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LPL Financial
LPLA

175 hedge funds and large institutions have $4.18B invested in LPL Financial in 2014 Q3 according to their latest regulatory filings, with 23 funds opening new positions, 65 increasing their positions, 67 reducing their positions, and 26 closing their positions.

New
Increased
Maintained
Reduced
Closed

4% more call options, than puts

Call options by funds: $695K | Put options by funds: $668K

3% less repeat investments, than reductions

Existing positions increased: 65 | Existing positions reduced: 67

3% less funds holding

Funds holding: 180 → 175 (-5)

8% less capital invested

Capital invested by funds: $4.56B → $4.18B (-$375M)

12% less first-time investments, than exits

New positions opened: 23 | Existing positions closed: 26

33% less funds holding in top 10

Funds holding in top 10: 9 → 6 (-3)

Holders
175
Holders Change
-5
Holders Change %
-2.78%
% of All Funds
5.08%
Holding in Top 10
6
Holding in Top 10 Change
-3
Holding in Top 10 Change %
-33.33%
% of All Funds
0.17%
New
23
Increased
65
Reduced
67
Closed
26
Calls
$695K
Puts
$668K
Net Calls
+$27K
Net Calls Change
-$51K

Top Buyers

1
Citadel Advisors
Citadel Advisors
Florida
+$30.9M
2
American Century Companies
American Century Companies
Missouri
+$28.9M
3
FCIM
Fairview Capital Investment Management
California
+$28M
4
Millennium Management
Millennium Management
New York
+$15.5M
5
TAM
Toscafund Asset Management
United Kingdom
+$12.5M

Top Sellers

1
Wellington Management Group
Wellington Management Group
Massachusetts
-$36.5M
2
Fidelity Investments
Fidelity Investments
Massachusetts
-$29.4M
3
Norges Bank
Norges Bank
Norway
-$25.6M
4
Artisan Partners
Artisan Partners
Wisconsin
-$25.4M
5
SP
Stockbridge Partners
Massachusetts
-$20.7M
Name Holding Trade Value Shares
Change 		Change in
Stake
AL
101
Airain Ltd
Guernsey
$1.07M +$914K +18,974 +449%
LPL Financial
102
LPL Financial
California
$1M -$113K -2,344 -10%
JRP
103
Jasper Ridge Partners
California
$966K – – –
Royal Bank of Canada
104
Royal Bank of Canada
Ontario, Canada
$910K +$632K +13,106 +196%
PAM
105
Panagora Asset Management
Massachusetts
$895K -$943K -19,566 -50%
SCA
106
Secor Capital Advisors
New York
$871K +$911K +18,911 New
JP Morgan Chase
107
JP Morgan Chase
New York
$826K +$118K +2,454 +16%
Federated Hermes
108
Federated Hermes
Pennsylvania
$795K -$70.4K -1,460 -8%
CSS
109
Cubist Systematic Strategies
Connecticut
$793K +$830K +17,223 New
DCP
110
DSM Capital Partners
Florida
$775K -$13K -270 -2%
Citigroup
111
Citigroup
New York
$756K -$643K -13,334 -45%
IRF
112
IBM Retirement Fund
New York
$730K -$117K -2,422 -13%
DADC
113
D.A. Davidson & Co
Montana
$708K -$14.5K -300 -2%
URS
114
Utah Retirement Systems
Utah
$695K – – –
ProShare Advisors
115
ProShare Advisors
Maryland
$646K -$56K -1,163 -8%
TM
116
Tikvah Management
North Carolina
$636K – – –
CCM
117
CrestPoint Capital Management
Missouri
$543K -$149K -3,100 -21%
BA
118
BlackRock Advisors
Delaware
$539K -$21.5K -446 -4%
Two Sigma Advisers
119
Two Sigma Advisers
New York
$518K -$72.3K -1,500 -12%
GCA
120
Gideon Capital Advisors
New York
$495K +$518K +10,753 New
M&T Bank
121
M&T Bank
New York
$490K +$512K +10,628 New
BOTW
122
Bank of the West
California
$474K +$48.2K +1,000 +11%
D.E. Shaw & Co
123
D.E. Shaw & Co
New York
$452K +$57K +1,183 +14%
AB
124
Amalgamated Bank
New York
$439K +$5.83K +121 +1%
Bank of America
125
Bank of America
North Carolina
$348K -$753K -15,622 -67%
3 4
5
6 7

LPLA Hedge Fund Activity: Q3 2014 in Review

175 of the 3,446 institutional investors tracked by Wall St. Rank reported a position in LPL Financial (LPLA) for Q3 2014, worth a combined $4.18B — down 8.2% from $4.56B a quarter earlier.

Sellers outnumbered buyers: 26 funds closed out of LPLA and 23 opened new positions — a net loss of 3 holders — while 67 trimmed existing stakes and 65 added.

The largest buyer was Citadel Advisors, adding an estimated $30.9M. The largest seller was Wellington Management Group, cutting an estimated $36.5M.

  • 175 institutional investors held LPL Financial (LPLA) as of Q3 2014, down from 180 in Q2 2014.
  • Funds reported $4.18B of LPL Financial stock for Q3 2014, down 8.2% quarter-over-quarter.
  • 23 funds opened new LPL Financial positions in Q3 2014 and 26 closed out, a net change of -3 holders.
  • The largest LPL Financial buyer in Q3 2014 was Citadel Advisors, an estimated $30.9M added.
  • The largest LPL Financial seller in Q3 2014 was Wellington Management Group, an estimated $36.5M sold.

Based on aggregated 13F filings for Q3 2014.