LPL Financial Portfolio holdings
LPL Financial, founded in 1989 through the merger of Linsco and Private Ledger and headquartered in San Diego, California, is the largest independent broker-dealer in the U.S., supporting over 22,000 financial advisors who manage more than $1.4 trillion in advisory and brokerage assets as of late 2024. Serving independent advisors, banks, and credit unions, LPL provides a robust technology platform, research, and back-office support, enabling advisors to offer personalized wealth management, retirement planning, and investment services to clients without proprietary products. The firm, publicly traded since 2010 under CEO Dan Arnold, has grown through acquisitions like Waddell & Reed’s wealth management business in 2021, emphasizing flexibility and advisor autonomy. With additional offices in Fort Mill, South Carolina, and Boston, LPL Financial remains a leader in empowering advisors amid a shifting financial landscape.
Top Buys
| Rank | Stock | Value |
|---|---|---|
| 1 |
iShares Core S&P Small-Cap ETF
IJR
|
+$76.6M |
| 2 |
State Street SPDR S&P 500 ETF Trust
SPY
|
+$48M |
| 3 |
iShares MSCI Pacific ex Japan ETF
EPP
|
+$29M |
| 4 |
Invesco BuyBack Achievers ETF
PKW
|
+$26.6M |
| 5 |
State Street SPDR Bloomberg Short Term High Yield Bond ETF
SJNK
|
+$24.3M |
Top Sells
| Rank | Stock | Value |
|---|---|---|
| 1 |
iShares MBS ETF
MBB
|
+$99.8M |
| 2 |
iShares 1-5 Year Investment Grade Corporate Bond ETF
IGSB
|
+$57.6M |
| 3 |
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
|
+$38.2M |
| 4 |
iShares MSCI Japan ETF
EWJ
|
+$28.9M |
| 5 |
State Street SPDR Portfolio Short Term Corporate Bond ETF
SPSB
|
+$21.8M |
Sector Composition
| Rank | Sector | Weight |
|---|---|---|
| 1 | Technology | 3.21% |
| 2 | Energy | 2.95% |
| 3 | Financials | 2.95% |
| 4 | Healthcare | 2.81% |
| 5 | Industrials | 2.79% |
| Name | Market Value | Portfolio Weight | Shares or Principal |
Change in Stake | Capital Flow | |
|---|---|---|---|---|---|---|
226
RTX Corp
RTX
$287B
| $12.6M | 0.08% |
175,459
+7,297
| +4% | +$497K |
|
227
Invesco Preferred ETF
PGX
$3.84B
| $12.5M | 0.08% |
931,519
-149,776
| -14% | -$2.04M |
|
|
BSJE
228
DELISTED
GUGGENGEIM BULLETSHARES 2014 HIGH YIELD CORPORATE BOND ETF
BSJE
| $12.4M | 0.08% |
464,382
+15,345
| +3% | +$411K |
|
229
iShares 5-10 Year Investment Grade Corporate Bond ETF
IGIB
$18.3B
| $12.3M | 0.08% |
228,908
-4,944
| -2% | -$268K |
|
230
Duke Energy
DUK
$102B
| $12.3M | 0.08% |
178,673
+2,801
| +2% | +$196K |
|
231
Freeport-McMoran
FCX
$90B
| $12.2M | 0.08% |
324,229
-3,549
| -1% | -$126K |
|
232
SLB Ltd
SLB
$77.8B
| $12.2M | 0.08% |
135,678
+1,472
| +1% | +$133K |
|
233
Novartis
NVS
$295B
| $11.9M | 0.07% |
165,159
+8,486
| +5% | +$590K |
|
234
Invesco S&P 500 Pure Growth ETF
RPG
$2.04B
| $11.9M | 0.07% |
845,410
+239,670
| +40% | +$3.2M |
|
235
American Tower
