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 | |
|---|---|---|---|---|---|---|
|
RDS.A
351
DELISTED
Royal Dutch Shell PLC ADS Class A
RDS.A
| $6.87M | 0.04% |
96,387
+7,325
| +8% | +$492K |
|
|
BSCE
352
DELISTED
CLAYMORE GUGGENHEIM BULLETSHARES 2014 CORP BD ETF
BSCE
| $6.86M | 0.04% |
322,862
+164,229
| +104% | +$3.5M |
|
353
Global X Guru Index ETF
GURU
$60.7M
| $6.84M | 0.04% |
267,166
+44,774
| +20% | +$1.08M |
|
354
US Bancorp
USB
$98.6B
| $6.82M | 0.04% |
168,795
+11,898
| +8% | +$456K |
|
355
First Trust Technology AlphaDEX Fund
FXL
$2.48B
| $6.8M | 0.04% |
227,841
+48,986
| +27% | +$1.38M |
|
356
iShares Morningstar Growth ETF
ILCG
$3.07B
| $6.76M | 0.04% |
338,815
+48,205
| +17% | +$914K |
|
357
iShares US Utilities ETF
IDU
$1.39B
| $6.7M | 0.04% |
139,866
-17,750
| -11% | -$853K |
|
358
Booking.com
BKNG
$145B
| $6.67M | 0.04% |
143,350
-21,425
| -13% | -$953K |
|
359
Xtrackers MSCI EAFE Hedged Equity ETF
DBEF
$9.15B
| $6.65M | 0.04% |
242,615
+77,287
| +47% | +$2.04M |
|
360
Royce Value Trust
RVT
$2.21B
| $6.64M | 0.04% |
414,745
+952
| +0.2% | +$14.5K |
|
361
Emerson Electric
EMR
$83B
| $6.63M | 0.04% |
94,456
+8,386
| +10% | +$560K |
|
|
JPS
362
DELISTED
Nuveen Preferred & Income Securities Fund
JPS
| $6.62M | 0.04% |
813,473
+71,391
| +10% | +$577K |
|
|
PMF
363
DELISTED
PIMCO Municipal Income Fund
PMF
| $6.62M | 0.04% |
541,289
+365,360
| +208% | +$4.56M |
|
364
WisdomTree US AI Enhanced Value Fund
AIVL
$428M
| $6.61M | 0.04% |
96,172
-2,835
| -3% | -$189K |
|
365
Comcast
CMCSA
$82.3B
| $6.61M | 0.04% |
254,234
+41,542
| +20% | +$1M |
|
366
WisdomTree US LargeCap Dividend Fund
DLN
$6.25B
| $6.59M | 0.04% |
198,122
-5,868
| -3% | -$189K |
|
367
State Street SPDR MSCI ACWI ex-US ETF
CWI
$2.73B
| $6.59M | 0.04% |
277,335
-135
| -0% | -$3.15K |
|
368
AB InBev
BUD
$156B
| $6.58M | 0.04% |
61,853
+2,131
| +4% | +$218K |
|
|
ETV
369
Eaton Vance Tax-Managed Buy-Write Opportunities Fund
ETV
$1.71B
| $6.58M | 0.04% |
469,937
+75,681
| +19% | +$1.02M |
|
370
State Street SPDR S&P Pharmaceuticals ETF
XPH
$480M
| $6.58M | 0.04% |
149,494
-48,408
| -24% | -$2.02M |
|
371
ALPS Sector Dividend Dogs ETF
SDOG
$1.42B
| $6.57M | 0.04% |
192,001
+25,674
| +15% | +$858K |
|
372
CSX Corp
CSX
$95.4B
| $6.53M | 0.04% |
681,171
+50,745
| +8% | +$455K |
|
373
Baidu
BIDU
$35.9B
| $6.48M | 0.04% |
36,405
+1,346
| +4% | +$218K |
|
374
Nike
NKE
$62.4B
| $6.47M | 0.04% |
164,634
+3,598
| +2% | +$138K |
|
375
NOV
NOV
$7.45B
| $6.47M | 0.04% |
90,242
-764
| -0.8% | -$55.5K |
|
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.