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
|
+$356M |
| 2 |
iShares ESG Aware MSCI USA ETF
ESGU
|
+$272M |
| 3 |
iShares TIPS Bond ETF
TIP
|
+$230M |
| 4 |
State Street SPDR S&P 500 ETF Trust
SPY
|
+$216M |
| 5 |
Invesco QQQ Trust
QQQ
|
+$189M |
Top Sells
Sector Composition
| Rank | Sector | Weight |
|---|---|---|
| 1 | Technology | 6.29% |
| 2 | Financials | 3.14% |
| 3 | Consumer Discretionary | 3.03% |
| 4 | Healthcare | 2.67% |
| 5 | Communication Services | 2.4% |
| Name | Market Value | Portfolio Weight | Shares or Principal |
Change in Stake | Capital Flow | |
|---|---|---|---|---|---|---|
1401
Invesco MSCI Sustainable Future ETF
ERTH
$133M
| $4.91M | ﹤0.01% |
77,558
+9,631
| +14% | +$638K |
|
1402
Donaldson
DCI
$10.9B
| $4.91M | ﹤0.01% |
85,465
-3,493
| -4% | -$225K |
|
1403
TransUnion
TRU
$15.1B
| $4.91M | ﹤0.01% |
43,672
+15,999
| +58% | +$1.88M |
|
|
XLNX
1404
DELISTED
Xilinx Inc
XLNX
| $4.9M | ﹤0.01% |
32,444
+406
| +1% | +$59.5K |
|
1405
abrdn Physical Silver Shares ETF
SIVR
$4.02B
| $4.89M | ﹤0.01% |
228,823
+2,549
| +1% | +$59.7K |
|
1406
Whirlpool
WHR
$2.43B
| $4.88M | ﹤0.01% |
23,948
+957
| +4% | +$210K |
|
1407
First Trust Exchange-Traded Fund VI First Trust S&P International Dividend Aristocrats ETF
FID
$168M
| $4.88M | ﹤0.01% |
278,583
+31,011
| +13% | +$561K |
|
1408
Healthcare Realty
HR
$7.28B
| $4.87M | ﹤0.01% |
164,301
-3,339
| -2% | -$97.4K |
|
1409
WBI BullBear Quality 3000 ETF
WBIL
$30.1M
| $4.87M | ﹤0.01% |
166,084
-8,768
| -5% | -$272K |
|
1410
iShares Self-Driving EV and Tech ETF
IDRV
$125M
| $4.87M | ﹤0.01% |
101,113
+12,133
| +14% | +$600K |
|
1411
Diamondback Energy
FANG
$57.1B
| $4.87M | ﹤0.01% |
51,401
+20,143
| +64% | +$1.62M |
|
1412
Hercules Capital
HTGC
$3.07B
| $4.87M | ﹤0.01% |
292,867
+26,607
| +10% | +$452K |
|
1413
Eaton Vance Tax-Managed Diversified Equity Income Fund
ETY
$2.29B
| $4.86M | ﹤0.01% |
348,659
+29,892
| +9% | +$428K |
|
1414
Davis Select Financial ETF
DFNL
$460M
| $4.85M | ﹤0.01% |
159,548
+19,341
| +14% | +$586K |
|
1415
Las Vegas Sands
LVS
$31.7B
| $4.85M | ﹤0.01% |
132,422
-77,074
| -37% | -$3.31M |
|
|
SCHR
1416
Schwab Intermediately-Term US Treasury ETF
SCHR
$13.3B
| $4.84M | ﹤0.01% |
170,766
+23,944
| +16% | +$685K |
|
1417
iShares Emerging Markets Dividend ETF
DVYE
$1.22B
| $4.84M | ﹤0.01% |
124,381
-19,173
| -13% | -$743K |
|
1418
iShares ESG Advanced MSCI USA ETF
USXF
$1.41B
| $4.84M | ﹤0.01% |
133,955
+82,808
| +162% | +$3.08M |
|
1419
HCM Defender 100 Index ETF
QQH
$716M
| $4.83M | ﹤0.01% |
99,348
+2,267
| +2% | +$115K |
|
1420
iShares Russell Top 200 ETF
IWL
$2.19B
| $4.82M | ﹤0.01% |
46,796
+1,539
| +3% | +$163K |
|
1421
First Trust Utilities AlphaDEX Fund
FXU
$814M
| $4.8M | ﹤0.01% |
162,210
+19,224
| +13% | +$597K |
|
1422
Sanofi
SNY
$103B
| $4.79M | ﹤0.01% |
99,386
-884
| -0.9% | -$45K |
|
1423
iShares MSCI Sweden ETF
EWD
$546M
| $4.79M | ﹤0.01% |
106,747
+97,653
| +1,074% | +$4.64M |
|
1424
Qorvo
QRVO
$7.99B
| $4.78M | ﹤0.01% |
28,599
+1,190
| +4% | +$221K |
|
1425
State Street SPDR S&P Emerging Markets Small Cap ETF
EWX
$652M
| $4.78M | ﹤0.01% |
81,507
+25,422
| +45% | +$1.53M |
|
Similar funds
LPL Financial's Q3 2021 Portfolio in Review
As of Q3 2021, LPL Financial held 4,505 positions worth $106B, up 7.7% from $98.9B the previous quarter. Its ten largest holdings account for 19% of the portfolio.
LPL Financial deployed $9.03B of net new capital in Q3 2021, opening 283 new positions and adding to 2,835 existing holdings. Its largest new stake was Dimensional World ex US Core Equity 2 ETF: 4,232,890 shares worth $110M.
By sector, the portfolio is most concentrated in Technology at 6.3% of assets, up from 6.3% a quarter earlier, followed by Financials and Consumer Discretionary.
On the sell side, the largest reduction was Goldman Sachs ActiveBeta US Large Cap Equity ETF, an estimated $137M trimmed.
- LPL Financial's largest Q3 2021 buy was Dimensional World ex US Core Equity 2 ETF: 4,232,890 shares worth $110M.
- LPL Financial added most to iShares Core S&P 500 ETF in Q3 2021, an estimated $356M increase.
- LPL Financial's biggest Q3 2021 reduction was Goldman Sachs ActiveBeta US Large Cap Equity ETF, cutting an estimated $137M.
- LPL Financial fully exited At Home Group Inc. in Q3 2021, selling an estimated $7.42M.
- LPL Financial's ten largest holdings make up 19% of its $106B portfolio in Q3 2021.
- LPL Financial opened 283 new positions and closed 186 in Q3 2021.
- LPL Financial's portfolio value rose 7.7% quarter-over-quarter to $106B.
Based on LPL Financial's 13F filing for Q3 2021, filed 15 Nov 2021.