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 | |
|---|---|---|---|---|---|---|
751
Sun Communities
SUI
$15.2B
| $2.14M | 0.01% |
49,971
+9,196
| +23% | +$434K |
|
752
Bank of America Series L
BAC.PRL
$3.97B
| $2.13M | 0.01% |
2,018
-126
| -6% | -$138K |
|
|
NUM
753
DELISTED
Nuveen Michigan Quality Municipal Income Fund
NUM
| $2.12M | 0.01% |
170,080
+10,533
| +7% | +$134K |
|
|
NQM
754
DELISTED
NUVEEN INVESTMENT QLTY MUNI FD
NQM
| $2.12M | 0.01% |
159,465
-16,714
| -9% | -$225K |
|
|
PWJ
755
DELISTED
POWERSHARES DYNAMIC MID CAP GRTH PORTFOLIO
PWJ
| $2.11M | 0.01% |
75,964
+1,158
| +2% | +$32.1K |
|
756
iShares MSCI EAFE Growth ETF
EFG
$16.6B
| $2.1M | 0.01% |
30,766
-456
| -1% | -$29.9K |
|
757
Digital Realty Trust
DLR
$69.7B
| $2.1M | 0.01% |
38,474
+7,066
| +22% | +$402K |
|
|
EFT
758
Eaton Vance Floating-Rate Income Trust
EFT
$283M
| $2.1M | 0.01% |
136,085
-19,509
| -13% | -$318K |
|
|
ONIT
759
Onity Group
ONIT
$309M
| $2.1M | 0.01% |
2,537
-91
| -3% | -$68.7K |
|
|
ETO
760
Eaton Vance Tax-Advantaged Global Dividend Opportunities Fund
ETO
$507M
| $2.08M | 0.01% |
90,544
+7,074
| +8% | +$162K |
|
761
Reaves Utility Income Fund
UTG
$3.54B
| $2.08M | 0.01% |
84,221
-6,587
| -7% | -$161K |
|
|
JOY
762
DELISTED
Joy Global Inc
JOY
| $2.08M | 0.01% |
39,891
+16,136
| +68% | +$823K |
|
763
ProShares Ultra MidCap400
MVV
$153M
| $2.07M | 0.01% |
110,070
+60,624
| +123% | +$1.06M |
|
|
HYLD
764
DELISTED
High Yield ETF
HYLD
| $2.07M | 0.01% |
40,002
+6,965
| +21% | +$356K |
|
765
Invesco S&P SmallCap 600 Revenue ETF
RWJ
$2.05B
| $2.07M | 0.01% |
125,493
+8,643
| +7% | +$136K |
|
766
ProShares Short VIX Short-Term Futures ETF
SVXY
$228M
| $2.06M | 0.01% |
40,332
+9,914
| +33% | +$506K |
|
767
ProShares Ultra Russell2000
UWM
$245M
| $2.06M | 0.01% |
110,248
+22,892
| +26% | +$392K |
|
768
Celanese
CE
$4.9B
| $2.05M | 0.01% |
38,583
+1,329
| +4% | +$65.1K |
|
|
BCR
769
DELISTED
CR Bard Inc.
BCR
| $2.05M | 0.01% |
17,075
+25
| +0.1% | +$2.87K |
|
770
Expeditors International
EXPD
$22B
| $2.05M | 0.01% |
47,085
-3,286
| -7% | -$136K |
|
771
State Street
STT
$50.6B
| $2.05M | 0.01% |
30,478
+1,374
| +5% | +$94K |
|
772
Nuveen Preferred & Income Opportunities Fund
JPC
$2.89B
| $2.05M | 0.01% |
238,486
-12,280
| -5% | -$111K |
|
773
Intercontinental Exchange
ICE
$85.6B
| $2.05M | 0.01% |
52,330
+1,150
| +2% | +$41.6K |
|
774
iShares Core MSCI EAFE ETF
IEFA
$190B
| $2.05M | 0.01% |
35,017
+14,056
| +67% | +$776K |
|
775
Chubb
CB
$135B
| $2.04M | 0.01% |
21,631
+2,073
| +11% | +$189K |
|
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.