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 | |
|---|---|---|---|---|---|---|
|
SURF
3976
DELISTED
Surface Oncology, Inc. Common Stock
SURF
| $202K | ﹤0.01% |
+26,650
| New | +$171K |
|
3977
Fulton Financial
FULT
$4.66B
| $201K | ﹤0.01% |
13,141
+197
| +2% | +$3.05K |
|
|
DOO
3978
Bombardier Recreational Products
DOO
$4.54B
| $200K | ﹤0.01% |
+2,162
| New | +$187K |
|
|
EMO
3979
ClearBridge Energy Midstream Opportunity Fund
EMO
$1.03B
| $200K | ﹤0.01% |
+9,174
| New | +$196K |
|
|
PCK
3980
DELISTED
Pimco California Municipal Income Fund II
PCK
| $200K | ﹤0.01% |
20,780
+2,333
| +13% | +$22.5K |
|
|
SHI
3981
DELISTED
Sinopec Shanghai Petrochemical Co., Ltd.
SHI
| $200K | ﹤0.01% |
+8,278
| New | +$189K |
|
3982
Comstock Resources
CRK
$3.89B
| $199K | ﹤0.01% |
19,229
+2,007
| +12% | +$13.6K |
|
3983
PLAYSTUDIOS Inc
MYPS
$77.9M
| $198K | ﹤0.01% |
43,435
-24,623
| -36% | -$138K |
|
3984
BGC Group
BGC
$5.45B
| $197K | ﹤0.01% |
37,879
-1,604
| -4% | -$8.52K |
|
|
TPC
3985
Tutor Perini Cor
TPC
$4.41B
| $197K | ﹤0.01% |
15,181
+2,942
| +24% | +$40.2K |
|
|
MMAT
3986
DELISTED
Meta Materials Inc. Common Stock
MMAT
| $197K | ﹤0.01% |
+341
| New | +$149K |
|
3987
Compugen
CGEN
$222M
| $196K | ﹤0.01% |
32,903
+3,250
| +11% | +$21.8K |
|
3988
Allot
ALLT
$372M
| $194K | ﹤0.01% |
13,056
| – | – |
|
3989
Bain Capital Specialty
BCSF
$806M
| $194K | ﹤0.01% |
13,067
-1,083
| -8% | -$16.5K |
|
|
MUE
3990
DELISTED
BlackRock MuniHoldings Quality Fund II
MUE
| $193K | ﹤0.01% |
14,020
+1,319
| +10% | +$19K |
|
3991
SLM Corp
SLM
$4.89B
| $193K | ﹤0.01% |
+10,941
| New | +$205K |
|
|
SVM
3992
Silvercorp Metals
SVM
$2.07B
| $193K | ﹤0.01% |
50,656
-82,503
| -62% | -$374K |
|
3993
Invesco DB Energy Fund
DBE
$90.6M
| $192K | ﹤0.01% |
11,362
-14,705
| -56% | -$230K |
|
3994
Galectin Therapeutics
GALT
$196M
| $192K | ﹤0.01% |
49,534
-2,500
| -5% | -$8.47K |
|
|
TRIB
3995
Trinity Biotech
TRIB
$7.83M
| $192K | ﹤0.01% |
594
+194
| +49% | +$68.3K |
|
|
NTBL
3996
DELISTED
Notable Labs, Ltd. Ordinary Shares
NTBL
| $191K | ﹤0.01% |
2,662
-229
| -8% | -$17.9K |
|
3997
Evogene
EVGN
$5.7M
| $190K | ﹤0.01% |
7,206
+1,257
| +21% | +$36.7K |
|
3998
OraSure Technologies
OSUR
$279M
| $190K | ﹤0.01% |
16,817
+4,810
| +40% | +$52.8K |
|
|
CLDR
3999
DELISTED
Cloudera, Inc.
CLDR
| $189K | ﹤0.01% |
11,824
-11,569
| -49% | -$184K |
|
4000
Cosan
CSAN
$3.18B
| $188K | ﹤0.01% |
+11,198
| New | +$205K |
|
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.