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 |
State Street SPDR S&P 500 ETF Trust
SPY
|
+$266M |
| 2 |
iShare MSCI Eurozone ETF
EZU
|
+$69.4M |
| 3 |
iShares Russell 1000 ETF
IWB
|
+$62M |
| 4 |
Vanguard Total Stock Market ETF
VTI
|
+$49.8M |
| 5 |
Invesco QQQ Trust
QQQ
|
+$44.5M |
Top Sells
| Rank | Stock | Value |
|---|---|---|
| 1 |
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
|
+$223M |
| 2 |
iShares Europe ETF
IEV
|
+$80M |
| 3 |
iShares Core US Aggregate Bond ETF
AGG
|
+$52.5M |
| 4 |
Invesco BuyBack Achievers ETF
PKW
|
+$49.2M |
| 5 |
iShares MSCI Emerging Markets ETF
EEM
|
+$43.9M |
Sector Composition
| Rank | Sector | Weight |
|---|---|---|
| 1 | Technology | 3.13% |
| 2 | Financials | 3.12% |
| 3 | Energy | 2.94% |
| 4 | Healthcare | 2.93% |
| 5 | Industrials | 2.66% |
| Name | Market Value | Portfolio Weight | Shares or Principal |
Change in Stake | Capital Flow | |
|---|---|---|---|---|---|---|
251
Conagra Brands
CAG
$7.07B
| $11.6M | 0.07% |
450,183
+44,688
| +11% | +$1.1M |
|
252
Trinity Industries
TRN
$2.97B
| $11.5M | 0.07% |
370,660
+189,219
| +104% | +$6.27M |
|
253
Honeywell
HON
$77.1B
| $11.4M | 0.07% |
138,117
+790
| +0.6% | +$67.1K |
|
254
State Street SPDR S&P 600 Small Cap Growth ETF
SLYG
$5.02B
| $11.3M | 0.07% |
270,516
-42,932
| -14% | -$1.88M |
|
255
First Trust Dow Jones Global Select Dividend Index Fund
FGD
$1.51B
| $11.2M | 0.07% |
427,062
-74,024
| -15% | -$2.1M |
|
256
iShares North American Natural Resources ETF
IGE
$747M
| $11.2M | 0.07% |
255,002
-7,818
| -3% | -$377K |
|
257
Walmart Inc
WMT
$871B
| $11.2M | 0.07% |
440,853
-21,825
| -5% | -$551K |
|
258
iShares US Industrials ETF
IYJ
$1.98B
| $11.2M | 0.07% |
224,976
+112,950
| +101% | +$5.8M |
|
259
DuPont de Nemours
DD
$18.6B
| $11.2M | 0.07% |
87,326
+5,931
| +7% | +$791K |
|
260
ProShares Short 20+ Year Treasury ETF
TBF
$84.9M
| $11.1M | 0.07% |
409,207
-13,149
| -3% | -$371K |
|
|
PCI
261
DELISTED
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
| $11M | 0.07% |
488,184
+65,758
| +16% | +$1.52M |
|
262
RTX Corp
RTX
$287B
| $11M | 0.07% |
167,808
-16,963
| -9% | -$1.16M |
|
|
ETW
263
Eaton Vance Tax-Managed Global Buy-Write Opportunities Fund
ETW
$1.02B
| $10.9M | 0.07% |
906,026
+43,053
| +5% | +$545K |
|
264
American International
AIG
$41.9B
| $10.7M | 0.06% |
202,226
-1,177
| -0.6% | -$64.3K |
|
265
Waste Management
WM
$95.9B
| $10.7M | 0.06% |
226,459
+1,510
| +0.7% | +$69.2K |
|
266
State Street SPDR S&P Pharmaceuticals ETF
XPH
$469M
| $10.7M | 0.06% |
203,438
-8,208
| -4% | -$417K |
|
|
CHI
267
Calamos Convertible Opportunities and Income Fund
CHI
$1.02B
| $10.7M | 0.06% |
791,081
-39,586
| -5% | -$546K |
|
268
State Street SPDR S&P Biotech ETF
XBI
$10.1B
| $10.6M | 0.06% |
206,802
+9,054
| +5% | +$462K |
|
269
Vanguard Mega Cap Growth ETF
MGK
$31.9B
| $10.6M | 0.06% |
691,145
+58,470
| +9% | +$909K |
|
270
Vanguard Energy ETF
VDE
$10.1B
| $10.5M | 0.06% |
82,130
-25,880
| -24% | -$3.61M |
|
271
Sprott Physical Gold and Silver Trust
CEF
$7.43B
| $10.5M | 0.06% |
840,664
+23,411
| +3% | +$322K |
|
272
Vanguard Materials ETF
VAW
$3B
| $10.4M | 0.06% |
96,450
+588
| +0.6% | +$65.8K |
|
|
CHY
273
Calamos Convertible and High Income Fund
CHY
$1.03B
| $10.3M | 0.06% |
725,871
+30,574
| +4% | +$444K |
|
274
GSK
GSK
$103B
| $10.2M | 0.06% |
178,354
+55,572
| +45% | +$3.41M |
|
275
PPG Industries
PPG
$25.9B
| $10.2M | 0.06% |
106,690
-2,206
| -2% | -$225K |
|
Similar funds
LPL Financial's Q3 2014 Portfolio in Review
As of Q3 2014, LPL Financial held 2,870 positions worth $16.8B, down 2.3% from $17.2B the previous quarter. Its ten largest holdings account for 20% of the portfolio.
LPL Financial's Q3 2014 filing shows 194 new, 1,224 increased, 1,195 reduced and 174 closed positions. Its largest new stake was WisdomTree Trust WisdomTree Interest Rate Hedged US Aggregate Bond Fund: 685,236 shares worth $17M. The largest sale was State Street SPDR S&P MIDCAP 400 ETF Trust, an estimated $223M.
By sector, the portfolio is most concentrated in Technology at 3.1% of assets, up from 3.1% a quarter earlier, followed by Financials and Energy.
- LPL Financial's largest Q3 2014 buy was WisdomTree Trust WisdomTree Interest Rate Hedged US Aggregate Bond Fund: 685,236 shares worth $17M.
- LPL Financial added most to State Street SPDR S&P 500 ETF Trust in Q3 2014, an estimated $266M increase.
- LPL Financial's biggest Q3 2014 reduction was State Street SPDR S&P MIDCAP 400 ETF Trust, cutting an estimated $223M.
- LPL Financial fully exited iShares MSCI France ETF in Q3 2014, selling an estimated $15.9M.
- LPL Financial's ten largest holdings make up 20% of its $16.8B portfolio in Q3 2014.
- LPL Financial opened 194 new positions and closed 174 in Q3 2014.
- LPL Financial's portfolio value fell 2.3% quarter-over-quarter to $16.8B.
Based on LPL Financial's 13F filing for Q3 2014, filed 10 Nov 2014.