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 | |
|---|---|---|---|---|---|---|
426
First Trust Technology AlphaDEX Fund
FXL
$2.53B
| $4.93M | 0.03% |
178,855
+25,710
| +17% | +$674K |
|
427
Dollar Tree
DLTR
$24.4B
| $4.92M | 0.03% |
83,677
+6,583
| +9% | +$355K |
|
428
iShares MSCI Canada ETF
EWC
$6.13B
| $4.86M | 0.03% |
169,984
-9,519
| -5% | -$264K |
|
|
SCHW
429
Charles Schwab
SCHW
$183B
| $4.84M | 0.03% |
220,115
+7,231
| +3% | +$157K |
|
430
iShares US Healthcare Providers ETF
IHF
$1.21B
| $4.82M | 0.03% |
267,320
+110,780
| +71% | +$1.93M |
|
431
iShares Morningstar Small-Cap Value ETF
ISCV
$692M
| $4.82M | 0.03% |
129,315
+13,014
| +11% | +$472K |
|
432
Annaly Capital Management
NLY
$17.1B
| $4.81M | 0.03% |
103,576
-7,744
| -7% | -$364K |
|
|
TYG
433
Tortoise Energy Infrastructure Corp
TYG
$1.09B
| $4.81M | 0.03% |
26,722
-1,335
| -5% | -$241K |
|
434
Yum! Brands
YUM
$41.8B
| $4.8M | 0.03% |
99,686
-1,071
| -1% | -$55.5K |
|
|
BSCF
435
DELISTED
CLAYMORE GUGGENHEIM BULLETSHARES 2015 CORP BD ETF
BSCF
| $4.77M | 0.03% |
218,224
+164,757
| +308% | +$3.59M |
|
|
EVV
436
Eaton Vance Limited Duration Income Fund
EVV
$1.06B
| $4.75M | 0.03% |
318,788
-28,322
| -8% | -$429K |
|
437
Devon Energy
DVN
$52.1B
| $4.74M | 0.03% |
77,817
+4,960
| +7% | +$283K |
|
438
Blackstone
BX
$102B
| $4.73M | 0.03% |
180,170
+79,582
| +79% | +$1.77M |
|
439
iShares Core S&P US Value ETF
IUSV
$27.2B
| $4.71M | 0.03% |
122,550
-531
| -0.4% | -$20.1K |
|
|
NPM
440
DELISTED
NUVEEN PREMIUM INCM MUNI FD II
NPM
| $4.69M | 0.03% |
375,507
+321,349
| +593% | +$4.07M |
|
441
Progressive
PGR
$123B
| $4.67M | 0.03% |
174,718
| – | – |
|
|
FAX
442
DELISTED
abrdn Asia-Pacific Income Fund
FAX
| $4.64M | 0.03% |
126,711
-3,447
| -3% | -$126K |
|
443
United States Natural Gas Fund
UNG
$456M
| $4.64M | 0.03% |
14,803
+3,319
| +29% | +$996K |
|
444
Invesco S&P 500 Revenue ETF
RWL
$9.62B
| $4.63M | 0.03% |
138,728
-10,168
| -7% | -$333K |
|
445
MetLife
MET
$61.9B
| $4.63M | 0.03% |
106,790
+18,778
| +21% | +$809K |
|
446
iShares US Financials ETF
IYF
$4.67B
| $4.59M | 0.03% |
122,228
+18,800
| +18% | +$697K |
|
447
iShares 1-3 Year International Treasury Bond ETF
ISHG
$837M
| $4.57M | 0.03% |
47,851
+44,276
| +1,238% | +$4.13M |
|
|
RAI
448
DELISTED
Reynolds American Inc
RAI
| $4.56M | 0.03% |
179,034
-718
| -0.4% | -$17.8K |
|
|
APC
449
DELISTED
Anadarko Petroleum
APC
| $4.56M | 0.03% |
47,606
+1,320
| +3% | +$120K |
|
450
Invesco Next Gen Media and Gaming ETF
GGME
$44.1M
| $4.55M | 0.03% |
193,138
+143,663
| +290% | +$3.22M |
|
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.