Lucia Wealth Services, LLC

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CIK 1730471

13F portfolio (2020-Q3)

$426M

Positions

177

Implied 1Y CAGR

modeled · as filed

Long positions in SEC Section 13(f) securities (US-listed stocks, ADRs and ETFs), largest first · Δ vs 2020-Q2. A lagged quarterly snapshot (filed ≤45 days after quarter-end); excludes shorts, options, cash, and shares listed only on non-US exchanges — foreign companies held via a US listing or ADR (e.g. Alibaba, TSMC) ARE included.

Implied return what this book implies · modeled, not advice methodology →

Open in PORT →

As filed = each book applied at its quarter-end (what the reported book did) · As copyable = applied at its statutory 45-day filing deadline (what a 13F follower could have earned).

Computing…

Hypothetical modeled performance constructed with hindsight — not actual results, and not indicative of future results. See the Disclaimer.

Exposures · what this manager owns, by sector & size (2020-Q3)

Holdings

177

Top 5

27.6%

Top 10

46.1%

Effective N

35.3

HHI

0.028

This quarter

9 new · 0 exit →

By sector

Unclassified36.6%

Information Technology19.9%

Health Care13.8%

Industrials7.9%

Materials6.4%

Consumer Staples5.1%

Communication Services4.5%

Financials2.5%

Other3.3%

By market cap

Unknown37.7%

Mega (>$200B)31.3%

Large ($10–200B)30.6%

Mid ($2–10B)0.3%

Small ($300M–2B)0.1%

By region

North America62.6%

Other36.6%

Asia-Pacific0.8%

By industry group GICS — finer than sector

Industry group	Weight	Names
Unclassified	37.14%	74
Pharmaceuticals & Biotechnology	12.78%	10
Technology Hardware & Equipment	8.18%	4
Software	7.75%	6
Commercial Services & Supplies	7.31%	8
Software & IT Services	6.68%	4
Food Products	4.99%	3
Paper & Forest Products	3.94%	2
Chemicals	2.47%	3
Specialty Retail	1.37%	8
Semiconductors & Semiconductor Equipment	1.20%	6
Equity Real Estate Investment Trusts (REITs)	1.04%	6
Insurance	0.97%	5
Life Sciences Tools & Services	0.61%	2
Aerospace & Defense	0.59%	5
Road & Rail	0.50%	2
Capital Markets	0.40%	2
Health Care Equipment & Supplies	0.37%	3
Hotels, Restaurants & Leisure	0.28%	3
Textiles, Apparel & Luxury Goods	0.27%	1
Entertainment	0.22%	1
Media & Entertainment	0.22%	1
Utilities	0.20%	4
Communications Equipment	0.14%	1
Beverages	0.11%	3
Oil, Gas & Consumable Fuels	0.07%	2
Machinery	0.05%	1
Transportation Infrastructure	0.05%	1
Banks	0.05%	1
Diversified Telecommunication Services	0.03%	2
Automobiles & Components	0.02%	1
Tobacco	0.01%	1
Electrical Equipment & Components	0.00%	1

Top holdings

#	Ticker	Name	Sector	Weight
1	JNJ	JOHNSON & JOHNSON	Health Care	6.71%
2	AAPL	Apple Inc.	Information Technology	6.02%
3	MSFT	MICROSOFT CORP	Information Technology	5.46%
4	BR	BROADRIDGE FINANCIAL SOLUTIONS, INC.	Industrials	4.89%
5		VIACOMCBS INC	Unclassified	4.53%
6	MRK	Merck & Co., Inc.	Health Care	4.34%
7	KMB	KIMBERLY CLARK CORP	Materials	3.89%
8	GOOG	Alphabet Inc.	Communication Services	3.51%
9	HUSV	FIRST TR EXCH TRADED FD III	Unclassified	3.41%
10	HSY	HERSHEY CO	Consumer Staples	3.33%

104/177 names classified · sector 63.4% of weight · industry 62.9% · mkt cap 62.3%; unclassified names shown, never dropped.

