Top Institutional Investors

Joseph P. Lucia & Associates, LLC — 13F Holdings & Portfolio

CIK 1775391 · latest 13F-HR filed 2026-08-07

Backtest portfolio

Joseph P. Lucia & Associates, LLC manages $332.6M in 13F-reported U.S. long-equity assets across 188 reported positions as of its 2026-06-30 13F-HR filing. Its largest disclosed positions are SMH (7.01%), AAPL (3.99%), NVDA (3.31%). Quarter over quarter (versus its 2026-03-31 filing) the fund opened 20 new positions and exited 1; 99 existing positions rose in reported value and 31 fell.

AUM is the long-equity portion reported on Form 13F-HR. Excludes short positions, cash, foreign holdings, and non-13F assets. For informational purposes only — not investment advice.

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AUM
$332.6M

Long-equity book

Holdings
188

Distinct positions

Period
2026-06-30

Filed 2026-08-07

Q/Q Activity
+20 / −1 / ↑99 / ↓31

vs 2026-03-31

Portfolio charts

Latest quarter's book, what changed, and how the portfolio has evolved across filings.

Portfolio map

Q2 26
SMH7.0% · -1%AAPL4.0% · -1%NVDA3.3% · -1%SCHB3.1% · +4%RSPT2.8% · -2%SPY2.7% · +1%NOBL2.6% · +99%AMZN2.6% · -0%XLK2.4% · -2%QQQ2.3% · +6%SCHG2.2% · -2%BINC2.1% · -0%SCHD2.0% · +16%RSP2.0% · +5%AGG1.9% · +8%RSPF1.8% · +0%DVY1.7% · +16%JEPI1.6% · +25%LQD1.5% · +6%XLF1.5% · +11%HACK1.4% · -0%VOO1.3% · +38%XLE1.2% · -3%XLI1.1% · +45%RSPH1.1% · -0%SOXX1.1% · -0%XLV1.0% · -1%VIG0.9% · +5%SCHA0.9% · -0%RSPN0.9% · -1%VB0.9% · -1%BIV0.9% · -3%XLU0.9% · +6%VOT0.9% · -2%XLB0.9% · +11%SCHX0.8% · -6%SCHM0.8% · 0%SDOG0.8% · -1%RSPG0.8% · -2%META0.8% · -3%GOOGL0.7% · -3%JEPQ0.7% · +12%QYLD0.7% · +1%AVUV0.7% · -0%APRW0.7% · +28%FTSD0.7% · -1%EMB0.7% · +38%JANW0.5% · 0%ITA0.5% · +2%SDSI0.5% · +20%GPIX0.5% · +2%RSPS0.5% · -0%PFXF0.4% · -4%XNTK0.4% · -1%PFF0.4% · -8%RSPD0.4% · 0%UBER0.4% · -10%BCTK0.4% · -9%IBM0.4% · +6%FLUD0.4% · new

Box size = position value; colour = change in share count vs the prior quarter (green added, red trimmed, blue new). Rows split across managers or share classes are combined. Click a box for the stock.

Sector mix

% of 13F value

Sectors from each company's SIC code; funds and ETFs grouped separately.

Biggest buys and sells

Q1 26 → Q2 26

Estimated from the change in shares held × the quarter-end price, so price moves alone don't count as buying. New and exited positions are included.

13F assets and positions

4 quarters

Total reported 13F value (bars) and number of positions (line) each quarter. Value changes include market moves.

Top positions over time

reported value

The eight largest current positions, valued at each quarter end.

Concentration

top 10 = 32.8%

Cumulative share of the portfolio held in the largest N positions.

Firm Profile & Key People

As of the firm’s regulatory filing dated Mar 25, 2026.

Assets Under Management
$388.0M
Discretionary
$388.0M
Employees
5
Accounts
1,645
Address
3505 HILL BLVD.
SUITE J
YORKTOWN HEIGHTS, NY 10598
Phone
(914) 352-6600
Website
Name Title / Status Ownership Type
LUCIA, JOSEPH, PAUL ControlMANAGING PRINCIPAL/CHIEF COMPLIANCE OFFICER
since Jul 2008
75% or moreIndividual

Quarter-over-quarter changes

Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.

Top Adds (vs prior quarter)

Show all 99 →

Top Trims

Show all 31 →

New Positions

Show all 20 →

Exited Positions

Show all 1 →

Joseph P. Lucia & Associates, LLC Holdings (2026-06-30)

Rows tagged Call or Put are options positions, not stock. Per SEC Form 13F-HR, Value shows the notional value of the underlying (shares covered × underlying price), not the option premium. Shares is the number of underlying shares covered (divide by 100 for contract count).