AMT
$77.7B
| $11.9M | 0.07% |
148,647
+11,023
| +8% | +$856K |
|
236
Sprott Physical Gold and Silver Trust
CEF
$7.43B
| $11.8M | 0.07% |
889,882
-176,218
| -17% | -$2.48M |
|
237
Realty Income
O
$61.2B
| $11.6M | 0.07% |
319,776
+33,562
| +12% | +$1.29M |
|
238
Kinder Morgan
KMI
$73.1B
| $11.5M | 0.07% |
318,635
+63,588
| +25% | +$2.23M |
|
239
iShares Mortgage Real Estate ETF
REM
$542M
| $11.3M | 0.07% |
245,588
+9,900
| +4% | +$468K |
|
240
American Express
AXP
$223B
| $11.3M | 0.07% |
124,713
+6,578
| +6% | +$540K |
|
241
VanEck Agribusiness ETF
MOO
$989M
| $11.2M | 0.07% |
206,017
-7,909
| -4% | -$420K |
|
242
Goldman Sachs
GS
$313B
| $11.1M | 0.07% |
62,679
+10,187
| +19% | +$1.68M |
|
243
iShares North American Natural Resources ETF
IGE
$747M
| $11.1M | 0.07% |
256,000
-8,062
| -3% | -$344K |
|
244
iShares MSCI USA Min Vol Factor ETF
USMV
$23.2B
| $11M | 0.07% |
310,199
-13,104
| -4% | -$455K |
|
245
Citigroup
C
$222B
| $11M | 0.07% |
211,301
+41,465
| +24% | +$2.1M |
|
|
BSJF
246
DELISTED
GUGGENGEIM BULLETSHARES 2015 HIGH YIELD CORPORATE BOND ETF
BSJF
| $11M | 0.07% |
411,097
+86,401
| +27% | +$2.32M |
|
247
Vodafone
VOD
$34.9B
| $10.9M | 0.07% |
272,449
+47,646
| +21% | +$1.79M |
|
248
Vanguard Energy ETF
VDE
$10.1B
| $10.8M | 0.07% |
85,593
-29,307
| -26% | -$3.64M |
|
|
NFJ
249
Virtus Dividend, Interest & Premium Strategy Fund
NFJ
$1.41B
| $10.8M | 0.07% |
609,159
+49,751
| +9% | +$879K |
|
250
Vanguard Intermediate-Term Bond ETF
BIV
$28.8B
| $10.8M | 0.07% |
131,862
-1,291
| -1% | -$108K |
|
Similar funds
LPL Financial's Q4 2013 Portfolio in Review
As of Q4 2013, LPL Financial held 2,780 positions worth $16B, up 6.6% from $15B the previous quarter. Its ten largest holdings account for 21% of the portfolio.
LPL Financial's Q4 2013 filing shows 245 new, 1,314 increased, 1,020 reduced and 136 closed positions. Its largest new stake was COLUMBIA PROPERTY TRUST, INC.: 364,765 shares worth $9.12M. The largest sale was iShares MBS ETF, an estimated $99.8M.
By sector, the portfolio is most concentrated in Technology at 3.2% of assets, up from 3% a quarter earlier, followed by Energy and Financials.
- LPL Financial's largest Q4 2013 buy was COLUMBIA PROPERTY TRUST, INC.: 364,765 shares worth $9.12M.
- LPL Financial added most to iShares Core S&P Small-Cap ETF in Q4 2013, an estimated $76.6M increase.
- LPL Financial's biggest Q4 2013 reduction was iShares MBS ETF, cutting an estimated $99.8M.
- LPL Financial fully exited GUGGENGEIM BULLETSHARES 2013 HIGH YIELD CORPORATE BOND ETF in Q4 2013, selling an estimated $3.64M.
- LPL Financial's ten largest holdings make up 21% of its $16B portfolio in Q4 2013.
- LPL Financial opened 245 new positions and closed 136 in Q4 2013.
- LPL Financial's portfolio value rose 6.6% quarter-over-quarter to $16B.
Based on LPL Financial's 13F filing for Q4 2013, filed 13 Feb 2014.