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 500 ETF
IVV
|
+$356M |
| 2 |
iShares ESG Aware MSCI USA ETF
ESGU
|
+$272M |
| 3 |
iShares TIPS Bond ETF
TIP
|
+$230M |
| 4 |
State Street SPDR S&P 500 ETF Trust
SPY
|
+$216M |
| 5 |
Invesco QQQ Trust
QQQ
|
+$189M |
Top Sells
Sector Composition
| Rank | Sector | Weight |
|---|---|---|
| 1 | Technology | 6.29% |
| 2 | Financials | 3.14% |
| 3 | Consumer Discretionary | 3.03% |
| 4 | Healthcare | 2.67% |
| 5 | Communication Services | 2.4% |
| Name | Market Value | Portfolio Weight | Shares or Principal |
Change in Stake | Capital Flow | |
|---|---|---|---|---|---|---|
2726
Innovator US Equity Buffer ETF October
BOCT
$286M
| $875K | ﹤0.01% |
26,787
+103
| +0.4% | +$3.35K |
|
|
HPF
2727
John Hancock Preferred Income Fund II
HPF
$344M
| $875K | ﹤0.01% |
40,341
-1,489
| -4% | -$32.8K |
|
|
SKX
2728
DELISTED
Skechers
SKX
| $875K | ﹤0.01% |
20,781
+10,466
| +101% | +$518K |
|
2729
World Kinect Corp
WKC
$2B
| $874K | ﹤0.01% |
26,002
+130
| +0.5% | +$4.16K |
|
2730
Metallus
MTUS
$851M
| $874K | ﹤0.01% |
66,819
-4,549
| -6% | -$62.3K |
|
2731
Vericel Corp
VCEL
$2.36B
| $873K | ﹤0.01% |
17,892
+3,689
| +26% | +$191K |
|
2732
BlackRock MuniYield Pennsylvania Quality Fund
MPA
$142M
| $871K | ﹤0.01% |
54,236
+954
| +2% | +$15.3K |
|
2733
ALPS Strategic Income Fund
RIGS
$60.6M
| $871K | ﹤0.01% |
35,195
+15,810
| +82% | +$393K |
|
|
AAWW
2734
DELISTED
Atlas Air Worldwide Holdings, Inc.
AAWW
| $869K | ﹤0.01% |
10,643
+6,423
| +152% | +$462K |
|
2735
Silicon Laboratories
SLAB
$7.19B
| $868K | ﹤0.01% |
6,253
+3,670
| +142% | +$551K |
|
2736
United States Gasoline Fund
UGA
$123M
| $868K | ﹤0.01% |
22,620
+1,395
| +7% | +$50.6K |
|
|
ACB
2737
Aurora Cannabis
ACB
$175M
| $867K | ﹤0.01% |
12,522
-114
| -0.9% | -$8.1K |
|
2738
Cousins Properties
CUZ
$5.17B
| $865K | ﹤0.01% |
23,201
+2,583
| +13% | +$99.5K |
|
2739
Cal-Maine
CALM
$4.08B
| $864K | ﹤0.01% |
23,882
+2,575
| +12% | +$91.8K |
|
2740
Invesco DB Precious Metals Fund
DBP
$237M
| $863K | ﹤0.01% |
18,339
+3,566
| +24% | +$174K |
|
|
HGLB
2741
Highland Global Allocation Fund
HGLB
$178M
| $860K | ﹤0.01% |
94,582
+42,494
| +82% | +$407K |
|
|
PBEE
2742
DELISTED
Invesco PureBeta FTSE Emerging Markets ETF
PBEE
| $860K | ﹤0.01% |
30,653
-39,319
| -56% | -$1.14M |
|
2743
Acadia Pharmaceuticals
ACAD
$4.39B
| $858K | ﹤0.01% |
51,668
+4,610
| +10% | +$88.9K |
|
2744
Euroseas
ESEA
$553M
| $857K | ﹤0.01% |
+31,306
| New | +$616K |
|
|
JHB
2745
DELISTED
Nuveen Corporate Income November 2021 Target Term Fund
JHB
| $857K | ﹤0.01% |
91,330
-5,896
| -6% | -$55.4K |
|
|
SI
2746
DELISTED
Silvergate Capital Corporation
SI
| $856K | ﹤0.01% |
7,409
+2,034
| +38% | +$218K |
|
|
ITI
2747
DELISTED
Iteris, Inc.
ITI
| $855K | ﹤0.01% |
161,930
+9,175
| +6% | +$53.6K |
|
|
SRNE
2748
DELISTED
Sorrento Therapeutics, Inc.
SRNE
| $853K | ﹤0.01% |
111,733
-2,578
| -2% | -$21.9K |
|
2749
Principal Active High Yield ETF
YLD
$581M
| $851K | ﹤0.01% |
40,652
+178
| +0.4% | +$3.73K |
|
2750
Brixmor Property Group
BRX
$9.68B
| $850K | ﹤0.01% |
38,440
+2,647
| +7% | +$60.8K |
|
Similar funds
LPL Financial's Q3 2021 Portfolio in Review
As of Q3 2021, LPL Financial held 4,505 positions worth $106B, up 7.7% from $98.9B the previous quarter. Its ten largest holdings account for 19% of the portfolio.
LPL Financial deployed $9.03B of net new capital in Q3 2021, opening 283 new positions and adding to 2,835 existing holdings. Its largest new stake was Dimensional World ex US Core Equity 2 ETF: 4,232,890 shares worth $110M.
By sector, the portfolio is most concentrated in Technology at 6.3% of assets, up from 6.3% a quarter earlier, followed by Financials and Consumer Discretionary.
On the sell side, the largest reduction was Goldman Sachs ActiveBeta US Large Cap Equity ETF, an estimated $137M trimmed.
- LPL Financial's largest Q3 2021 buy was Dimensional World ex US Core Equity 2 ETF: 4,232,890 shares worth $110M.
- LPL Financial added most to iShares Core S&P 500 ETF in Q3 2021, an estimated $356M increase.
- LPL Financial's biggest Q3 2021 reduction was Goldman Sachs ActiveBeta US Large Cap Equity ETF, cutting an estimated $137M.
- LPL Financial fully exited At Home Group Inc. in Q3 2021, selling an estimated $7.42M.
- LPL Financial's ten largest holdings make up 19% of its $106B portfolio in Q3 2021.
- LPL Financial opened 283 new positions and closed 186 in Q3 2021.
- LPL Financial's portfolio value rose 7.7% quarter-over-quarter to $106B.
Based on LPL Financial's 13F filing for Q3 2021, filed 15 Nov 2021.