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 500 ETF
IVV
|
+$356M |
| 2 |
iShares ESG Aware MSCI USA ETF
ESGU
|
+$272M |
| 3 |
iShares TIPS Bond ETF
TIP
|
+$230M |
| 4 |
State Street SPDR S&P 500 ETF Trust
SPY
|
+$216M |
| 5 |
Invesco QQQ Trust
QQQ
|
+$189M |
Top Sells
Sector Composition
| Rank | Sector | Weight |
|---|---|---|
| 1 | Technology | 6.29% |
| 2 | Financials | 3.14% |
| 3 | Consumer Discretionary | 3.03% |
| 4 | Healthcare | 2.67% |
| 5 | Communication Services | 2.4% |
| Name | Market Value | Portfolio Weight | Shares or Principal |
Change in Stake | Capital Flow | |
|---|---|---|---|---|---|---|
2451
Mayville Engineering Co
MEC
$677M
| $1.24M | ﹤0.01% |
65,915
+25,415
| +63% | +$435K |
|
|
OXLC
2452
Oxford Lane Capital
OXLC
$903M
| $1.24M | ﹤0.01% |
34,306
+24,445
| +248% | +$887K |
|
|
EXD
2453
DELISTED
Eaton Vance TaxManaged Buy-Write Strategy Fund
EXD
| $1.24M | ﹤0.01% |
109,761
+2,280
| +2% | +$27K |
|
2454
State Street SPDR Russell 1000 Momentum Focus ETF
ONEO
$29.3M
| $1.23M | ﹤0.01% |
12,566
-4,334
| -26% | -$435K |
|
|
ARVL
2455
DELISTED
Arrival Ordinary Shares
ARVL
| $1.23M | ﹤0.01% |
1,869
-10
| -0.5% | -$6.39K |
|
|
FSR
2456
DELISTED
Fisker Inc.
FSR
| $1.23M | ﹤0.01% |
83,848
+14,337
| +21% | +$216K |
|
|
LTC
2457
LTC Properties
LTC
$1.99B
| $1.23M | ﹤0.01% |
38,729
+272
| +0.7% | +$9.73K |
|
2458
Xtrackers Short Duration High Yield Bond ETF
SHYL
$268M
| $1.23M | ﹤0.01% |
25,649
+21,218
| +479% | +$1.01M |
|
2459
Portland General Electric
POR
$5.9B
| $1.22M | ﹤0.01% |
26,029
+1,664
| +7% | +$81.9K |
|
2460
Capri Holdings
CPRI
$1.88B
| $1.22M | ﹤0.01% |
25,240
+688
| +3% | +$37.5K |
|
2461
Encompass Health
EHC
$11.2B
| $1.22M | ﹤0.01% |
20,453
+6,450
| +46% | +$406K |
|
2462
BorgWarner
BWA
$13B
| $1.22M | ﹤0.01% |
32,069
-46,676
| -59% | -$1.86M |
|
2463
ProShares High Yield-Interest Rate Hedged ETF
HYHG
$186M
| $1.22M | ﹤0.01% |
19,318
+5,770
| +43% | +$362K |
|
2464
ICF International
ICFI
$1.52B
| $1.22M | ﹤0.01% |
13,419
+2,308
| +21% | +$210K |
|
2465
Magnite
MGNI
$2.8B
| $1.22M | ﹤0.01% |
43,493
+8,171
| +23% | +$246K |
|
2466
MKS Inc
MKSI
$20.9B
| $1.22M | ﹤0.01% |
8,064
+1,364
| +20% | +$209K |
|
|
CHMI
2467
Cherry Hill Mortgage Investment Corp
CHMI
$85.2M
| $1.22M | ﹤0.01% |
136,871
-5,900
| -4% | -$54.3K |
|
|
PHK
2468
PIMCO High Income Fund
PHK
$873M
| $1.21M | ﹤0.01% |
192,952
+14,066
| +8% | +$95.1K |
|
|
COR
2469
DELISTED
Coresite Realty Corporation
COR
| $1.21M | ﹤0.01% |
8,740
-3,451
| -28% | -$493K |
|
2470
Darling Ingredients
DAR
$9.5B
| $1.21M | ﹤0.01% |
16,819
-3,851
| -19% | -$276K |
|
2471
Avantor
AVTR
$9.25B
| $1.21M | ﹤0.01% |
29,499
-386
| -1% | -$15.1K |
|
2472
Petco
WOOF
$831M
| $1.21M | ﹤0.01% |
57,108
+15,033
| +36% | +$317K |
|
2473
Sprott Gold Miners ETF
SGDM
$558M
| $1.2M | ﹤0.01% |
48,344
-2,645
| -5% | -$72.2K |
|
2474
Sonoco
SON
$5.58B
| $1.19M | ﹤0.01% |
20,047
+1,183
| +6% | +$75.7K |
|
2475
Arrowhead Research
ARWR
$12.1B
| $1.19M | ﹤0.01% |
19,116
+9,579
| +100% | +$620K |
|
Similar funds
LPL Financial's Q3 2021 Portfolio in Review
As of Q3 2021, LPL Financial held 4,505 positions worth $106B, up 7.7% from $98.9B the previous quarter. Its ten largest holdings account for 19% of the portfolio.
LPL Financial deployed $9.03B of net new capital in Q3 2021, opening 283 new positions and adding to 2,835 existing holdings. Its largest new stake was Dimensional World ex US Core Equity 2 ETF: 4,232,890 shares worth $110M.
By sector, the portfolio is most concentrated in Technology at 6.3% of assets, up from 6.3% a quarter earlier, followed by Financials and Consumer Discretionary.
On the sell side, the largest reduction was Goldman Sachs ActiveBeta US Large Cap Equity ETF, an estimated $137M trimmed.
- LPL Financial's largest Q3 2021 buy was Dimensional World ex US Core Equity 2 ETF: 4,232,890 shares worth $110M.
- LPL Financial added most to iShares Core S&P 500 ETF in Q3 2021, an estimated $356M increase.
- LPL Financial's biggest Q3 2021 reduction was Goldman Sachs ActiveBeta US Large Cap Equity ETF, cutting an estimated $137M.
- LPL Financial fully exited At Home Group Inc. in Q3 2021, selling an estimated $7.42M.
- LPL Financial's ten largest holdings make up 19% of its $106B portfolio in Q3 2021.
- LPL Financial opened 283 new positions and closed 186 in Q3 2021.
- LPL Financial's portfolio value rose 7.7% quarter-over-quarter to $106B.
Based on LPL Financial's 13F filing for Q3 2021, filed 15 Nov 2021.