Services, LLC Historical SEC 13F Holdings & Archive (Q3 2020)
Lucia Wealth Services, LLCCIK: 0001730471
Diversified strategyMomentum followerSector-focused
Total reported value
$426.2M
Reporting period: 2020-09-30 · Number of holdings: 177
Lucia Wealth Services, LLC disclosed 177 holdings in its latest 13F filing for the period ending 2020-09-30, with total reported value of $426.2M and a quarterly turnover rate of 14.0%.
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Personality snowflake
- Concentration
- 11.34
- Portfolio Stability
- 13.98
- Momentum
- 100
- Sector conviction
- 90.71
- Diversification
- 100
- Sizing Uniformity
- 79.9
Lucia Wealth Services, LLC's disclosed holdings carry a Herfindahl concentration index of 0.028 — mathematically equivalent to about 35 equally-sized positions, well below its 177 actual disclosed holdings. That gap points to a strategy built around a small core of high-conviction bets rather than broad diversification.
Position sizes vary widely across the portfolio (a coefficient of variation of 2.01), with a handful of outsized bets alongside many smaller positions.
No strong tilt toward either adding to existing winners or initiating outsized new positions was observed in the latest reported quarter.
Sector classification currently covers about 39% of this portfolio's disclosed value; the remainder includes holdings (e.g. unmapped tickers, options, or other security types) not yet covered by our sector mapping.
Source and citation information
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Recent moves
View source Form 13F filing on SEC.govAdd AAPL
+305.6% $5.7M
Add 0VVB
+2.1% $3.6M
Trim HUSV
-5.2% $274.0K
Add PHYS
+26.0% $2.3M
Add VTI
+30.8% $1.6M
Add CRM
+37.0% $1.2M
Holdings Map
New buyAddUnchangedTrim
Top 10 holdings by weight
Full holdings list this quarter
| # | Ticker | Issuer | Asset Subclass | Weight | Weight Change | Shares Change | 4Q Trend |
|---|---|---|---|---|---|---|---|
| 1 | JNJ | Johnson & Johnson | Stock-Healthcare | 6.71% | -0.09% | +4.84% | |
| 2 | AAPL | Apple Inc | Stock-Tech | 6.02% | +0.75% | +305.57% | |
| 3 | MSFT | Microsoft CORP | Stock-Tech | 5.46% | -0.23% | +4.55% | |
| 4 | BR | Broadridge Financial Solutio | Stock-Tech | 4.89% | -0.22% | +2.88% | |
| 5 | 0VVB | Paramount Global-class B | Stock-Other | 4.53% | +0.37% | +2.12% | |
| 6 | MRK | Merck & Co. Inc. | Stock-Healthcare | 4.34% | +0.14% | +8.33% | |
| 7 | KMB | Kimberly-clark CORP | Stock-Consumer Staples | 3.89% | -0.13% | +4.25% | |
| 8 | GOOG | Alphabet Inc-cl C | Stock-Comm Services | 3.51% | -0.16% | +3.55% | |
| 9 | HUSV | Ft Horizon Mngd Vol Dom ETF | ETF-Other | 3.41% | -0.35% | -5.23% | |
| 10 | HSY | Hershey Co/the | Stock-Consumer Staples | 3.33% | +0.11% | +5.52% | |
| 11 | ADP | Automatic Data Processing | Stock-Tech | 2.63% | — | +5.78% | |
| 12 | KEL | Kellanova | Stock-Other | 2.55% | — | +4.24% | |
| 13 | CLX | Clorox Company | Stock-Consumer Staples | 2.46% | — | +2.37% | |
| 14 | PHYS | Sprott Physical Gold Trust | Stock-Other | 2.22% | +0.33% | +26.00% | |
| 15 | IBM | Intl Business Machines CORP | Stock-Tech | 2.10% | -0.12% | +5.57% | |
| 16 | VRIG | Invesco Variable Rate Invest | ETF-Other | 1.81% | — | -3.32% | |
| 17 | MKC | Mccormick & Co-non Vtg Shrs | Stock-Consumer Staples | 1.63% | -0.01% | +3.46% | |
