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 | |
|---|---|---|---|---|---|---|
1826
TRI-Continental Corp
TY
$1.88B
| $464K | ﹤0.01% |
22,543
-679
| -3% | -$14.3K |
|
1827
Invesco Advantage Municipal Income Trust II
VKI
$399M
| $463K | ﹤0.01% |
40,523
+730
| +2% | +$8.2K |
|
1828
Westamerica Bancorp
WABC
$1.39B
| $462K | ﹤0.01% |
10,033
-1,085
| -10% | -$53K |
|
1829
Genworth Financial
GNW
$3.85B
| $460K | ﹤0.01% |
35,068
-21,111
| -38% | -$305K |
|
1830
Newell Brands
NWL
$2.23B
| $460K | ﹤0.01% |
13,510
+6,447
| +91% | +$213K |
|
1831
Robert Half
RHI
$4.14B
| $459K | ﹤0.01% |
9,526
+1,876
| +25% | +$92.9K |
|
|
VE
1832
DELISTED
VEOLIA ENVIRONNEMENT
VE
| $459K | ﹤0.01% |
26,159
-20,683
| -44% | -$368K |
|
|
LXK
1833
DELISTED
Lexmark Intl Inc
LXK
| $459K | ﹤0.01% |
11,074
-14,071
| -56% | -$679K |
|
1834
BlackRock MuniYield Michigan Quality Fund
MIY
$350M
| $458K | ﹤0.01% |
33,992
+5,690
| +20% | +$77.4K |
|
|
VIAB
1835
DELISTED
Viacom Inc. Class B
VIAB
| $458K | ﹤0.01% |
6,087
-1,115
| -15% | -$91.7K |
|
1836
Navios Maritime Partners
NMM
$2.22B
| $457K | ﹤0.01% |
1,722
-48
| -3% | -$14K |
|
1837
Cornerstone Strategic Value Fund
CLM
$2.16B
| $456K | ﹤0.01% |
20,571
+4,618
| +29% | +$110K |
|
|
KERX
1838
DELISTED
Keryx Biopharmaceuticals Inc
KERX
| $456K | ﹤0.01% |
31,694
+6,119
| +24% | +$93.7K |
|
1839
Carlisle Companies
CSL
$13.4B
| $455K | ﹤0.01% |
5,803
+83
| +1% | +$6.9K |
|
|
MCR
1840
DELISTED
MFS Charter Income Trust
MCR
| $455K | ﹤0.01% |
51,566
-6,696
| -11% | -$60.8K |
|
|
ISD
1841
PGIM High Yield Bond Fund
ISD
$414M
| $454K | ﹤0.01% |
27,084
+3,266
| +14% | +$56.4K |
|
1842
LKQ Corp
LKQ
$6.7B
| $454K | ﹤0.01% |
17,065
+4,902
| +40% | +$132K |
|
|
IPS
1843
DELISTED
SPDR S&P International Consumer Staples Sector
IPS
| $454K | ﹤0.01% |
11,860
+80
| +0.7% | +$3.28K |
|
1844
Align Technology
ALGN
$13.1B
| $453K | ﹤0.01% |
9,040
+183
| +2% | +$9.97K |
|
|
CONN
1845
DELISTED
Conn's Inc.
CONN
| $453K | ﹤0.01% |
15,260
+675
| +5% | +$26.3K |
|
|
WLL
1846
DELISTED
Whiting Petroleum Corporation
WLL
| $453K | ﹤0.01% |
20
+2
| +11% | +$51K |
|
|
UMH
1847
UMH Properties
UMH
$1.34B
| $452K | ﹤0.01% |
47,653
+6,753
| +17% | +$67.3K |
|
1848
Nuveen Real Asset Income & Growth Fund
JRI
$353M
| $451K | ﹤0.01% |
23,244
+2,800
| +14% | +$55.5K |
|
1849
Teradata
TDC
$2.89B
| $451K | ﹤0.01% |
10,850
-624
| -5% | -$26.8K |
|
|
WPX
1850
DELISTED
WPX Energy, Inc.
WPX
| $451K | ﹤0.01% |
19,343
-1,200
| -6% | -$28.4K |
|
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.