LPL Financial LLC

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Assets, Funds, Holdings

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LPL Financial LLC
CRD #6413
SEC #801-10970
CIK #0001403438
AUM $368.0 BB (2023-03-31)
Employees 28,744 (71% Investors, 86% Brokers)
Phone704-733-3300
Address1055 LPL Way
Fort Mill, SC 29715
Source [IAPD] [EDGAR] [Website] [Twitter] [LinkedIn] [Facebook] [Instagram]
Total AUM ($BB)
4503602701809001999200720152024
Sector Form 13F Holdings Cap ($BB) Value ($BB)
AAPL 2,382.8 2.4
MSFT 1,918.2 1.5
AMZN 1,093.0 0.8
 
 
 
 
 
 
 
 
Holdings by Sector ($BB)
13010478522602011201520192024
AUM Breakdown Accounts AUM ($BB)
By Client Type
(a) Individuals (other than high net worth individuals) 748,951 133.3
(b) Individuals (high net worth individuals) 350,509 249.3
(c) Banking or thrift institutions 0 0.0
(d) Investment companies 0 0.0
(e) Business development companies 0 0.0
(f) Pooled investment vehicles 0 0.0
(g) Pension and profit sharing plans 7,283 10.6
(h) Charitable organizations 3,162 4.0
(i) State or municipal government entities 6 0.0
(j) Other investment advisers 0 0.0
(k) Insurance companies 0 0.0
(l) Sovereign wealth funds and foreign official institutions 7 0.0
(m) Corporations or other businesses not listed above 5,279 6.9
(n) Other 72 0.0
Total 1,517,995 404.2
By Discretionary
Discretionary 1,516,336 403.5
Non-Discretionary 1,659 0.7
Total 1,517,995 404.2
By Non-United States Persons
Non-United States Persons 0.4
United States Persons 403.8
Total 1,517,995 404.2
EDGAR Form CIK 2011 - 2024
13F-HR [0001403438]
SC 13G [0001403438]
Form 13D/13G Filer Form 13D/13G Subject Filed
LPL Financial LLC First Trust Specialty Finance & Financial Opportunities Fund [2023-02-03]
LPL Financial LLC Macquarie/First Trust Global Infrastr/Util DIV & Inc Fund [2023-02-03]
LPL Financial LLC First Trust/Abrdn Global Opportunity Income Fund [2023-02-03]
LPL Financial LLC Destra Multi-Alternative Fund [2022-10-06]
LPL Financial LLC Nuveen Floating Rate Income Fund [2022-02-14]
LPL Financial LLC First Trust Senior Floating Rate Income Fund II [2022-02-14]
LPL Financial LLC Medley Capital Corp [2019-01-10]
LPL Financial LLC FS Investment Corp [2018-02-02]
LPL Financial LLC LPL Financial LLC [2016-01-12]
LPL Financial LLC Cushing MLP Total Return Fund [2015-07-24]
Comparable Firms State AUM ($BB)
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431.2
Ameriprise Financial Services LLC
MN 414.4
Envestnet Asset Management Inc
IL 346.8
Raymond James Financial Services Advisors Inc
FL 245.2
Financial Engines Advisors LLC
CA 242.0
Voya Investment Management Co LLC
NY 236.7
First Trust Advisors LP
IL 190.5
RBC Capital Markets LLC
NY 183.5
SageView Advisory Group LLC
CA 156.4
Invesco Asset Management Ltd
155.2
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