| 18 | SPTL | Ss Spdr Pf Lng Trm Tsy E-usd | ETF-Other | 1.60% | -0.08% | +7.36% | |
| 19 | SPMB | Ss Spdr P Mort Back Bond ETF | ETF-Other | 1.56% | — | +0.70% | |
| 20 | FLRN | Ss Spdr Bb Ig Float Rt ETF | ETF-Other | 1.35% | — | -1.55% | |
| 21 | TOTL | Ss Doubleline Tr Tact ETF | ETF-Other | 1.34% | +0.03% | +15.90% | |
| 22 | VTI | Vanguard Total Stock Mkt ETF | ETF-Other | 1.26% | +0.26% | +30.75% | |
| 23 | SPTI | Ss Spdr P Int Term Tsy ETF | ETF-Other | 1.17% | — | +1.86% | |
| 24 | LMBS | First Trust Low Duration Opp | ETF-Other | 0.85% | +0.03% | +16.02% | |
| 25 | JNK | Ss Spdr Bb High Yield Bond | ETF-High Yield | 0.81% | +0.03% | +14.78% | |
| 26 | CCI | Crown Castle Inc | Stock-Real Estate | 0.78% | +0.10% | +29.91% | |
| 27 | SYG1EUR | Spdr Mfs Systematic Gr Equit | ETF-Other | 0.78% | — | -13.74% | |
| 28 | FVD | First Trust Value Line Dvd | ETF-Other | 0.71% | — | -7.42% | |
| 29 | FTC | First Trust Large Cap Growth | ETF-Large Cap & Growth | 0.65% | — | -13.63% | |
| 30 | ADBE | Adobe Inc | Stock-Tech | 0.65% | +0.16% | +30.81% | |
| 31 | SKYY | First Trust Cloud Computing | ETF-Other | 0.64% | -0.16% | -14.41% | |
| 32 | SPDW | Ste Str Spdr Pt Dw EU ETF | ETF-Other | 0.62% | -0.14% | -13.56% | |
| 33 | CRM | Salesforce Inc | Stock-Tech | 0.61% | +0.24% | +37.04% | |
| 34 | TTWO | Take-two Interactive Softwre | Stock-Comm Services | 0.60% | +0.18% | +36.95% | |
| 35 | ICLR | ICON Public Limited Company | Stock-Healthcare | 0.60% | +0.17% | +39.32% | |
| 36 | VIG | Vanguard Dividend Apprec ETF | ETF-Other | 0.60% | — | -2.24% | |
| 37 | ✓ | Cyberark Software LTD. Cmn | Stock-Other | 0.58% | +0.13% | +38.24% | |
| 38 | FYC | First Trust Small Cap Growth | ETF-Small Cap | 0.57% | — | -13.70% | |
| 39 | SPY | Ss Spdr S&p 500 ETF Trust-us | ETF-Large Cap & Growth | 0.56% | +0.06% | +16.28% | |
| 40 | BMY | Bristol-myers Squibb Co | Stock-Healthcare | 0.54% | +0.05% | +20.33% | |
| 41 | BABA | Alibaba Group Holding-sp Adr | Stock-Consumer Disc | 0.52% | +0.21% | +41.39% | |
| 42 | META | Meta Platforms Inc-class A | Stock-Comm Services | 0.51% | +0.10% | +21.16% | |
| 43 | BIL | Ss Spdr Bb 1-3m T-bill ETF | ETF-Gov Bonds | 0.50% | +0.01% | +16.46% | |
| 44 | BRK-B | Berkshire Hathaway Inc-cl B | Stock-Other | 0.50% | +0.10% | +17.28% | |
| 45 | LOW | Lowe's Cos Inc | Stock-Consumer Disc | 0.44% | +0.10% | +18.75% | |
| 46 | PYPL | Paypal Holdings Inc | Stock-Financials | 0.43% | +0.05% | +11.54% | |
| 47 | AKAM | Akamai Technologies Inc | Stock-Tech | 0.42% | +0.11% | +46.66% | |
| 48 | AMAT | Applied Materials Inc | Stock-Tech | 0.41% | — | +12.20% | |
| 49 | MDYG | Ss Spdr S&p 400 Mc Gr ETF | ETF-Other | 0.41% | — | -12.71% | |
| 50 | UPS | United Parcel Service-cl B | Stock-Industrials | 0.38% | +0.10% | +4.48% |
1–50 of 177
Reported value over time
Sector allocation
Sector allocation over time
Quarterly history
Holding changes this quarter
Lucia Wealth Services, LLC's most significant position changes for 2020-09-30: Add: Apple Inc (AAPL) — shares +305.57%; Add: Paramount Global-class B (0VVB) — shares +2.12%; Trim: Ft Horizon Mngd Vol Dom ETF (HUSV) — shares -5.23%; Add: Sprott Physical Gold Trust (PHYS) — shares +26.00%; Add: Vanguard Total Stock Mkt ETF (VTI) — shares +30.75%.
