LPL Financial LLC — 13F Holdings & Portfolio
CIK 1403438 · latest 13F-HR filed 2026-11-06
LPL Financial LLC manages $467.88B in 13F-reported U.S. long-equity assets across 6,298 reported positions as of its 2026-09-30 13F-HR filing. Its largest disclosed positions are IVV (2.56%), AAPL (1.76%), NVDA (1.74%). Quarter over quarter (versus its 2026-06-30 filing) the fund opened 285 new positions and exited 209; 2,268 existing positions rose in reported value and 2,185 fell.
AUM is the long-equity portion reported on Form 13F-HR. Excludes short positions, cash, foreign holdings, and non-13F assets. For informational purposes only — not investment advice.
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AUM
$467.88B
Long-equity book
Holdings
6,298
Distinct positions
Period
2026-09-30
Filed 2026-11-06
Q/Q Activity
+285 / −209 / ↑2268 / ↓2185
vs 2026-06-30
Portfolio charts
Latest quarter's book, what changed, and how the portfolio has evolved across filings.
Firm Profile & Key People
As of the firm’s regulatory filing dated Oct 13, 2026.
Assets Under Management
$819.12B
Discretionary
$818.32B
Employees
41,879
Accounts
2,850,994
Address
1055 LPL WAY
FORT MILL, SC 29715
FORT MILL, SC 29715
Phone
(704) 733-3300
This firm reports 10 disclosure items on its registration.
| Name | Title / Status | Ownership | Type |
|---|---|---|---|
| AUDETTE, MATTHEW JON Control | PRESIDENT AND CHIEF FINANCIAL OFFICER since Sep 2015 | Less than 5% | Individual |
| ENYEDI, MATTHEW KLAUS Control | GROUP MANAGING DIRECTOR, CHIEF CLIENT OFFICER since Jan 2020 | Less than 5% | Individual |
| GATES, GREGORY Control | GROUP MANAGING DIRECTOR, CHIEF PRODUCT & TECHNOLOGY OFFICER since Jul 2021 | Less than 5% | Individual |
| JAMBUSARIA, ANERI Control | GROUP MANAGING DIRECTOR, CHIEF WEALTH OFFICER since Jan 2022 | Less than 5% | Individual |
| LPL HOLDINGS, INC. Control | MANAGING MEMBER since Apr 1989 | 75% or more | Domestic Entity |
| MALFITANO, STEVEN THOMAS Control | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER since Sep 2023 | Less than 5% | Individual |
| MCHALE, JAMES Control | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER since Oct 2023 | Less than 5% | Individual |
| MORNINGSTAR, MATTHEW EDWIN Control | GROUP MANAGING DIRECTOR, CHIEF LEGAL OFFICER since Dec 2025 | Less than 5% | Individual |
| RICKETTS, JUDITH KOHOSKIE Control | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER since Nov 2020 | Less than 5% | Individual |
| SIMONICH, BRENT BLAIN Control | MANAGING DIRECTOR, CHIEF RISK OFFICER, HEAD OF BUSINESS OPERATIONS since Apr 2022 | Less than 5% | Individual |
| STEINMEIER, RICHARD C Control | CHIEF EXECUTIVE OFFICER AND DIRECTOR since Aug 2018 | Less than 5% | Individual |
| LPL FINANCIAL HOLDINGS INC. Control Indirect owner via LPL HOLDINGS, INC. | PARENT COMPANY since Dec 2005 | 75% or more | Domestic Entity |
Ownership & leadership changes · 66 filings with changes since Dec 14, 2011
From the firm’s regulatory filings, newest first. Dates are filing dates: a filing that no longer lists someone does not say when they left.