# Issuer Symbol CUSIP Value Weight Shares Type
1 VANECK ETF TRUST SMH 92189F676 $23.3M 7.01% 35,559 SH
2 APPLE INC AAPL 037833100 $13.3M 3.99% 45,874 SH
3 NVIDIA CORPORATION NVDA 67066G104 $11.0M 3.31% 55,049 SH
4 SCHWAB STRATEGIC TR SCHB 808524102 $10.2M 3.07% 352,641 SH
5 INVESCO EXCHANGE TRADED FD T RSPT 46137V282 $9.2M 2.77% 143,025 SH
6 STATE STR SPDR S&P 500 ETF T SPY 78462F103 $8.9M 2.68% 11,909 SH
7 PROSHARES TR NOBL 74348A467 $8.7M 2.62% 154,967 SH
8 AMAZON COM INC AMZN 023135106 $8.6M 2.59% 36,128 SH
9 SELECT SECTOR SPDR TR XLK 81369Y803 $8.1M 2.43% 42,378 SH
10 INVESCO QQQ TR QQQ 46090E103 $7.7M 2.30% 10,378 SH
11 SCHWAB STRATEGIC TR SCHG 808524300 $7.5M 2.25% 220,706 SH
12 BLACKROCK ETF TRUST II BINC 092528603 $7.1M 2.13% 135,438 SH
13 SCHWAB STRATEGIC TR SCHD 808524797 $6.7M 2.03% 212,780 SH
14 INVESCO EXCHANGE TRADED FD T RSP 46137V357 $6.5M 1.96% 30,687 SH
15 ISHARES TR AGG 464287226 $6.2M 1.87% 62,691 SH
16 INVESCO EXCHANGE TRADED FD T RSPF 46137V340 $6.1M 1.84% 78,992 SH
17 ISHARES TR DVY 464287168 $5.7M 1.71% 36,386 SH
18 J P MORGAN EXCHANGE TRADED F JEPI 46641Q332 $5.5M 1.64% 96,503 SH
19 ISHARES TR LQD 464287242 $5.0M 1.49% 45,485 SH
20 SELECT SECTOR SPDR TR XLF 81369Y605 $4.9M 1.47% 90,938 SH
21 AMPLIFY ETF TR HACK 032108664 $4.8M 1.43% 45,467 SH
22 VANGUARD INDEX FDS VOO 922908363 $4.4M 1.33% 6,440 SH
23 SELECT SECTOR SPDR TR XLE 81369Y506 $4.0M 1.21% 76,024 SH
24 SELECT SECTOR SPDR TR XLI 81369Y704 $3.8M 1.14% 20,408 SH
25 INVESCO EXCHANGE TRADED FD T RSPH 46137V332 $3.7M 1.12% 112,545 SH
26 ISHARES TR SOXX 464287523 $3.6M 1.09% 5,668 SH
27 SELECT SECTOR SPDR TR XLV 81369Y209 $3.2M 0.97% 20,408 SH
28 VANGUARD SPECIALIZED FUNDS VIG 921908844 $3.0M 0.92% 12,868 SH
29 SCHWAB STRATEGIC TR SCHA 808524607 $3.0M 0.91% 83,638 SH
30 INVESCO EXCHANGE TRADED FD T RSPN 46137V324 $3.0M 0.91% 47,088 SH
31 VANGUARD INDEX FDS VB 922908751 $2.9M 0.88% 9,643 SH
32 VANGUARD BD INDEX FDS BIV 921937819 $2.9M 0.88% 38,098 SH
33 SELECT SECTOR SPDR TR XLU 81369Y886 $2.9M 0.87% 63,877 SH
34 VANGUARD INDEX FDS VOT 922908538 $2.9M 0.87% 9,434 SH
35 SELECT SECTOR SPDR TR XLB 81369Y100 $2.9M 0.87% 56,629 SH
36 SCHWAB STRATEGIC TR SCHX 808524201 $2.8M 0.84% 94,370 SH
37 SCHWAB STRATEGIC TR SCHM 808524508 $2.5M 0.76% 68,648 SH
38 ALPS ETF TR SDOG 00162Q858 $2.5M 0.76% 37,026 SH
39 INVESCO EXCHANGE TRADED FD T RSPG 46137V365 $2.5M 0.76% 25,677 SH
40 META PLATFORMS INC META 30303M102 $2.5M 0.75% 4,433 SH
41 ALPHABET INC GOOGL 02079K305 $2.5M 0.75% 6,938 SH
42 J P MORGAN EXCHANGE TRADED F JEPQ 46654Q203 $2.5M 0.74% 40,202 SH
43 GLOBAL X FDS QYLD 37954Y483 $2.4M 0.71% 128,483 SH
44 AMERICAN CENTY ETF TR AVUV 025072877 $2.3M 0.70% 18,617 SH
45 AIM ETF PRODUCTS TRUST APRW 00888H208 $2.3M 0.70% 62,250 SH
46 FRANKLIN ETF TR FTSD 353506108 $2.3M 0.69% 25,425 SH
47 ISHARES TR EMB 464288281 $2.3M 0.68% 23,412 SH
48 AIM ETF PRODUCTS TRUST JANW 00888H802 $1.7M 0.52% 44,755 SH
49 ISHARES TR ITA 464288760 $1.7M 0.50% 6,855 SH
50 AMERICAN CENTY ETF TR SDSI 025072257 $1.6M 0.49% 31,412 SH
Filing History
Period Filed AUM Holdings Accession
2026-06-30 2026-08-07 $332.6M 188 0001172661-26-003168
2026-03-31 2026-05-15 $279.7M 169 0001172661-26-002008
2025-12-31 2026-01-28 $277.3M 166 0001172661-26-000357
2025-09-30 2025-10-20 $265.1M 161 0001172661-25-004332
Filer Information
Address
3505 HILL BLVD.
SUITE J
YORKTOWN HEIGHTS, NY 10598
Phone
(914) 352-6600
Filing Manager
Joseph P. Lucia & Associates, LLC
Yorktown Heights, NY
Signatory
Joseph P. Lucia
President/Chief Compliance Officer