| # | Ticker | Issuer | Weight Change | Shares Change | Action |
|---|---|---|---|---|---|
| 1 | AAPL | Apple Inc | +0.8% | +305.57% | Add |
| 2 | 0VVB | Paramount Global-class B | +0.4% | +2.12% | Add |
| 3 | PHYS | Sprott Physical Gold Trust | +0.3% | +26.00% | Add |
| 4 | VTI | Vanguard Total Stock Mkt ETF | +0.3% | +30.75% | Add |
| 5 | CRM | Salesforce Inc | +0.2% | +37.04% | Add |
| 6 | BABA | Alibaba Group Holding-sp Adr | +0.2% | +41.39% | Add |
| 7 | TTWO | Take-two Interactive Softwre | +0.2% | +36.95% | Add |
| 8 | ICLR | ICON Public Limited Company | +0.2% | +39.32% | Add |
| 9 | ADBE | Adobe Inc | +0.2% | +30.81% | Add |
| 10 | MRK | Merck & Co. Inc. | +0.1% | +8.33% | Add |
| 11 | ✓ | Cyberark Software LTD. Cmn | +0.1% | +38.24% | Add |
| 12 | HSY | Hershey Co/the | +0.1% | +5.52% | Add |
| 13 | AKAM | Akamai Technologies Inc | +0.1% | +46.66% | Add |
| 14 | CCI | Crown Castle Inc | +0.1% | +29.91% | Add |
| 15 | META | Meta Platforms Inc-class A | +0.1% | +21.16% | Add |
| 16 | BRK-B | Berkshire Hathaway Inc-cl B | +0.1% | +17.28% | Add |
| 17 | UPS | United Parcel Service-cl B | +0.1% | +4.48% | Add |
| 18 | LOW | Lowe's Cos Inc | +0.1% | +18.75% | Add |
| 19 | NBIS | Nebius Group N.V. | +0.1% | +16.13% | Add |
| 20 | MDT | Medtronic plc | +0.1% | +27.48% | Add |
| 21 | IQV | Iqvia Holdings Inc | +0.1% | +26.77% | Add |
| 22 | SPY | Ss Spdr S&p 500 ETF Trust-us | +0.1% | +16.28% | Add |
| 23 | FISV | Fiserv Inc | +0.1% | +31.38% | Add |
| 24 | NTES | Netease Inc-adr | +0.1% | +34.70% | Add |
| 25 | BMY | Bristol-myers Squibb Co | +0.1% | +20.33% | Add |
| 26 | PYPL | Paypal Holdings Inc | +0.1% | +11.54% | Add |
| 27 | CERNCHF | Cerner CORP | +0.1% | +26.40% | Add |
| 28 | ACN | Accenture plc | +0.1% | +24.15% | Add |
| 29 | AON | Aon plc | +0.1% | +26.65% | Add |
| 30 | SWKS | Skyworks Solutions Inc | +0.1% | +22.13% | Add |
| 31 | NVO | Novo-nordisk A/s-spons Adr | 0% | +25.50% | Add |
| 32 | TGT | Target CORP | 0% | +5.35% | Add |
| 33 | TOTL | Ss Doubleline Tr Tact ETF | 0% | +15.90% | Add |
| 34 | JNK | Ss Spdr Bb High Yield Bond | 0% | +14.78% | Add |
| 35 | LMBS | First Trust Low Duration Opp | 0% | +16.02% | Add |
| 36 | BRK-A | Berkshire Hathaway Inc-cl A | 0% | — | Unchanged |
| 37 | LULU | Lululemon Athletica Inc | 0% | +21.27% | Add |
| 38 | BIL | Ss Spdr Bb 1-3m T-bill ETF | 0% | +16.46% | Add |
| 39 | MKC | Mccormick & Co-non Vtg Shrs | 0% | +3.46% | Add |
| 40 | SPTL | Ss Spdr Pf Lng Trm Tsy E-usd | -0.1% | +7.36% | Add |
| 41 | JNJ | Johnson & Johnson | -0.1% | +4.84% | Add |
| 42 | IBM | Intl Business Machines CORP | -0.1% | +5.57% | Add |
| 43 | KMB | Kimberly-clark CORP | -0.1% | +4.25% | Add |
| 44 | SPDW | Ste Str Spdr Pt Dw EU ETF | -0.1% | -13.56% | Trim |
