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 |
State Street SPDR S&P 500 ETF Trust
SPY
|
+$118M |
| 2 |
iShares S&P 500 Value ETF
IVE
|
+$88.6M |
| 3 |
SPDR Gold Trust
GLD
|
+$49.2M |
| 4 |
iShares MSCI Emerging Markets ETF
EEM
|
+$41.6M |
| 5 |
FS KKR Capital
FSK
|
+$33.7M |
Top Sells
| Rank | Stock | Value |
|---|---|---|
| 1 |
iShares MBS ETF
MBB
|
+$129M |
| 2 |
iShares Core S&P Small-Cap ETF
IJR
|
+$98.6M |
| 3 |
iShares S&P 500 Growth ETF
IVW
|
+$81.1M |
| 4 |
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund
MINT
|
+$34M |
| 5 |
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
|
+$25M |
Sector Composition
| Rank | Sector | Weight |
|---|---|---|
| 1 | Energy | 3.14% |
| 2 | Technology | 3.06% |
| 3 | Financials | 2.97% |
| 4 | Healthcare | 2.73% |
| 5 | Industrials | 2.64% |
| Name | Market Value | Portfolio Weight | Shares or Principal |
Change in Stake | Capital Flow | |
|---|---|---|---|---|---|---|
601
Gabelli Dividend & Income Trust
GDV
$2.6B
| $3.58M | 0.02% |
163,385
+20,911
| +15% | +$443K |
|
602
3D Systems Corp
DDD
$431M
| $3.55M | 0.02% |
59,356
-491
| -0.8% | -$25.2K |
|
603
iShares Micro-Cap ETF
IWC
$1.44B
| $3.55M | 0.02% |
46,622
-46,875
| -50% | -$3.43M |
|
604
Welltower
WELL
$169B
| $3.54M | 0.02% |
56,567
-10,424
| -16% | -$656K |
|
605
Lumen
LUMN
$6.57B
| $3.54M | 0.02% |
97,863
-2,459
| -2% | -$88.3K |
|
606
American Airlines Group
AAL
$10.1B
| $3.54M | 0.02% |
82,345
-2,686
| -3% | -$105K |
|
607
ProShares Ultra Financials
UYG
$828M
| $3.54M | 0.02% |
167,472
-9,966
| -6% | -$200K |
|
608
Invesco DB Commodity Index Tracking Fund
DBC
$1.69B
| $3.54M | 0.02% |
133,013
-19,445
| -13% | -$512K |
|
609
Eversource Energy
ES
$26.9B
| $3.53M | 0.02% |
74,719
-2,727
| -4% | -$125K |
|
610
Nuveen California AMT-Free Quality Municipal Income Fund
NKX
$646M
| $3.51M | 0.02% |
257,120
+63,257
| +33% | +$859K |
|
611
ProShares S&P 500 Dividend Aristocrats ETF
NOBL
$11.7B
| $3.5M | 0.02% |
151,820
+88,386
| +139% | +$1.99M |
|
612
iShares Global Tech ETF
IXN
$8.32B
| $3.48M | 0.02% |
234,564
+14,922
| +7% | +$214K |
|
|
FFC
613
Flaherty & Crumrine Preferred and Income Securities Fund
FFC
$777M
| $3.47M | 0.02% |
176,923
-281
| -0.2% | -$5.58K |
|
614
Hartford Financial Services
HIG
$38.9B
| $3.47M | 0.02% |
96,811
+3,228
| +3% | +$114K |
|
|
OKS
615
DELISTED
Oneok Partners LP
OKS
| $3.46M | 0.02% |
59,110
-6,872
| -10% | -$383K |
|
616
Regeneron Pharmaceuticals
REGN
$78.5B
| $3.45M | 0.02% |
12,204
+343
| +3% | +$102K |
|
|
JRO
617
DELISTED
Nuveen Floating Rate Income Opportunty Fund
JRO
| $3.44M | 0.02% |
276,547
-3,433
| -1% | -$42K |
|
618
Toyota
TM
$224B
| $3.44M | 0.02% |
28,716
+3,738
| +15% | +$416K |
|
619
Schwab US Broad Market ETF
SCHB
$43.2B
| $3.42M | 0.02% |
430,686
+16,746
| +4% | +$129K |
|
|
JSN
620
DELISTED
NUVEEN EQUITY PREMIUM OPPORTUNITY FUND
JSN
| $3.42M | 0.02% |
266,446
+45,496
| +21% | +$583K |
|
621
AGNC Investment
AGNC
$12.4B
| $3.42M | 0.02% |
146,053
+67,892
| +87% | +$1.56M |
|
622
Seagate
STX
$194B
| $3.4M | 0.02% |
59,911
-54,404
| -48% | -$2.93M |
|
623
Public Storage
PSA
$60.5B
| $3.38M | 0.02% |
19,744
-909
| -4% | -$156K |
|
624
Travelers Companies
TRV
$78.1B
| $3.38M | 0.02% |
35,932
+7,643
| +27% | +$697K |
|
|
AET
625
DELISTED
Aetna Inc
AET
| $3.38M | 0.02% |
41,691
+6,435
| +18% | +$487K |
|
Similar funds
LPL Financial's Q2 2014 Portfolio in Review
As of Q2 2014, LPL Financial held 2,843 positions worth $17.2B, up 5.5% from $16.3B the previous quarter. Its ten largest holdings account for 20% of the portfolio.
LPL Financial's Q2 2014 filing shows 204 new, 1,214 increased, 1,177 reduced and 167 closed positions. Its largest new stake was FS KKR Capital: 815,533 shares worth $34.7M. The largest sale was iShares MBS ETF, an estimated $129M.
By sector, the portfolio is most concentrated in Energy at 3.1% of assets, up from 2.9% a quarter earlier, followed by Technology and Financials.
- LPL Financial's largest Q2 2014 buy was FS KKR Capital: 815,533 shares worth $34.7M.
- LPL Financial added most to State Street SPDR S&P 500 ETF Trust in Q2 2014, an estimated $118M increase.
- LPL Financial's biggest Q2 2014 reduction was iShares MBS ETF, cutting an estimated $129M.
- LPL Financial fully exited Invesco CurrencyShares Euro Currency Trust in Q2 2014, selling an estimated $6.53M.
- LPL Financial's ten largest holdings make up 20% of its $17.2B portfolio in Q2 2014.
- LPL Financial opened 204 new positions and closed 167 in Q2 2014.
- LPL Financial's portfolio value rose 5.5% quarter-over-quarter to $17.2B.
Based on LPL Financial's 13F filing for Q2 2014, filed 5 Aug 2014.