L
Lucey Investment Management, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$60,480,941
This total excludes 2 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Total clients
85
35% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
85
Average account size
$711,540
About
Lucey Investment Management is a fee-only registered investment adviser that provides investment supervisory services and financial planning primarily for individual investors, while also serving high-net-worth individuals and pension or profit-sharing plans. The firm manages roughly $58 million in client assets and offers both discretionary and non-discretionary portfolio management across mutual funds, exchange-traded funds, and individual securities.
The adviser customizes asset allocation and investment direction to clients’ stated goals, risk tolerance, and time horizon, and conducts periodic reviews that cover performance versus benchmarks and basic risk metrics. Its investment process emphasizes fundamental analysis supplemented by charting, technical and cyclical analysis, and it may invest in foreign securities and use options strategies subject to custodian approval.
Distinctive elements include the explicit use of option-based derivatives in client accounts — deployed either conservatively (e.g., call-writing) or more speculatively — a capability that is uncommon among independent advisers. The firm also reports serving pension and profit-sharing plan clients and has noted the potential to participate in wrap-fee or sub-advised programs as assets grow, which differentiates it from many similarly sized peers.
Client services
Portfolio management
Expertise
Options & derivatives strategies
Fee options
$0 - $99,999: 2.00% $100,000 - $249,999: 1.75% $250,000 - $749,999: 1.50% $750,000 - $999,999: 1.25% $1,000,000+: 1.00%
Fee-only: Fee based on assets under management; management fee paid quarterly in advance or arrears, negotiable but typically tiered as specified.
Main office location
Lucey Investment Management, LLC
Glastonbury CT, United States
Number of offices
1
Most active in
Lucey Investment Management, LLC has reported serving >5 clients in these states in the last 12 months.
California · Connecticut · New Jersey · New York
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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