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 | |
|---|---|---|---|---|---|---|
2126
SS&C Technologies
SSNC
$18.8B
| $296K | ﹤0.01% |
+13,378
| New | +$269K |
|
2127
Toll Brothers
TOL
$14.5B
| $296K | ﹤0.01% |
8,003
-740
| -8% | -$24.5K |
|
|
GXP
2128
DELISTED
Great Plains Energy Incorporated
GXP
| $296K | ﹤0.01% |
12,230
-427
| -3% | -$10.1K |
|
|
NNJ
2129
DELISTED
NUVEEN (NJ)PREM INCM MUNI FUND
NNJ
| $296K | ﹤0.01% |
22,635
-3,250
| -13% | -$42.5K |
|
|
NQS
2130
DELISTED
NUVEEN SELECT QUALITY MUNI FD
NQS
| $296K | ﹤0.01% |
23,882
+650
| +3% | +$8.01K |
|
|
CAJ
2131
DELISTED
Canon, Inc.
CAJ
| $295K | ﹤0.01% |
9,229
+2,273
| +33% | +$72.7K |
|
|
PER
2132
DELISTED
SANDRIDGE PERMIAN TRUST
PER
| $295K | ﹤0.01% |
24,935
-25,622
| -51% | -$347K |
|
|
HME
2133
DELISTED
HOME PROPERTIES, INC
HME
| $295K | ﹤0.01% |
5,493
-168
| -3% | -$9.44K |
|
2134
Gladstone Investment Corp
GAIN
$655M
| $294K | ﹤0.01% |
36,441
-2,706
| -7% | -$19.9K |
|
2135
WD-40
WDFC
$3.08B
| $294K | ﹤0.01% |
+3,932
| New | +$281K |
|
|
TNGO
2136
DELISTED
Tangoe, Inc.
TNGO
| $294K | ﹤0.01% |
16,297
-5,194
| -24% | -$98.6K |
|
|
CPHD
2137
DELISTED
Cepheid Inc
CPHD
| $294K | ﹤0.01% |
6,305
+577
| +10% | +$24.5K |
|
2138
Compugen
CGEN
$214M
| $292K | ﹤0.01% |
32,600
+2,700
| +9% | +$26.4K |
|
2139
Maximus
MMS
$3.31B
| $292K | ﹤0.01% |
6,640
+75
| +1% | +$3.46K |
|
|
AUXL
2140
DELISTED
AUXILIUM PHARAMCEUTICALS INC
AUXL
| $292K | ﹤0.01% |
+14,069
| New | +$265K |
|
2141
Bank OZK
OZK
$5.62B
| $291K | ﹤0.01% |
+10,294
| New | +$267K |
|
2142
iShares Agency Bond ETF
AGZ
$559M
| $290K | ﹤0.01% |
2,619
+462
| +21% | +$51.4K |
|
2143
Global X SuperDividend US ETF
DIV
$796M
| $290K | ﹤0.01% |
+11,158
| New | +$285K |
|
2144
iPath Bloomberg Commodity Index Total Return ETN due 12 June 2036
DJP
$786M
| $289K | ﹤0.01% |
7,855
-85,132
| -92% | -$3.13M |
|
2145
Labcorp
LH
$25.8B
| $289K | ﹤0.01% |
3,676
-318
| -8% | -$27.1K |
|
2146
Minerals Technologies
MTX
$2.33B
| $289K | ﹤0.01% |
4,809
+19
| +0.4% | +$1.07K |
|
|
MUE
2147
DELISTED
BlackRock MuniHoldings Quality Fund II
MUE
| $289K | ﹤0.01% |
23,931
-6,850
| -22% | -$83K |
|
|
N
2148
DELISTED
Netsuite Inc
N
| $289K | ﹤0.01% |
+2,802
| New | +$281K |
|
|
EQC
2149
DELISTED
Equity Commonwealth
EQC
| $288K | ﹤0.01% |
12,351
-1,377
| -10% | -$32.6K |
|
|
NCU
2150
DELISTED
NUVEEN (CAL) PREM INCM MUNI FD
NCU
| $288K | ﹤0.01% |
22,286
+4,792
| +27% | +$62.4K |
|
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.