Sector allocation over time · how the GICS mix & top names shifted quarter by quarter

top 5/sector, rest → “Other” · 12 quarters

Information TechnologyAAPL, MSFT, ADP, IBM, AMAT · other

Consumer StaplesHSY, MKC, TAP, MDLZ, ADM · other

Health CareJNJ, MRK, IQV, ABBV, BMY · other

IndustrialsBR, BABA, CCL, PHM, TOL · other

MaterialsKMB, CLX, PG, GLW, CVCO · other

FinancialsTRV, V, MA, GS, BNY · other

Communication ServicesGOOG, META, DIS, GOOGL, CMCSA · other

Consumer DiscretionaryHD, ULTA, PLCE, SYY, DLTR · other

EnergyMPC, SLB, VLO, PSX, EOG · other

Real EstateCCI, DLR, WPC, O, PDM · other

UtilitiesEXC, LNG, KMI, NEE, SRE · other

UnclassifiedHUSV, LRGF, SMLF, VIACOMCBS INC, KWEB · other

Sector is classified on each name's CURRENT fundamentals, not point-in-time — apparent sector drift can reflect the market re-rating a holding, not a manager trade. 13F is a lagged quarterly snapshot of long positions in US-listed securities only — foreign companies held via a US listing or ADR ARE included, but shares listed only on non-US exchanges (plus shorts, options and cash) are not. Latest quarter: 63.4% of the book is sector-classified (unclassified names shown, never dropped).

Style box · size × value-growth placement of the reported book (2020-Q3), classified on current fundamentals (not point-in-time) — load it into PORT to overlay your own portfolio

holdings, colored by sector (96 classified)Lucia Wealth Services, LLC centroid (Large Core)

Information TechnologyHealth CareIndustrialsMaterialsConsumer StaplesCommunication ServicesConsumer DiscretionaryFinancialsReal EstateUtilitiesEnergy

Style box summary for Lucia Wealth Services, LLC: centroid Large Core. Heaviest cells: Large Growth 17.4%, Large Core 15.0%, Mid Value 10.6%.

Classified: 61.0% of book weight (96/166 names) · unclassified 39.0%: , HUSV, PHYS, VRIG, SPTL, SPMB, FLRN, TOTL, VTI, SPTI +60 more. Size: cap 70/20/10 bands; style: value/growth composite on our own metrics — not Morningstar's model.

Contribution holdings-based, any period

No contribution data for this period.

