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
|
+$410M |
| 2 |
iShares Treasury Floating Rate Bond ETF
TFLO
|
+$316M |
| 3 |
State Street SPDR S&P 500 ETF Trust
SPY
|
+$271M |
| 4 |
iShares 20+ Year Treasury Bond ETF
TLT
|
+$225M |
| 5 |
FT Vest Fund of Buffer ETFs
BUFR
|
+$183M |
Top Sells
| Rank | Stock | Value |
|---|---|---|
| 1 |
iShares US Treasury Bond ETF
GOVT
|
+$279M |
| 2 |
iShares US Technology ETF
IYW
|
+$142M |
| 3 |
iShares ESG Aware MSCI USA ETF
ESGU
|
+$139M |
| 4 |
iShares MSCI USA Quality Factor ETF
QUAL
|
+$116M |
| 5 |
iShares MSCI EAFE Growth ETF
EFG
|
+$91.1M |
Sector Composition
| Rank | Sector | Weight |
|---|---|---|
| 1 | Technology | 6.5% |
| 2 | Financials | 3.09% |
| 3 | Healthcare | 2.96% |
| 4 | Consumer Discretionary | 2.59% |
| 5 | Industrials | 2.22% |
| Name | Market Value | Portfolio Weight | Shares or Principal |
Change in Stake | Capital Flow | |
|---|---|---|---|---|---|---|
4501
Sundial Growers
SNDL
$320M
| $58.1K | ﹤0.01% |
30,553
+4,375
| +17% | +$7.36K |
|
|
TWOU
4502
DELISTED
2U Inc
TWOU
| $57.1K | ﹤0.01% |
771
+66
| +9% | +$6.75K |
|
4503
VerifyMe
VRME
$9.38M
| $57.1K | ﹤0.01% |
48,778
| – | – |
|
|
STKL
4504
DELISTED
SunOpta
STKL
| $57K | ﹤0.01% |
16,920
-1,385
| -8% | -$6.94K |
|
|
EXAI
4505
DELISTED
Exscientia Plc American Depositary Shares
EXAI
| $56.6K | ﹤0.01% |
12,525
+525
| +4% | +$3.39K |
|
4506
Ouster
OUST
$2.63B
| $56.2K | ﹤0.01% |
11,144
+1,125
| +11% | +$6.23K |
|
4507
Diana Shipping
DSX
$302M
| $56.1K | ﹤0.01% |
20,269
+1,726
| +9% | +$5.05K |
|
|
WBX
4508
Wallbox
WBX
$77.9M
| $55.8K | ﹤0.01% |
+1,240
| New | +$80.9K |
|
|
UROY
4509
Uranium Royalty Corp
UROY
$1.3B
| $55.1K | ﹤0.01% |
+19,191
| New | +$45.2K |
|
4510
Angi Inc
ANGI
$229M
| $54.4K | ﹤0.01% |
2,749
-2,136
| -44% | -$61.1K |
|
4511
Stereotaxis
STXS
$126M
| $54K | ﹤0.01% |
+34,183
| New | +$54.7K |
|
|
AIFC
4512
AI Financial Corp
AIFC
$57.6M
| $53.6K | ﹤0.01% |
+130,141
| New | +$95.2K |
|
4513
Cognyte Software
CGNT
$659M
| $52.8K | ﹤0.01% |
10,973
+491
| +5% | +$2.49K |
|
4514
Organogenesis Holdings
ORGO
$305M
| $52.6K | ﹤0.01% |
16,543
| – | – |
|
|
VTNR
4515
DELISTED
Vertex Energy, Inc
VTNR
| $51.6K | ﹤0.01% |
11,601
| – | – |
|
|
ONCT
4516
DELISTED
Oncternal Therapeutics, Inc. Common Stock
ONCT
| $51.4K | ﹤0.01% |
8,573
| – | – |
|
|
GCV
4517
Gabelli Convertible and Income Securities Fund
GCV
$90.9M
| $51.4K | ﹤0.01% |
13,695
+74
| +0.5% | +$302 |
|
|
NAGE
4518
Niagen Bioscience
NAGE
$271M
| $51.1K | ﹤0.01% |
35,009
+6,094
| +21% | +$9.52K |
|
|
INFN
4519
DELISTED
Infinera Corporation Common Stock
INFN
| $49K | ﹤0.01% |
11,718
-72
| -0.6% | -$311 |
|
|
ASXC
4520
DELISTED
Asensus Surgical, Inc.
ASXC
| $48.2K | ﹤0.01% |
178,581
+19,000
| +12% | +$6.91K |
|
|
ONCY
4521
Oncolytics Biotech
ONCY
$89.9M
| $47K | ﹤0.01% |
+21,579
| New | +$52.7K |
|
4522
SelectQuote
SLQT
$132M
| $46.9K | ﹤0.01% |
40,100
+9,875
| +33% | +$14.9K |
|
|
BIOR
4523
DELISTED
Biora Therapeutics, Inc. Common Stock
BIOR
| $46.7K | ﹤0.01% |
2,153
-25
| -1% | -$801 |
|
4524
Opko Health
OPK
$985M
| $45.7K | ﹤0.01% |
28,563
-4,079
| -12% | -$7.43K |
|
4525
Accuray
ARAY
$32M
| $45.5K | ﹤0.01% |
16,735
+591
| +4% | +$1.95K |
|
Similar funds
LPL Financial's Q3 2023 Portfolio in Review
As of Q3 2023, LPL Financial held 4,862 positions worth $143B, up 2.1% from $140B the previous quarter. Its ten largest holdings account for 18% of the portfolio.
LPL Financial deployed $8.26B of net new capital in Q3 2023, opening 280 new positions and adding to 2,842 existing holdings. Its largest new stake was Toews Agility Shares Managed Risk ETF: 749,841 shares worth $20.9M.
By sector, the portfolio is most concentrated in Technology at 6.5% of assets, down from 6.6% a quarter earlier, followed by Financials and Healthcare.
On the sell side, the largest reduction was iShares US Treasury Bond ETF, an estimated $279M trimmed.
- LPL Financial's largest Q3 2023 buy was Toews Agility Shares Managed Risk ETF: 749,841 shares worth $20.9M.
- LPL Financial added most to iShares Core S&P 500 ETF in Q3 2023, an estimated $410M increase.
- LPL Financial's biggest Q3 2023 reduction was iShares US Treasury Bond ETF, cutting an estimated $279M.
- LPL Financial fully exited Magellan Midstream Partners, L.P. in Q3 2023, selling an estimated $23.3M.
- LPL Financial's ten largest holdings make up 18% of its $143B portfolio in Q3 2023.
- LPL Financial opened 280 new positions and closed 178 in Q3 2023.
- LPL Financial's portfolio value rose 2.1% quarter-over-quarter to $143B.
Based on LPL Financial's 13F filing for Q3 2023, filed 13 Nov 2023.