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 |
Invesco BuyBack Achievers ETF
PKW
|
+$145M |
| 2 |
iShares 1-5 Year Investment Grade Corporate Bond ETF
IGSB
|
+$130M |
| 3 |
iShares S&P Small-Cap 600 Growth ETF
IJT
|
+$60.7M |
| 4 |
iShares Core S&P Small-Cap ETF
IJR
|
+$57M |
| 5 |
State Street SPDR Portfolio Short Term Corporate Bond ETF
SPSB
|
+$50.5M |
Top Sells
| Rank | Stock | Value |
|---|---|---|
| 1 |
iShares TIPS Bond ETF
TIP
|
+$1.07B |
| 2 |
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
|
+$199M |
| 3 |
iShares MBS ETF
MBB
|
+$140M |
| 4 |
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
|
+$91.8M |
| 5 |
HDV
iShares Core High Dividend ETF
HDV
|
+$78.9M |
Sector Composition
| Rank | Sector | Weight |
|---|---|---|
| 1 | Technology | 3% |
| 2 | Energy | 2.83% |
| 3 | Healthcare | 2.65% |
| 4 | Financials | 2.62% |
| 5 | Industrials | 2.47% |
| Name | Market Value | Portfolio Weight | Shares or Principal |
Change in Stake | Capital Flow | |
|---|---|---|---|---|---|---|
|
HILO
351
DELISTED
Columbia EM Quality Dividend ETF
HILO
| $6.25M | 0.04% |
334,967
+26,286
| +9% | +$476K |
|
|
GGN
352
GAMCO Global Gold, Natural Resources & Income Trust
GGN
$770M
| $6.24M | 0.04% |
592,081
+56,160
| +10% | +$601K |
|
353
Royce Value Trust
RVT
$2.2B
| $6.17M | 0.04% |
413,793
+39,688
| +11% | +$578K |
|
354
iShares Broad USD Investment Grade Corporate Bond ETF
USIG
$17.3B
| $6.17M | 0.04% |
115,550
-27,884
| -19% | -$1.49M |
|
|
EVN
355
Eaton Vance Municipal Income Trust
EVN
$416M
| $6.17M | 0.04% |
563,961
-761,491
| -57% | -$8.34M |
|
|
MMP
356
DELISTED
Magellan Midstream Partners, L.P.
MMP
| $6.15M | 0.04% |
106,318
+20,035
| +23% | +$1.1M |
|
357
State Street SPDR S&P Oil & Gas Exploration & Production ETF
XOP
$3.65B
| $6.1M | 0.04% |
22,074
+12,957
| +142% | +$3.25M |
|
358
First Trust NASDAQ Technology Dividend Index Fund
TDIV
$4.18B
| $6.03M | 0.04% |
260,638
+96,240
| +59% | +$2.16M |
|
359
Capri Holdings
CPRI
$1.83B
| $5.99M | 0.04% |
80,903
+15,081
| +23% | +$1.05M |
|
360
Calamos Strategic Total Return Fund
CSQ
$3.23B
| $5.98M | 0.04% |
592,275
+29,464
| +5% | +$299K |
|
361
Corning
GLW
$119B
| $5.98M | 0.04% |
414,966
+134,977
| +48% | +$2M |
|
362
Invesco DB Commodity Index Tracking Fund
DBC
$1.69B
| $5.98M | 0.04% |
228,723
-37,723
| -14% | -$985K |
|
363
iShares Micro-Cap ETF
IWC
$1.44B
| $5.98M | 0.04% |
86,102
+36,757
| +74% | +$2.43M |
|
364
Nike
NKE
$61.9B
| $5.96M | 0.04% |
161,036
+26,308
| +20% | +$859K |
|
|
JPS
365
DELISTED
Nuveen Preferred & Income Securities Fund
JPS
| $5.96M | 0.04% |
742,082
+204,899
| +38% | +$1.69M |
|
366
FedEx
FDX
$72.7B
| $5.94M | 0.04% |
51,489
-4,056
| -7% | -$438K |
|
367
ProShares Ultra S&P500
SSO
$7.87B
| $5.92M | 0.04% |
1,084,448
-231,888
| -18% | -$1.21M |
|
368
AB InBev
BUD
$170B
| $5.9M | 0.04% |
+59,722
| New | +$5.69M |
|
369
Consolidated Edison
ED
$40.1B
| $5.85M | 0.04% |
104,601
-36,431
| -26% | -$2.1M |
|
370
US Bancorp
USB
$98.2B
| $5.83M | 0.04% |
156,897
+25,179
| +19% | +$932K |
|
|
RDS.A
371
DELISTED
Royal Dutch Shell PLC ADS Class A
RDS.A
| $5.78M | 0.04% |
89,062
+7,054
| +9% | +$462K |
|
|
FEN
372
DELISTED
First Trust Energy Income and Growth Fund
FEN
| $5.78M | 0.04% |
176,826
+16,036
| +10% | +$523K |
|
373
Seagate
STX
$194B
| $5.77M | 0.04% |
121,885
-58,573
| -32% | -$2.46M |
|
374
Berkshire Hathaway Class A
BRK.A
$1.1T
| $5.75M | 0.04% |
33
-2
| -6% | -$346K |
|
|
LSI
375
DELISTED
Life Storage, Inc.
LSI
| $5.74M | 0.04% |
110,655
+1,251
| +1% | +$58.7K |
|
Similar funds
LPL Financial's Q3 2013 Portfolio in Review
As of Q3 2013, LPL Financial held 2,666 positions worth $15B, up 8% from $13.9B the previous quarter. Its ten largest holdings account for 20% of the portfolio.
LPL Financial withdrew a net $671M in Q3 2013, closing 131 positions and reducing 998 holdings. Its most notable exit was Equinix, an estimated $2.26M position sold in full.
By sector, the portfolio is most concentrated in Technology at 3% of assets, up from 2.8% a quarter earlier, followed by Energy and Healthcare.
Against the trend, LPL Financial opened a new position in COLE REAL ESTATE INVESTMENTS, INC COM worth $32.5M.
- LPL Financial's largest Q3 2013 buy was COLE REAL ESTATE INVESTMENTS, INC COM: 2,619,591 shares worth $32.5M.
- LPL Financial added most to Invesco BuyBack Achievers ETF in Q3 2013, an estimated $145M increase.
- LPL Financial's biggest Q3 2013 reduction was iShares TIPS Bond ETF, cutting an estimated $1.07B.
- LPL Financial fully exited Equinix in Q3 2013, selling an estimated $2.26M.
- LPL Financial's ten largest holdings make up 20% of its $15B portfolio in Q3 2013.
- LPL Financial opened 246 new positions and closed 131 in Q3 2013.
- LPL Financial's portfolio value rose 8% quarter-over-quarter to $15B.
Based on LPL Financial's 13F filing for Q3 2013, filed 4 Nov 2013.