Holdings· 177 positions (2020-Q3) · largest first · Δ vs 2020-Q2

#	Security	Shares	Value	Weight	Δ QoQ
1	JNJJOHNSON & JOHNSON	191,956	$29M	6.7%	ADD 5%
2	AAPLAPPLE INC	221,722	$26M	6.0%	ADD 306%
3	MSFTMICROSOFT CORP	110,559	$23M	5.5%	ADD 5%
4	BRBROADRIDGE FINL SOLUTIONS IN	157,753	$21M	4.9%	ADD 3%
5	VIACOMCBS INC	689,859	$19M	4.5%	ADD 2%
6	MRKMERCK & CO INC	222,832	$18M	4.3%	ADD 8%
7	KMBKIMBERLY-CLARK CORP	112,322	$17M	3.9%	ADD 4%
8	GOOGALPHABET INC	10,180	$15M	3.5%	ADD 4%
9	HUSVFIRST TR EXCH TRADED FD III	530,843	$15M	3.4%	TRIM −5%
10	HSYHERSHEY CO	99,155	$14M	3.3%	ADD 6%
11	ADPAUTOMATIC DATA PROCESSING IN	80,279	$11M	2.6%	ADD 6%
12	KELLANOVA	168,373	$11M	2.6%	ADD 4%
13	CLXCLOROX CO DEL	49,966	$11M	2.5%	ADD 2%
14	PHYSSprott Physical Gold Trust	628,282	$9M	2.2%	ADD 26%
15	IBMINTERNATIONAL BUSINESS MACHS	73,511	$9M	2.1%	ADD 6%
16	VRIGINVESCO ACTIVELY MANAGED EXC	311,156	$8M	1.8%	TRIM −3%
17	MKCMCCORMICK & CO INC	35,827	$7M	1.6%	ADD 3%
18	SPTLSPDR SERIES TRUST	145,465	$7M	1.6%	ADD 7%
19	SPMBSPDR SER TR	248,849	$7M	1.6%	HOLD
20	FLRNSPDR SERIES TRUST	187,831	$6M	1.3%	HOLD
21	TOTLSSGA ACTIVE ETF TR	115,650	$6M	1.3%	ADD 16%
22	VTIVANGUARD INDEX FDS	31,571	$5M	1.3%	ADD 31%
23	SPTISPDR SERIES TRUST	150,564	$5M	1.2%	HOLD
24	LMBSFIRST TR EXCHANGE-TRADED FD	69,804	$4M	0.8%	ADD 16%
25	JNKSPDR SER TR	33,296	$3M	0.8%	ADD 15%
26	CCICROWN CASTLE INC	19,956	$3M	0.8%	ADD 30%
27	SSGA ACTIVE ETF TR	30,666	$3M	0.8%	TRIM −14%
28	FVDFIRST TR EXCHANGE-TRADED FD	95,971	$3M	0.7%	TRIM −7%
29	FTCFIRST TR EXCHANGE-TRADED ALP	33,236	$3M	0.7%	TRIM −14%
30	ADBEADOBE INC	5,609	$3M	0.6%	ADD 31%
31	SKYYFIRST TR EXCHANGE-TRADED FD	34,640	$3M	0.6%	TRIM −14%
32	SPDWSPDR INDEX SHS FDS	89,968	$3M	0.6%	TRIM −14%
33	CRMSALESFORCE INC	10,312	$3M	0.6%	ADD 37%
34	TTWOTAKE-TWO INTERACTIVE SOFTWAR	15,588	$3M	0.6%	ADD 37%
35	ICLRICON PLC	13,376	$3M	0.6%	ADD 39%
36	VIGVANGUARD SPECIALIZED FUNDS	19,815	$3M	0.6%	TRIM −2%
37	CYBERARK SOFTWARE LTD	23,723	$2M	0.6%	ADD 38%
38	FYCFIRST TR EXCHANGE-TRADED ALP	51,031	$2M	0.6%	TRIM −14%
39	SPYSTATE STR SPDR S&P 500 ETF T	7,065	$2M	0.6%	ADD 16%
40	BMYBRISTOL-MYERS SQUIBB CO	38,250	$2M	0.5%	ADD 20%
41	BABAALIBABA GROUP HLDG LTD	7,584	$2M	0.5%	ADD 41%
42	METAMETA PLATFORMS INC	8,273	$2M	0.5%	ADD 21%
43	BILSPDR SERIES TRUST	23,462	$2M	0.5%	ADD 16%