Aug 19, 2026 filing
- ChangedENYEDI, MATTHEW KLAUS · title MANAGING DIRECTOR, NATIONAL SALES → GROUP MANAGING DIRECTOR, CHIEF CLIENT OFFICER
- ChangedGATES, GREGORY · title MANAGING DIRECTOR, CHIEF INFORMATION OFFICER → GROUP MANAGING DIRECTOR, CHIEF PRODUCT & TECHNOLOGY OFFICER
- ChangedJAMBUSARIA, ANERI · title MANAGING DIRECTOR LPL SERVICES GROUP → GROUP MANAGING DIRECTOR, CHIEF WEALTH OFFICER
- ChangedMORNINGSTAR, MATTHEW EDWIN · title CHIEF LEGAL OFFICER → GROUP MANAGING DIRECTOR, CHIEF LEGAL OFFICER
- ChangedSIMONICH, BRENT BLAIN · title EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER → MANAGING DIRECTOR, CHIEF RISK OFFICER, HEAD OF BUSINESS OPERATIONS
Jan 14, 2026 filing
- AddedMORNINGSTAR, MATTHEW EDWIN · CHIEF LEGAL OFFICER · Less than 5% · control person
Aug 5, 2025 filing
- No longer listedBROWN, ALTHEA ANN-MARIE · MANAGING DIRECTOR, CHIEF LEGAL OFFICER AND DIRECTOR · Less than 5% · control person · listed since Sep 2023
Apr 7, 2025 filing
- No longer listedDADYAR, LABKHAND SARA · MANAGING DIRECTOR, CHIEF HUMAN CAPITAL OFFICER · Less than 5% · control person · listed since Jan 2024
Oct 31, 2024 filing
- No longer listedARNOLD, DAN HOGAN JR · PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR · Less than 5% · control person · listed since Jan 2017
- ChangedAUDETTE, MATTHEW JON · title MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER AND CHIEF ACCOUNTING OFFICER → PRESIDENT AND CHIEF FINANCIAL OFFICER
- ChangedSTEINMEIER, RICHARD C · title MANAGING DIRECTOR AND DIVISIONAL PRESIDENT, BUSINESS DEVELOPMENT → CHIEF EXECUTIVE OFFICER AND DIRECTOR
Apr 17, 2024 filing
- No longer listedSETHI, KABIR · MANAGING DIRECTOR, CHIEF PRODUCT OFFICER · Less than 5% · control person · listed since May 2022
Mar 5, 2024 filing
- No longer listedROBBINS, JONATHAN · SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER ADVISORY · Less than 5% · control person · listed since Dec 2022
Jan 19, 2024 filing
- No longer listedLARSEN, SALLIE REBECCA · MANAGING DIRECTOR, CHIEF HUMAN CAPITAL OFFICER · Less than 5% · control person · listed since May 2012
- AddedDADYAR, LABKHAND SARA · MANAGING DIRECTOR, CHIEF HUMAN CAPITAL OFFICER · Less than 5% · control person
- ChangedJAMBUSARIA, ANERI · now a control person
Nov 1, 2023 filing
- No longer listedMCCOY, RAYMOND ALEXANDER · SVP, INTERIM CHIEF COMPLIANCE OFFICER · Less than 5% · control person · listed since Aug 2023
- No longer listedMITCHELL, CHRISTOPHER MILLS · SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER · Less than 5% · control person · listed since Apr 2023
- No longer listedOROSCHAKOFF, MICHELLE · MANAGING DIRECTOR, CHIEF LEGAL OFFICER AND DIRECTOR · Less than 5% · control person · listed since Apr 2018
- AddedBROWN, ALTHEA ANN-MARIE · MANAGING DIRECTOR, CHIEF LEGAL OFFICER AND DIRECTOR · Less than 5% · control person
- AddedMALFITANO, STEVEN THOMAS · SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER · Less than 5% · control person
- AddedMCHALE, JAMES · EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER · Less than 5% · control person
Aug 28, 2023 filing
- No longer listedSEFFINGER, MARK LAWRENCE · SVP, CHIEF COMPLIANCE OFFICER · Less than 5% · control person · listed since Dec 2021
- AddedMCCOY, RAYMOND ALEXANDER · SVP, INTERIM CHIEF COMPLIANCE OFFICER · Less than 5% · control person
Older changes (50 more filings)
May 17, 2023 filing
- No longer listedSEMERJIAN, DAYTON JOHN · MANAGING DIRECTOR, CHIEF CUSTOMER CARE OFFICER · Less than 5% · control person · listed since Feb 2019
- AddedMITCHELL, CHRISTOPHER MILLS · SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER · Less than 5% · control person
- ChangedAUDETTE, MATTHEW JON · title MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER AND DIRECTOR → MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER AND CHIEF ACCOUNTING OFFICER
- ChangedSIMONICH, BRENT BLAIN · title EXECUTIVE VICE PRESIDENT, CHIEF ACCOUNTING OFFICER AND PRINCIPAL FINANCIAL OFFICER → EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER
