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 | |
|---|---|---|---|---|---|---|
201
iShares US Energy ETF
IYE
$1.74B
| $13.8M | 0.09% |
287,578
+14,662
| +5% | +$686K |
|
202
VanEck Gold Miners ETF
GDX
$22.7B
| $13.7M | 0.09% |
593,779
+66,393
| +13% | +$1.77M |
|
203
Eli Lilly
LLY
$1.02T
| $13.6M | 0.09% |
277,839
-9,531
| -3% | -$499K |
|
204
Invesco S&P 500 Pure Value ETF
RPV
$1.65B
| $13.4M | 0.09% |
296,338
+121,392
| +69% | +$5.26M |
|
|
AMJ
205
DELISTED
JP Morgan Alerian MLP Index ETN 5/24/24
AMJ
| $13.3M | 0.09% |
296,510
-18,527
| -6% | -$852K |
|
206
First Trust Small Cap Core AlphaDEX Fund
FYX
$1.36B
| $13.3M | 0.09% |
296,329
+51,161
| +21% | +$2.16M |
|
207
Union Pacific
UNP
$174B
| $13.2M | 0.09% |
168,216
+15,214
| +10% | +$1.2M |
|
208
WisdomTree US MidCap Fund
EZM
$940M
| $13.2M | 0.09% |
493,110
+14,733
| +3% | +$377K |
|
209
Oracle
ORCL
$374B
| $13M | 0.09% |
391,849
+22,638
| +6% | +$734K |
|
210
First Trust Consumer Discretionary AlphaDEX Fund
FXD
$269M
| $13M | 0.09% |
437,385
+245,496
| +128% | +$7.07M |
|
211
iShares US Transportation ETF
IYT
$2.26B
| $12.9M | 0.09% |
433,464
-34,432
| -7% | -$995K |
|
212
eBay
EBAY
$50.6B
| $12.7M | 0.08% |
551,258
+3,141
| +0.6% | +$70.5K |
|
|
CSG
213
DELISTED
CHAMBERS STR PPTYS COM
CSG
| $12.7M | 0.08% |
1,393,268
+607,262
| +77% | +$5.1M |
|
|
ESRX
214
DELISTED
Express Scripts Holding Company
ESRX
| $12.7M | 0.08% |
201,205
+33,360
| +20% | +$2.16M |
|
215
iShares 5-10 Year Investment Grade Corporate Bond ETF
IGIB
$18.5B
| $12.6M | 0.08% |
233,852
-24,064
| -9% | -$1.29M |
|
216
Lockheed Martin
LMT
$134B
| $12.6M | 0.08% |
98,765
+4,293
| +5% | +$521K |
|
217
First Trust Morningstar Dividend Leaders Index Fund
FDL
$7.74B
| $12.4M | 0.08% |
591,002
-35,682
| -6% | -$753K |
|
|
ETP
218
DELISTED
Energy Transfer Partners L.p.
ETP
| $12.3M | 0.08% |
237,715
+501
| +0.2% | +$25.9K |
|
219
VanEck International High Yield Bond ETF
IHY
$43.3M
| $12.3M | 0.08% |
460,389
-49,866
| -10% | -$1.31M |
|
|
SRC
220
DELISTED
SPIRIT REALTY CAPITAL, INC.
SRC
| $12.3M | 0.08% |
288,107
+283,201
| +5,773% | +$11.7M |
|
221
SLB Ltd
SLB
$73.6B
| $12.2M | 0.08% |
134,206
+7,439
| +6% | +$611K |
|
222
Meta Platforms (Facebook)
META
$1.42T
| $12.1M | 0.08% |
244,186
+25,216
| +12% | +$938K |
|
223
Duke Energy
DUK
$97.8B
| $12.1M | 0.08% |
175,872
+12,220
| +7% | +$834K |
|
|
BSJE
224
DELISTED
GUGGENGEIM BULLETSHARES 2014 HIGH YIELD CORPORATE BOND ETF
BSJE
| $12M | 0.08% |
449,037
+78,442
| +21% | +$2.08M |
|
|
SRV
225
NXG Cushing Midstream Energy Fund
SRV
$219M
| $11.9M | 0.08% |
74,675
+43,247
| +138% | +$6.95M |
|
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.