44	BRK.BBERKSHIRE HATHAWAY INC DEL	10,045	$2M	0.5%	ADD 17%
45	LOWLOWES COS INC	11,307	$2M	0.4%	ADD 19%
46	PYPLPAYPAL HLDGS INC	9,320	$2M	0.4%	ADD 12%
47	AKAMAKAMAI TECHNOLOGIES INC	16,298	$2M	0.4%	ADD 47%
48	AMATAPPLIED MATLS INC	29,711	$2M	0.4%	ADD 12%
49	MDYGSPDR SERIES TRUST	30,119	$2M	0.4%	TRIM −13%
50	UPSUNITED PARCEL SERVICE INC	9,816	$2M	0.4%	ADD 4%
51	BRK.ABERKSHIRE HATHAWAY INC DEL	5	$2M	0.4%	HOLD
52	ACNACCENTURE PLC IRELAND	6,586	$1M	0.3%	ADD 24%
53	NBISNEBIUS GROUP N.V.	22,772	$1M	0.3%	ADD 16%
54	CERNER CORP	20,035	$1M	0.3%	ADD 26%
55	EWXSPDR INDEX SHS FDS	32,097	$1M	0.3%	TRIM −14%
56	FISVFISERV INC	13,514	$1M	0.3%	ADD 31%
57	IQVIQVIA HLDGS INC	8,807	$1M	0.3%	ADD 27%
58	ZYNGA INC	149,097	$1M	0.3%	ADD 22%
59	MDTMEDTRONIC PLC	12,995	$1M	0.3%	ADD 27%
60	GWXSPDR INDEX SHS FDS	44,436	$1M	0.3%	TRIM −14%
61	VRTXVERTEX PHARMACEUTICALS INC	4,687	$1M	0.3%	ADD 24%
62	INCYINCYTE CORP	13,716	$1M	0.3%	ADD 27%
63	AONAON PLC	5,921	$1M	0.3%	ADD 27%
64	NVONOVO-NORDISK A S	17,430	$1M	0.3%	ADD 26%
65	LULULULULEMON ATHLETICA INC	3,552	$1M	0.3%	ADD 21%
66	CBCHUBB LIMITED	9,531	$1M	0.3%	ADD 24%
67	SDYSPDR SER TR	11,672	$1M	0.3%	TRIM −9%
68	ABTABBOTT LABS	9,648	$1M	0.2%	ADD 8%
69	HDHOME DEPOT INC	3,773	$1M	0.2%	ADD 3%
70	NTESNETEASE COM INC	2,298	$1M	0.2%	ADD 35%
71	LMTLOCKHEED MARTIN CORP	2,676	$1M	0.2%	ADD 8%
72	ABBVABBVIE INC	11,626	$1M	0.2%	ADD 6%
73	SLYVSPDR SERIES TRUST	20,283	$1M	0.2%	TRIM −8%
74	FTHIFIRST TR EXCHANGE TRADED FD	51,516	$988,000	0.2%	TRIM −7%
75	SPGIS&P GLOBAL INC	2,741	$988,000	0.2%	ADD 7%
76	SWKSSKYWORKS SOLUTIONS INC	6,673	$971,000	0.2%	ADD 22%
77	SPLBSPDR SERIES TRUST	30,535	$970,000	0.2%	TRIM −7%
78	DISDISNEY WALT CO	7,696	$955,000	0.2%	ADD 12%
79	TGTTARGET CORP	5,950	$937,000	0.2%	ADD 5%
80	CMCSACOMCAST CORP NEW	19,966	$924,000	0.2%	TRIM −2%
81	ICEINTERCONTINENTAL EXCHANGE IN	8,834	$884,000	0.2%	ADD 11%
82	GSLCGOLDMAN SACHS ETF TR	12,880	$876,000	0.2%	HOLD
83	AMZNAMAZON COM INC	275	$866,000	0.2%	ADD 3%
84	INTCINTEL CORP	16,076	$832,000	0.2%	ADD 10%
85	CMGCHIPOTLE MEXICAN GRILL INC	668	$831,000	0.2%	ADD 17%
86	AFLAFLAC INC	22,789	$828,000	0.2%	ADD 13%
87	AVGOBROADCOM INC	2,258	$823,000	0.2%	ADD 11%
88	KKRKKR & CO INC	23,649	$812,000	0.2%	ADD 7%
89	INTUINTUIT	2,442	$797,000	0.2%	ADD 6%
