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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
BOTW
351
Bank of the West
California
– -$470K -6,000 Closed
AIM
352
Aigen Investment Management
New York
– -$434K -5,541 Closed
SF
353
Synovus Financial
Georgia
– -$401K -5,108 Closed
Walleye Capital
354
Walleye Capital
New York
– -$344K -4,391 Closed
WWM
355
WJ Wealth Management
Arizona
– -$314K -4,000 Closed
ACI
356
AMP Capital Investors
Australia
– -$295K -3,858 Closed
CAM
357
Crestone Asset Management
Colorado
– -$298K -3,800 Closed
SRAM
358
Stone Ridge Asset Management
New York
– -$286K -3,653 Closed
IF
359
Intrua Financial
Texas
– -$271K -3,239 Closed
AGM
360
Alpine Global Management
New York
– -$238K -3,034 Closed
NWP
361
Northstar Wealth Partners
Connecticut
– -$226K -2,886 Closed
WAM
362
World Asset Management
Michigan
– -$201K -2,563 Closed
NICM
363
Neo Ivy Capital Management
New York
– -$85K -1,085 Closed
Twin Tree Management
364
Twin Tree Management
Texas
– -$82K -1,051 Closed
NIT
365
NumerixS Investment Technologies
British Columbia, Canada
– -$74K -948 Closed
SSB
366
Sandy Spring Bank
Maryland
– -$38K -481 Closed
DekaBank Deutsche Girozentrale
367
DekaBank Deutsche Girozentrale
Germany
– -$31K -406 Closed
OCM
368
Ovata Capital Management
Hong Kong
– -$28K -360 Closed
MAM
369
Meeder Asset Management
Ohio
– -$26K -340 Closed
CWM
370
Campbell Wealth Management
Virginia
– -$16K -206 Closed
QI
371
QS Investors
New York
– -$14K -167 Closed
CFG
372
Citizens Financial Group
Rhode Island
– -$9K -118 Closed
PFBT
373
Parkside Financial Bank & Trust
Missouri
– -$9K -111 Closed
CAN
374
Cetera Advisor Networks
California
– -$7K -85 Closed
KPW
375
Kore Private Wealth
New York
– -$3K -47 Closed
12 13 14
15
16

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.