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
|
+$266M |
| 2 |
iShare MSCI Eurozone ETF
EZU
|
+$69.4M |
| 3 |
iShares Russell 1000 ETF
IWB
|
+$62M |
| 4 |
Vanguard Total Stock Market ETF
VTI
|
+$49.8M |
| 5 |
Invesco QQQ Trust
QQQ
|
+$44.5M |
Top Sells
| Rank | Stock | Value |
|---|---|---|
| 1 |
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
|
+$223M |
| 2 |
iShares Europe ETF
IEV
|
+$80M |
| 3 |
iShares Core US Aggregate Bond ETF
AGG
|
+$52.5M |
| 4 |
Invesco BuyBack Achievers ETF
PKW
|
+$49.2M |
| 5 |
iShares MSCI Emerging Markets ETF
EEM
|
+$43.9M |
Sector Composition
| Rank | Sector | Weight |
|---|---|---|
| 1 | Technology | 3.13% |
| 2 | Financials | 3.12% |
| 3 | Energy | 2.94% |
| 4 | Healthcare | 2.93% |
| 5 | Industrials | 2.66% |
| Name | Market Value | Portfolio Weight | Shares or Principal |
Change in Stake | Capital Flow | |
|---|---|---|---|---|---|---|
|
NPM
1176
DELISTED
NUVEEN PREMIUM INCM MUNI FD II
NPM
| $1.13M | 0.01% |
81,839
-102,291
| -56% | -$1.4M |
|
1177
Goodyear
GT
$2.11B
| $1.12M | 0.01% |
50,783
-1,845
| -4% | -$47.4K |
|
1178
Invesco Global Water ETF
PIO
$274M
| $1.12M | 0.01% |
49,902
+2,653
| +6% | +$63.1K |
|
1179
Boston Scientific
BSX
$68.3B
| $1.12M | 0.01% |
94,783
-2,790
| -3% | -$35.1K |
|
1180
Analog Devices
ADI
$179B
| $1.12M | 0.01% |
23,123
-1,876
| -8% | -$96.2K |
|
1181
Marathon Petroleum
MPC
$89.8B
| $1.11M | 0.01% |
27,042
+272
| +1% | +$11.5K |
|
|
NQP
1182
DELISTED
Nuveen Pennsylvania Quality Municipal Income Fund
NQP
| $1.11M | 0.01% |
81,749
-35,434
| -30% | -$487K |
|
1183
Trane Technologies
TT
$104B
| $1.11M | 0.01% |
20,081
-787
| -4% | -$47.7K |
|
|
HVPW
1184
DELISTED
U.S. Equity High Volatility Put Write Index Fund
HVPW
| $1.11M | 0.01% |
46,296
+7,914
| +21% | +$193K |
|
1185
BlackRock Debt Strategies Fund
DSU
$592M
| $1.11M | 0.01% |
97,500
+6,749
| +7% | +$80.3K |
|
1186
NETGEAR
NTGR
$664M
| $1.11M | 0.01% |
35,613
| – | – |
|
1187
HF Sinclair
DINO
$16.2B
| $1.11M | 0.01% |
25,730
-10,250
| -28% | -$478K |
|
1188
Perrigo
PRGO
$1.42B
| $1.11M | 0.01% |
7,417
-370
| -5% | -$55.2K |
|
1189
RPM International
RPM
$14.2B
| $1.1M | 0.01% |
24,725
+667
| +3% | +$30.6K |
|
|
MTS
1190
DELISTED
MONTGOMERY STR INCOME SECS
MTS
| $1.1M | 0.01% |
67,188
-1,299
| -2% | -$21.3K |
|
|
PHD
1191
DELISTED
Pioneer Floating Rate Fund
PHD
| $1.09M | 0.01% |
92,752
-21,727
| -19% | -$265K |
|
1192
UGI
UGI
$7.92B
| $1.09M | 0.01% |
32,561
-2,986
| -8% | -$102K |
|
|
RBS.PRN
1193
DELISTED
ROYAL BK SCOTLAND GROUP PLC ADR RPTNG PFD SHRS SER N (UK)
RBS.PRN
| $1.09M | 0.01% |
44,875
+7,875
| +21% | +$192K |
|
1194
Invesco Municipal Trust
VKQ
$541M
| $1.09M | 0.01% |
86,343
+5,907
| +7% | +$73.1K |
|
1195
Tapestry
TPR
$30.5B
| $1.09M | 0.01% |
31,206
+722
| +2% | +$25.9K |
|
1196
Invesco Food & Beverage ETF
PBJ
$111M
| $1.09M | 0.01% |
38,782
-4,626
| -11% | -$130K |
|
1197
CME Group
CME
$93.5B
| $1.09M | 0.01% |
13,672
-166
| -1% | -$12.5K |
|
|
BCS.PRA.CL
1198
DELISTED
Barclays Bank Plc Series 3
BCS.PRA.CL
| $1.08M | 0.01% |
42,260
+1,629
| +4% | +$41.8K |
|
1199
Invesco MSCI Global Timber ETF
CUT
$33.2M
| $1.08M | 0.01% |
46,647
-3,788
| -8% | -$92.8K |
|
|
JDD
1200
DELISTED
Nuveen Diversified Dividend and Income Fund
JDD
| $1.08M | 0.01% |
93,493
-103
| -0.1% | -$1.25K |
|
Similar funds
LPL Financial's Q3 2014 Portfolio in Review
As of Q3 2014, LPL Financial held 2,870 positions worth $16.8B, down 2.3% from $17.2B the previous quarter. Its ten largest holdings account for 20% of the portfolio.
LPL Financial's Q3 2014 filing shows 194 new, 1,224 increased, 1,195 reduced and 174 closed positions. Its largest new stake was WisdomTree Trust WisdomTree Interest Rate Hedged US Aggregate Bond Fund: 685,236 shares worth $17M. The largest sale was State Street SPDR S&P MIDCAP 400 ETF Trust, an estimated $223M.
By sector, the portfolio is most concentrated in Technology at 3.1% of assets, up from 3.1% a quarter earlier, followed by Financials and Energy.
- LPL Financial's largest Q3 2014 buy was WisdomTree Trust WisdomTree Interest Rate Hedged US Aggregate Bond Fund: 685,236 shares worth $17M.
- LPL Financial added most to State Street SPDR S&P 500 ETF Trust in Q3 2014, an estimated $266M increase.
- LPL Financial's biggest Q3 2014 reduction was State Street SPDR S&P MIDCAP 400 ETF Trust, cutting an estimated $223M.
- LPL Financial fully exited iShares MSCI France ETF in Q3 2014, selling an estimated $15.9M.
- LPL Financial's ten largest holdings make up 20% of its $16.8B portfolio in Q3 2014.
- LPL Financial opened 194 new positions and closed 174 in Q3 2014.
- LPL Financial's portfolio value fell 2.3% quarter-over-quarter to $16.8B.
Based on LPL Financial's 13F filing for Q3 2014, filed 10 Nov 2014.