90	XLKSELECT SECTOR SPDR TR	6,703	$782,000	0.2%	ADD 10%
91	TJXTJX COS INC NEW	14,007	$779,000	0.2%	ADD 7%
92	DLRDIGITAL RLTY TR INC	5,269	$773,000	0.2%	ADD 8%
93	PFGPRINCIPAL FINANCIAL GROUP IN	18,647	$751,000	0.2%	ADD 3%
94	ADIANALOG DEVICES INC	6,079	$710,000	0.2%	ADD 7%
95	NOCNORTHROP GRUMMAN CORP	2,242	$707,000	0.2%	ADD 8%
96	NEENEXTERA ENERGY INC	2,543	$706,000	0.2%	ADD 8%
97	VUGVANGUARD INDEX FDS	2,638	$600,000	0.1%	TRIM −19%
98	QCOMQUALCOMM INC	5,029	$592,000	0.1%	HOLD
99	VVISA INC	2,916	$583,000	0.1%	HOLD
100	UNPUNION PAC CORP	2,531	$498,000	0.1%	ADD 5%
101	HONHONEYWELL INTL INC	2,877	$474,000	0.1%	ADD 8%
102	VOOVANGUARD INDEX FDS	1,387	$427,000	0.1%	HOLD
103	KOCOCA COLA CO	8,412	$415,000	0.1%	TRIM −2%
104	XLVSELECT SECTOR SPDR TR	3,568	$376,000	0.1%	ADD 4%
105	IVVISHARES TR	984	$331,000	0.1%	TRIM −20%
106	DONWISDOMTREE TR	11,400	$330,000	0.1%	HOLD
107	VEAVANGUARD TAX-MANAGED FDS	8,020	$328,000	0.1%	TRIM −22%
108	LRGFISHARES TR	8,597	$285,000	0.1%	HOLD
109	LLYELI LILLY & CO	1,896	$281,000	0.1%	HOLD
110	QUALISHARES TR	2,456	$255,000	0.1%	HOLD
111	XLPSELECT SECTOR SPDR TR	3,700	$237,000	0.1%	ADD 23%
112	SPYGSPDR SERIES TRUST STATE STREET SPD	4,613	$231,000	0.1%	HOLD
113	ACAARCOSA INC	5,213	$230,000	0.1%	NEW
114	CSCOCISCO SYS INC	5,774	$227,000	0.1%	ADD 15%
115	VGITVANGUARD SCOTTSDALE FDS	3,183	$224,000	0.1%	TRIM −14%
116	ICSHISHARES TR	4,400	$223,000	0.1%	HOLD
117	RTXRTX CORPORATION	3,880	$223,000	0.1%	ADD 19%
118	SCIPLAY CORPORATION	13,611	$221,000	0.1%	ADD 24%
119	VTCVANGUARD SCOTTSDALE FDS	2,386	$220,000	0.1%	TRIM −15%
120	VWOVANGUARD INTL EQUITY INDEX F	5,068	$219,000	0.1%	TRIM −22%
121	SCHXSCHWAB U.S. LARGE-CAP ETF	2,682	$216,000	0.1%	TRIM −11%
122	UNHUNITEDHEALTH GROUP INC	675	$210,000	0.0%	HOLD
123	FWRDFORWARD AIR CORP	3,575	$205,000	0.0%	NEW
124	XLFSELECT SECTOR SPDR TR	8,500	$205,000	0.0%	ADD 9%
125	XOMEXXON MOBIL CORP	5,934	$204,000	0.0%	TRIM −8%
126	VMBSVANGUARD SCOTTSDALE FDS	3,707	$201,000	0.0%	TRIM −36%
127	SYKES ENTERPRISES INC	5,779	$198,000	0.0%	NEW
128	JPMJPMORGAN CHASE & CO	2,013	$194,000	0.0%	TRIM −10%
129	SBUXSTARBUCKS CORP	2,246	$193,000	0.0%	TRIM −2%
130	CVCOCAVCO INDS INC DEL	1,059	$191,000	0.0%	NEW
131	FSKFS KKR CAP CORP	12,054	$191,000	0.0%	ADD 5%
132	ULTAULTA BEAUTY INC	845	$189,000	0.0%	HOLD
