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 | |
|---|---|---|---|---|---|---|
276
eBay
EBAY
$48.6B
| $10.2M | 0.06% |
436,025
-33,912
| -7% | -$754K |
|
277
Novartis
NVS
$295B
| $10.2M | 0.06% |
121,603
-14,421
| -11% | -$1.17M |
|
278
Corning
GLW
$126B
| $10.1M | 0.06% |
535,436
+9,206
| +2% | +$192K |
|
|
KRFT
279
DELISTED
KRAFT FOODS GROUP INC COM STK (VA)
KRFT
| $10.1M | 0.06% |
180,106
-6,143
| -3% | -$355K |
|
280
Invesco Dorsey Wright Developed Markets Momentum ETF
PIZ
$718M
| $9.9M | 0.06% |
411,054
-129,283
| -24% | -$3.31M |
|
|
EMC
281
DELISTED
EMC CORPORATION
EMC
| $9.85M | 0.06% |
346,313
-39,173
| -10% | -$1.13M |
|
282
KKR & Co
KKR
$89.2B
| $9.85M | 0.06% |
454,506
+102,048
| +29% | +$2.39M |
|
283
State Street SPDR S&P 400 Mid Cap Growth ETF
MDYG
$2.82B
| $9.73M | 0.06% |
262,686
-3,981
| -1% | -$153K |
|
284
iShares Dow Jones US ETF
IYY
$2.92B
| $9.72M | 0.06% |
198,898
+1,514
| +0.8% | +$75.5K |
|
285
iShares US Consumer Discretionary ETF
IYC
$1.12B
| $9.67M | 0.06% |
315,512
+146,568
| +87% | +$4.59M |
|
286
United Parcel Service
UPS
$97.6B
| $9.65M | 0.06% |
99,544
+8,351
| +9% | +$830K |
|
287
Invesco International Dividend Achievers ETF
PID
$913M
| $9.61M | 0.06% |
525,057
-808
| -0.2% | -$15.6K |
|
288
Occidental Petroleum
OXY
$57B
| $9.58M | 0.06% |
106,030
+7,631
| +8% | +$732K |
|
289
Invesco DB US Dollar Index Bullish Fund
UUP
$434M
| $9.57M | 0.06% |
418,794
+268,280
| +178% | +$5.88M |
|
290
Invesco Large Cap Value ETF
PWV
$1.66B
| $9.41M | 0.06% |
313,595
+38,136
| +14% | +$1.17M |
|
291
FedEx
FDX
$74.5B
| $9.35M | 0.06% |
59,146
+14,685
| +33% | +$2.23M |
|
292
First Trust Europe AlphaDEX Fund
FEP
$513M
| $9.29M | 0.06% |
305,987
-10,664
| -3% | -$348K |
|
293
Invesco Financial Preferred ETF
PGF
$676M
| $9.2M | 0.05% |
511,480
+5,899
| +1% | +$107K |
|
294
First Trust Technology AlphaDEX Fund
FXL
$2.47B
| $9.08M | 0.05% |
286,728
-25,691
| -8% | -$840K |
|
295
State Street SPDR Dow Jones REIT ETF
RWR
$1.93B
| $9.01M | 0.05% |
112,816
-4,979
| -4% | -$416K |
|
296
Vanguard Russell 3000 ETF
VTHR
$4.63B
| $8.91M | 0.05% |
99,613
+10,771
| +12% | +$983K |
|
297
iShares 3-7 Year Treasury Bond ETF
IEI
$18.1B
| $8.89M | 0.05% |
73,019
+2,758
| +4% | +$335K |
|
298
Amgen
AMGN
$203B
| $8.89M | 0.05% |
64,019
+5,370
| +9% | +$701K |
|
299
Invesco Dorsey Wright SmallCap Momentum ETF
DWAS
$435M
| $8.89M | 0.05% |
254,133
-66,692
| -21% | -$2.5M |
|
300
ProShares UltraShort S&P500
SDS
$406M
| $8.87M | 0.05% |
3,502
+1,040
| +42% | +$2.58M |
|
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.