| 45 | GOOG | Alphabet Inc-cl C | -0.2% | +3.55% | Add |
| 46 | SKYY | First Trust Cloud Computing | -0.2% | -14.41% | Trim |
| 47 | DVY | Ishares Select Dividend ETF | -0.2% | -84.81% | Trim |
| 48 | BR | Broadridge Financial Solutio | -0.2% | +2.88% | Add |
| 49 | MSFT | Microsoft CORP | -0.2% | +4.55% | Add |
| 50 | HUSV | Ft Horizon Mngd Vol Dom ETF | -0.4% | -5.23% | Trim |
Filing History
FAQ
What is Lucia Wealth Services, LLC and what type of investor is it?
Lucia Wealth Services, LLC is an investment manager that files SEC Form 13F quarterly, disclosing its U.S. public equity holdings to regulators. As of the most recent reporting period (2020-09-30), the firm manages a tracked equity portfolio valued at approximately $426.2M, spread across 177 disclosed positions.
What are Lucia Wealth Services, LLC's largest equity positions?
Based on the latest 13F filing, Lucia Wealth Services, LLC's top holdings by market value are:
1. Johnson & Johnson (JNJ) — $28.6M (6.7%)
2. Apple Inc (AAPL) — $25.7M (6.0%)
3. Microsoft CORP (MSFT) — $23.3M (5.5%)
4. Broadridge Financial Solutio (BR) — $20.8M (4.9%)
5. Paramount Global-class B (0VVB) — $19.3M (4.5%)
What changes did Lucia Wealth Services, LLC make in its most recent portfolio filing?
In the latest reported quarter, Lucia Wealth Services, LLC made 49 notable position adjustments: 0 new positions were initiated, 45 existing holdings were added to, 4 positions were partially reduced, and 0 were completely exited. The largest of these moves: Add: Apple Inc (AAPL) — shares +305.57%; Add: Paramount Global-class B (0VVB) — shares +2.12%; Trim: Ft Horizon Mngd Vol Dom ETF (HUSV) — shares -5.23%; Add: Sprott Physical Gold Trust (PHYS) — shares +26.00%; Add: Vanguard Total Stock Mkt ETF (VTI) — shares +30.75%
What sectors does Lucia Wealth Services, LLC focus on?
Lucia Wealth Services, LLC is concentrated in the following sectors based on its current disclosed equity portfolio:
• Information Technology: 41.8%
• Health Care: 32.4%
• Communication Services: 13.2%
• Consumer Discretionary: 5.7%
• Financials: 4.0%
• Industrials: 2.4%
💡
Data Source Notice: AlphaSMO is the web's most authoritative 13F / Inside Trader database. Institutional holdings and insider trades presented here are precisely computed to deliver accurate portfolio reporting.
Investment Profile
Lucia Wealth Services, LLC's portfolio is broadly diversified and long-term-holding, with 41.8% of the portfolio concentrated in Information Technology.
It has added to its AAPL position over the past two quarters (+$13.4M, now $25.7M), while trimming VMBS over the same stretch (-$2.4M, still holding $201.0K).
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Developer Access
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