133	DLSWISDOMTREE TR	3,100	$186,000	0.0%	NEW
134	MCDMCDONALDS CORP	806	$177,000	0.0%	HOLD
135	EWEDWARDS LIFESCIENCES CORP	2,034	$162,000	0.0%	NEW
136	AMGNAMGEN INC	601	$153,000	0.0%	ADD 2%
137	XLYSELECT SECTOR SPDR TR	1,030	$151,000	0.0%	NEW
138	XBISPDR SERIES TRUST	1,335	$149,000	0.0%	HOLD
139	GLDSPDR GOLD TR	814	$144,000	0.0%	TRIM −6%
140	GOOGLALPHABET INC	88	$129,000	0.0%	HOLD
141	DVYISHARES TR	1,577	$129,000	0.0%	TRIM −85%
142	MDLZMONDELEZ INTL INC	2,094	$120,000	0.0%	NEW
143	PFEPFIZER INC	3,221	$118,000	0.0%	HOLD
144	WPCW. P. Carey Inc.	1,722	$112,000	0.0%	ADD 39%
145	WMTWALMART INC	766	$107,000	0.0%	ADD 3%
146	CVXCHEVRON CORP NEW	1,362	$98,000	0.0%	HOLD
147	OREALTY INCOME CORP	1,606	$98,000	0.0%	ADD 50%
148	QQQINVESCO QQQ TR	342	$95,000	0.0%	TRIM −28%
149	VTRVENTAS INC	2,200	$92,000	0.0%	HOLD
150	GSBDGOLDMAN SACHS BDC INC	6,000	$90,000	0.0%	HOLD
151	VZVERIZON COMMUNICATIONS INC	1,264	$75,000	0.0%	TRIM −23%
152	TSLATESLA INC	170	$73,000	0.0%	NEW
153	BABOEING CO	393	$65,000	0.0%	ADD 3%
154	MMM3M CO	393	$63,000	0.0%	TRIM −6%
155	Nuveen Preferred & Income Securities Fd	7,000	$62,000	0.0%	HOLD
156	XLUSELECT SECTOR SPDR TR	1,050	$62,000	0.0%	ADD 31%
157	TAT&T INC	1,894	$54,000	0.0%	TRIM −37%
158	IWOISHARES TR	245	$54,000	0.0%	HOLD
159	PGXINVESCO EXCH TRADED FD TR II	3,500	$52,000	0.0%	HOLD
160	USALIBERTY ALL STAR EQUITY FD	8,635	$52,000	0.0%	HOLD
161	MOALTRIA GROUP INC	1,275	$49,000	0.0%	HOLD
162	SOSOUTHERN CO	910	$49,000	0.0%	HOLD
163	PREFERRED APT CMNTYS INC	8,090	$44,000	0.0%	HOLD
164	AEPAMERICAN ELEC PWR CO INC	509	$42,000	0.0%	HOLD
165	COSTCOSTCO WHSL CORP NEW	119	$42,000	0.0%	TRIM −32%
166	SRESEMPRA	356	$42,000	0.0%	TRIM −56%
167	VYMVANGUARD WHITEHALL FDS	455	$37,000	0.0%	TRIM −13%
168	PGPROCTER AND GAMBLE CO	236	$33,000	0.0%	HOLD
169	GNLGLOBAL NET LEASE INC	1,959	$31,000	0.0%	HOLD
170	THE NECESSITY RETAIL REIT IN	4,630	$29,000	0.0%	TRIM −39%
171	PEPPEPSICO INC	211	$29,000	0.0%	HOLD
172	NVDANVIDIA CORPORATION	47	$25,000	0.0%	HOLD
173	TAPMOLSON COORS BEVERAGE CO	413	$14,000	0.0%	HOLD
174	ECLECOLAB INC	65	$13,000	0.0%	HOLD
175	ROKROCKWELL AUTOMATION INC	36	$8,000	0.0%	HOLD
176	COLONY CR REAL ESTATE INC	852	$4,000	0.0%	HOLD
177	GEGENERAL ELECTRIC CO	410	$3,000	0.0%	HOLD

☆Lucia Wealth Services, LLC