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LPL Financial
LPLA

326 hedge funds and large institutions have $5.85B invested in LPL Financial in 2020 Q3 according to their latest regulatory filings, with 39 funds opening new positions, 113 increasing their positions, 132 reducing their positions, and 53 closing their positions.

New
Increased
Maintained
Reduced
Closed

0.73% less ownership

Funds ownership: 97.54% → 96.81% (-0.73%)

3% less capital invested

Capital invested by funds: $6.03B → $5.85B (-$180M)

4% less funds holding

Funds holding: 341 → 326 (-15)

13% less funds holding in top 10

Funds holding in top 10: 8 → 7 (-1)

14% less repeat investments, than reductions

Existing positions increased: 113 | Existing positions reduced: 132

26% less first-time investments, than exits

New positions opened: 39 | Existing positions closed: 53

45% less call options, than puts

Call options by funds: $8.09M | Put options by funds: $14.7M

Holders
326
Holders Change
-15
Holders Change %
-4.4%
% of All Funds
6.58%
Holding in Top 10
7
Holding in Top 10 Change
-1
Holding in Top 10 Change %
-12.5%
% of All Funds
0.14%
New
39
Increased
113
Reduced
132
Closed
53
Calls
$8.09M
Puts
$14.7M
Net Calls
-$6.62M
Net Calls Change
-$3.54M

Top Buyers

1
Wellington Management Group
Wellington Management Group
Massachusetts
+$241M
2
HVCM
HG Vora Capital Management
New York
+$59.6M
3
AllianceBernstein
AllianceBernstein
Tennessee
+$50.8M
4
ACM
Argent Capital Management
Missouri
+$34.6M
5
EIP
Epoch Investment Partners
New York
+$22.1M

Top Sellers

1
Deutsche Bank
Deutsche Bank
Germany
-$101M
2
Vanguard Group
Vanguard Group
Pennsylvania
-$59.1M
3
Janus Henderson Group
Janus Henderson Group
United Kingdom
-$40.2M
4
Holocene Advisors
Holocene Advisors
New York
-$38.1M
5
Prudential Financial
Prudential Financial
New Jersey
-$34.2M
Name Holding Trade Value Shares
Change 		Change in
Stake
PA
301
Parallel Advisors
California
$6K – – –
FHC
302
First Horizon Corporation
Tennessee
$6K +$6.67K +84 New
CI
303
CX Institutional
Indiana
$5K -$3.02K -38 -37%
VFA
304
Valeo Financial Advisors
Indiana
$5K +$3.41K +43 +172%
CTC
305
Central Trust Company
Missouri
$4K -$1.59K -20 -29%
AssetMark Inc
306
AssetMark Inc
California
$4K – – –
PMFA
307
Plante Moran Financial Advisors
Michigan
$4K +$3.81K +48 New
FHA
308
First Horizon Advisors
Tennessee
$4K +$4.29K +54 New
ST
309
Smithfield Trust
Pennsylvania
$3K – – –
PWM
310
Provident Wealth Management
Tennessee
$3K +$3.18K +40 New
EARNEST Partners
311
EARNEST Partners
Georgia
$2K – – –
IRAG
312
Investment Research & Advisory Group
Georgia
$2K – – –
WT
313
Washington Trust
Rhode Island
$2K +$715 +9 +50%
IFAM
314
Institutional & Family Asset Management
Colorado
$2K +$873 +11 +79%
CWC
315
Carolinas Wealth Consulting
North Carolina
$2K +$1.59K +20 New
NNP
316
Nachman Norwood & Parrott
South Carolina
$2K +$2.38K +30 New
ACM
317
AUA Capital Management
Pennsylvania
$2K +$2.46K +31 New
APA
318
American Portfolios Advisors
New York
$1.76K – – –
GEA
319
Glen Eagle Advisors
New Jersey
$1.53K – – –
SFS
320
Sowell Financial Services
Arkansas
$1K – – –
GWM
321
Geneos Wealth Management
Colorado
$1K +$79 +1 +5%
SIS
322
Sound Income Strategies
Florida
$1K +$556 +7 New
AA
323
Ancora Advisors
Ohio
$1K +$794 +10 New
PFWA
324
Paces Ferry Wealth Advisors
Georgia
$1K +$953 +12 New
Holocene Advisors
325
Holocene Advisors
New York
– -$38.1M -485,575 Closed
11 12
13
14 15

LPLA Hedge Fund Activity: Q3 2020 in Review

326 of the 4,956 institutional investors tracked by Wall St. Rank reported a position in LPL Financial (LPLA) for Q3 2020, worth a combined $5.85B — down 3% from $6.03B a quarter earlier.

Sellers outnumbered buyers: 53 funds closed out of LPLA and 39 opened new positions — a net loss of 14 holders — while 132 trimmed existing stakes and 113 added.

The largest buyer was Wellington Management Group, adding an estimated $241M. The largest seller was Deutsche Bank, cutting an estimated $101M.

  • 326 institutional investors held LPL Financial (LPLA) as of Q3 2020, down from 341 in Q2 2020.
  • Funds reported $5.85B of LPL Financial stock for Q3 2020, down 3% quarter-over-quarter.
  • 39 funds opened new LPL Financial positions in Q3 2020 and 53 closed out, a net change of -14 holders.
  • The largest LPL Financial buyer in Q3 2020 was Wellington Management Group, an estimated $241M added.
  • The largest LPL Financial seller in Q3 2020 was Deutsche Bank, an estimated $101M sold.

Based on aggregated 13F filings for Q3 2020.