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 | |
|---|---|---|---|---|---|---|
401
Mesa Laboratories
MLAB
$564M
| $5.21M | 0.03% |
72,025
-6,148
| -8% | -$393K |
|
|
ETV
402
Eaton Vance Tax-Managed Buy-Write Opportunities Fund
ETV
$1.71B
| $5.2M | 0.03% |
394,256
+53,621
| +16% | +$711K |
|
403
First Trust Large Cap Growth AlphaDEX Fund
FTC
$1.3B
| $5.2M | 0.03% |
138,235
+2,710
| +2% | +$98.3K |
|
404
Wolfspeed
WOLF
$1.23B
| $5.2M | 0.03% |
71,028
+27,447
| +63% | +$1.75M |
|
405
iShares S&P 100 ETF
OEF
$20.1B
| $5.17M | 0.03% |
67,865
+1,970
| +3% | +$148K |
|
406
Global X Guru Index ETF
GURU
$61.3M
| $5.17M | 0.03% |
222,392
+13,577
| +7% | +$300K |
|
407
iShares Core S&P US Growth ETF
IUSG
$31.7B
| $5.16M | 0.03% |
158,822
+1,880
| +1% | +$59.1K |
|
408
Biogen
BIIB
$30B
| $5.12M | 0.03% |
21,444
+4,024
| +23% | +$901K |
|
409
Unilever
UL
$137B
| $5.11M | 0.03% |
118,311
+15,778
| +15% | +$716K |
|
|
OKS
410
DELISTED
Oneok Partners LP
OKS
| $5.1M | 0.03% |
96,885
+14,380
| +17% | +$729K |
|
411
ProShares Short QQQ
PSQ
$824M
| $5.1M | 0.03% |
12,582
+5,562
| +79% | +$2.38M |
|
412
Danaher
DHR
$137B
| $5.09M | 0.03% |
108,891
+302
| +0.3% | +$13.7K |
|
413
Baxter International
BAX
$13.5B
| $5.05M | 0.03% |
139,813
+7,493
| +6% | +$291K |
|
414
Thermo Fisher Scientific
TMO
$213B
| $5.04M | 0.03% |
54,406
+7,715
| +17% | +$698K |
|
415
Teva Pharmaceuticals
TEVA
$40.8B
| $5.03M | 0.03% |
124,574
-12,122
| -9% | -$473K |
|
416
BlackRock Income Trust
BKT
$330M
| $5.02M | 0.03% |
255,936
+57,696
| +29% | +$1.13M |
|
417
State Street SPDR FTSE International Government Inflation-Protected Bond ETF
WIP
$473M
| $5.02M | 0.03% |
83,940
-22,344
| -21% | -$1.3M |
|
418
Invesco Water Resources ETF
PHO
$2.01B
| $5.02M | 0.03% |
209,807
-4,707
| -2% | -$109K |
|
419
Eaton
ETN
$161B
| $5.01M | 0.03% |
72,724
+2,876
| +4% | +$193K |
|
420
Clorox
CLX
$11.6B
| $5.01M | 0.03% |
59,299
+5,140
| +9% | +$434K |
|
|
VTA
421
DELISTED
INVESCO DYNAMIC CREDIT OPPORTUNITIES FUND
VTA
| $4.99M | 0.03% |
397,004
-3,998
| -1% | -$51.1K |
|
422
Vanguard Industrials ETF
VIS
$8.1B
| $4.97M | 0.03% |
54,884
-12,536
| -19% | -$1.09M |
|
|
TWX
423
DELISTED
Time Warner Inc
TWX
| $4.97M | 0.03% |
76,147
-828
| -1% | -$49.5K |
|
424
Comcast
CMCSA
$85B
| $4.94M | 0.03% |
212,692
+28,632
| +16% | +$623K |
|
425
iShares US Consumer Staples ETF
IYK
$1.4B
| $4.94M | 0.03% |
163,977
-342,267
| -68% | -$10.3M |
|
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.