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 Small-Cap ETF
IJR
|
+$76.6M |
| 2 |
State Street SPDR S&P 500 ETF Trust
SPY
|
+$48M |
| 3 |
iShares MSCI Pacific ex Japan ETF
EPP
|
+$29M |
| 4 |
Invesco BuyBack Achievers ETF
PKW
|
+$26.6M |
| 5 |
State Street SPDR Bloomberg Short Term High Yield Bond ETF
SJNK
|
+$24.3M |
Top Sells
| Rank | Stock | Value |
|---|---|---|
| 1 |
iShares MBS ETF
MBB
|
+$99.8M |
| 2 |
iShares 1-5 Year Investment Grade Corporate Bond ETF
IGSB
|
+$57.6M |
| 3 |
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
|
+$38.2M |
| 4 |
iShares MSCI Japan ETF
EWJ
|
+$28.9M |
| 5 |
State Street SPDR Portfolio Short Term Corporate Bond ETF
SPSB
|
+$21.8M |
Sector Composition
| Rank | Sector | Weight |
|---|---|---|
| 1 | Technology | 3.21% |
| 2 | Energy | 2.95% |
| 3 | Financials | 2.95% |
| 4 | Healthcare | 2.81% |
| 5 | Industrials | 2.79% |
| Name | Market Value | Portfolio Weight | Shares or Principal |
Change in Stake | Capital Flow | |
|---|---|---|---|---|---|---|
|
EOD
1651
Allspring Global Dividend Opportunity Fund
EOD
$274M
| $561K | ﹤0.01% |
77,425
+23,172
| +43% | +$171K |
|
1652
Nuveen Real Asset Income & Growth Fund
JRI
$355M
| $561K | ﹤0.01% |
33,520
+3,891
| +13% | +$70.3K |
|
|
SEP
1653
DELISTED
Spectra Engy Parters Lp
SEP
| $561K | ﹤0.01% |
12,376
-101
| -0.8% | -$4.43K |
|
|
NQC
1654
DELISTED
NUVEEN CALIF INVT QUAL MUNI FD
NQC
| $561K | ﹤0.01% |
42,551
+3,133
| +8% | +$41.4K |
|
1655
AMC Global Media
AMCX
$461M
| $560K | ﹤0.01% |
8,229
-664
| -7% | -$44.2K |
|
1656
Graco
GGG
$13.2B
| $560K | ﹤0.01% |
21,495
-459
| -2% | -$11.7K |
|
|
MVO
1657
DELISTED
MV Oil Trust
MVO
| $560K | ﹤0.01% |
23,566
-1,551
| -6% | -$41.6K |
|
|
PCYC
1658
DELISTED
PHARMACYCLICS INC
PCYC
| $560K | ﹤0.01% |
5,297
+386
| +8% | +$46.8K |
|
|
RFMD
1659
DELISTED
RF MICRO DEVICES INC
RFMD
| $560K | ﹤0.01% |
108,520
+27,640
| +34% | +$148K |
|
|
ELGX
1660
DELISTED
Endologix Inc
ELGX
| $559K | ﹤0.01% |
3,204
+30
| +0.9% | +$5.16K |
|
1661
Standard Motor Products
SMP
$908M
| $557K | ﹤0.01% |
15,143
+2,000
| +15% | +$68.8K |
|
1662
First Solar
FSLR
$21.8B
| $556K | ﹤0.01% |
+10,180
| New | +$557K |
|
1663
America Movil
AMX
$74.6B
| $554K | ﹤0.01% |
23,695
+444
| +2% | +$9.68K |
|
|
NQP
1664
DELISTED
Nuveen Pennsylvania Quality Municipal Income Fund
NQP
| $553K | ﹤0.01% |
44,774
+4,131
| +10% | +$51.3K |
|
1665
ProShares UltraShort Gold
GLL
$125M
| $552K | ﹤0.01% |
+1,334
| New | +$503K |
|
1666
PRA Group
PRAA
$684M
| $552K | ﹤0.01% |
10,449
-2,112
| -17% | -$120K |
|
1667
First Trust Small Cap Value AlphaDEX Fund
FYT
$193M
| $551K | ﹤0.01% |
+17,241
| New | +$523K |
|
|
BKCC
1668
DELISTED
BlackRock Capital Investment Corporation
BKCC
| $551K | ﹤0.01% |
59,007
+22,850
| +63% | +$217K |
|
|
BBK
1669
DELISTED
Blackrock Municipal Bond Trust
BBK
| $551K | ﹤0.01% |
40,159
+3,566
| +10% | +$49K |
|
|
PT
1670
DELISTED
PORTUGAL TELECOM SGPS, S.A.
PT
| $550K | ﹤0.01% |
127,356
-12,466
| -9% | -$56K |
|
1671
Vipshop
VIPS
$7.27B
| $548K | ﹤0.01% |
65,460
-3,880
| -6% | -$29.6K |
|
1672
Prologis
PLD
$137B
| $546K | ﹤0.01% |
14,785
+113
| +0.8% | +$4.35K |
|
|
MDSO
1673
DELISTED
Medidata Solutions, Inc.
MDSO
| $546K | ﹤0.01% |
9,031
-295
| -3% | -$16.3K |
|
|
AGU
1674
DELISTED
Agrium
AGU
| $546K | ﹤0.01% |
5,967
-7,320
| -55% | -$647K |
|
|
KOG
1675
DELISTED
KODIAK OIL & GAS CORP
KOG
| $545K | ﹤0.01% |
48,651
-50,568
| -51% | -$605K |
|
Similar funds
LPL Financial's Q4 2013 Portfolio in Review
As of Q4 2013, LPL Financial held 2,780 positions worth $16B, up 6.6% from $15B the previous quarter. Its ten largest holdings account for 21% of the portfolio.
LPL Financial's Q4 2013 filing shows 245 new, 1,314 increased, 1,020 reduced and 136 closed positions. Its largest new stake was COLUMBIA PROPERTY TRUST, INC.: 364,765 shares worth $9.12M. The largest sale was iShares MBS ETF, an estimated $99.8M.
By sector, the portfolio is most concentrated in Technology at 3.2% of assets, up from 3% a quarter earlier, followed by Energy and Financials.
- LPL Financial's largest Q4 2013 buy was COLUMBIA PROPERTY TRUST, INC.: 364,765 shares worth $9.12M.
- LPL Financial added most to iShares Core S&P Small-Cap ETF in Q4 2013, an estimated $76.6M increase.
- LPL Financial's biggest Q4 2013 reduction was iShares MBS ETF, cutting an estimated $99.8M.
- LPL Financial fully exited GUGGENGEIM BULLETSHARES 2013 HIGH YIELD CORPORATE BOND ETF in Q4 2013, selling an estimated $3.64M.
- LPL Financial's ten largest holdings make up 21% of its $16B portfolio in Q4 2013.
- LPL Financial opened 245 new positions and closed 136 in Q4 2013.
- LPL Financial's portfolio value rose 6.6% quarter-over-quarter to $16B.
Based on LPL Financial's 13F filing for Q4 2013, filed 13 Feb 2014.