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 | |
|---|---|---|---|---|---|---|
|
ICON
1876
DELISTED
Iconix Brand Group, Inc.
ICON
| $361K | ﹤0.01% |
+1,107
| New | +$363K |
|
|
OCR
1877
DELISTED
OMNICARE INC
OCR
| $361K | ﹤0.01% |
6,393
+1,656
| +35% | +$88.3K |
|
|
AYR
1878
DELISTED
Aircastle Ltd
AYR
| $360K | ﹤0.01% |
20,411
-607
| -3% | -$10.4K |
|
1879
ProShares UltraShort Dow 30
DXD
$42.2M
| $359K | ﹤0.01% |
548
-202
| -27% | -$135K |
|
|
BSL
1880
Blackstone Senior Floating Rate 2027 Term Fund
BSL
$169M
| $358K | ﹤0.01% |
18,483
-10,129
| -35% | -$198K |
|
1881
Revvity
RVTY
$12.6B
| $358K | ﹤0.01% |
9,608
-874
| -8% | -$31.4K |
|
|
RSX
1882
DELISTED
VanEck Russia ETF
RSX
| $358K | ﹤0.01% |
12,109
-220,710
| -95% | -$5.93M |
|
|
EEQ
1883
DELISTED
Enbridge Energy Management Llc
EEQ
| $357K | ﹤0.01% |
19,678
+7,792
| +66% | +$149K |
|
|
TE
1884
DELISTED
TECO ENERGY INC
TE
| $357K | ﹤0.01% |
21,095
+987
| +5% | +$16.8K |
|
|
NPP
1885
DELISTED
NUVEEN PERFORMANCE+MUN FUND
NPP
| $356K | ﹤0.01% |
27,257
-3,527
| -11% | -$47.2K |
|
1886
Best Buy
BBY
$18.2B
| $355K | ﹤0.01% |
+8,964
| New | +$298K |
|
|
GDL
1887
GDL Fund
GDL
$91.6M
| $355K | ﹤0.01% |
31,801
-3,699
| -10% | -$42.3K |
|
1888
iShares MSCI New Zealand ETF
ENZL
$77.3M
| $354K | ﹤0.01% |
+9,111
| New | +$325K |
|
1889
First Trust Switzerland AlphaDEX Fund
FSZ
$36.8M
| $354K | ﹤0.01% |
9,249
+3,249
| +54% | +$119K |
|
1890
VanEck Vietnam ETF
VNM
$491M
| $354K | ﹤0.01% |
18,800
-7,402
| -28% | -$136K |
|
1891
Ambarella
AMBA
$3.77B
| $353K | ﹤0.01% |
17,874
-177,311
| -91% | -$3.02M |
|
1892
iShares Russell Top 200 ETF
IWL
$2.19B
| $353K | ﹤0.01% |
+9,101
| New | +$346K |
|
1893
BlackRock MuniYield Michigan Quality Fund
MIY
$353M
| $353K | ﹤0.01% |
28,844
-3,883
| -12% | -$48.9K |
|
1894
Snap-on
SNA
$21.2B
| $353K | ﹤0.01% |
+3,561
| New | +$342K |
|
1895
Moog Inc Class A
MOG.A
$12.4B
| $352K | ﹤0.01% |
5,964
+53
| +0.9% | +$2.94K |
|
1896
Ametek
AME
$55.4B
| $351K | ﹤0.01% |
+7,685
| New | +$346K |
|
|
SWFT
1897
DELISTED
Swift Transportation Company
SWFT
| $351K | ﹤0.01% |
+17,645
| New | +$321K |
|
1898
Yelp
YELP
$1.45B
| $350K | ﹤0.01% |
+5,120
| New | +$262K |
|
1899
ProShares UltraShort Yen
YCS
$29.9M
| $349K | ﹤0.01% |
22,380
-2,160
| -9% | -$34.1K |
|
1900
State Street Income Allocation ETF
INKM
$72M
| $348K | ﹤0.01% |
11,364
+653
| +6% | +$19.7K |
|
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.