Mar 31, 2023 filing
- AddedJAMBUSARIA, ANERI · MANAGING DIRECTOR LPL SERVICES GROUP · Less than 5%
Jan 23, 2023 filing
- AddedROBBINS, JONATHAN · SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER ADVISORY · Less than 5% · control person
Dec 20, 2022 filing
- No longer listedBEVACQUA, ALLISON MARIE · SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, ADVISORY · Less than 5% · control person · listed since Jul 2022
Jul 18, 2022 filing
- No longer listedRING, KATHERINE DAILEY · SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, ADVISORY · Less than 5% · control person · listed since Oct 2018
- AddedBEVACQUA, ALLISON MARIE · SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, ADVISORY · Less than 5% · control person
May 17, 2022 filing
- No longer listedFANDREY, EDWARD · MANAGING DIRECTOR, DIVISIONAL PRESIDENT, ADVISOR SOLUTIONS · Less than 5% · control person · listed since Jan 2021
- AddedSETHI, KABIR · MANAGING DIRECTOR, CHIEF PRODUCT OFFICER · Less than 5% · control person
Apr 25, 2022 filing
- No longer listedWHITE, GEORGE BURTON · MANAGING DIRECTOR, INVESTOR & INVESTMENT SOLUTIONS · Less than 5% · control person · listed since Nov 2007
Apr 6, 2022 filing
- No longer listedPECHULIS, MATTHEW J · SENIOR VICE PRESIDENT, ACCOUNTING AND PRINCIPAL FINANCIAL OFFICER · Less than 5% · control person · listed since May 2019
- AddedSIMONICH, BRENT BLAIN · EXECUTIVE VICE PRESIDENT, CHIEF ACCOUNTING OFFICER AND PRINCIPAL FINANCIAL OFFICER · Less than 5% · control person
Dec 21, 2021 filing
- No longer listedO'NEILL, JOHN HUGH · EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, BROKERAGE · Less than 5% · control person · listed since Nov 2019
- No longer listedSEESE, SCOTT ALAN · MANAGING DIRECTOR, CHIEF INFORMATION OFFICER · Less than 5% · control person · listed since Jul 2017
- AddedGATES, GREGORY · MANAGING DIRECTOR, CHIEF INFORMATION OFFICER · Less than 5% · control person
- AddedSEFFINGER, MARK LAWRENCE · SVP, CHIEF COMPLIANCE OFFICER · Less than 5% · control person
Mar 31, 2021 filing
- No longer listedKALBAUGH, JOHN ANDREW · MANAGING DIRECTOR AND DIVISIONAL PRESIDENT, NATIONAL SALES & CONSULTING · Less than 5% · control person · listed since Mar 2015
Feb 25, 2021 filing
- AddedFANDREY, EDWARD · MANAGING DIRECTOR, DIVISIONAL PRESIDENT, ADVISOR SOLUTIONS · Less than 5% · control person
Nov 23, 2020 filing
- No longer listedWALCHER, WILLIAM E · SENIOR VICE PRESIDENT, TRADING AND PRINCIPAL OPERATIONS OFFICER · Less than 5% · control person · listed since Mar 2019
- AddedRICKETTS, JUDITH KOHOSKIE · EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER · Less than 5% · control person
Apr 17, 2020 filing
- No longer listedCALDER, TRACY ELLEN · MANAGING DIRECTOR, CHIEF RISK OFFICER · Less than 5% · control person · listed since Aug 2018
Jan 16, 2020 filing
- AddedENYEDI, MATTHEW KLAUS · MANAGING DIRECTOR, NATIONAL SALES · Less than 5% · control person
- ChangedO'NEILL, JOHN HUGH · title SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, BROKERAGE → EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, BROKERAGE
May 9, 2019 filing
- AddedPECHULIS, MATTHEW J · SENIOR VICE PRESIDENT, ACCOUNTING AND PRINCIPAL FINANCIAL OFFICER · Less than 5% · control person
Mar 29, 2019 filing
- AddedSEMERJIAN, DAYTON JOHN · MANAGING DIRECTOR, CHIEF CUSTOMER CARE OFFICER · Less than 5% · control person
- ChangedWALCHER, WILLIAM E · now a control person
Mar 19, 2019 filing
- No longer listedGOOLEY, THOMAS ANDREW · MANAGING DIRECTOR, SERVICE, TRADING & OPERATIONS AND PRINCIPAL OPERATIONS OFFICER · Less than 5% · control person · listed since Jul 2015
- AddedWALCHER, WILLIAM E · SENIOR VICE PRESIDENT, TRADING AND PRINCIPAL OPERATIONS OFFICER · Less than 5%
- ChangedARNOLD, DAN HOGAN JR · title PRESIDENT AND CHIEF EXECUTIVE OFFICER → PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR
- ChangedAUDETTE, MATTHEW JON · title MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER → MANAGING DIRECTOR AND DIRECTOR, CHIEF FINANCIAL OFFICER
- ChangedAUDETTE, MATTHEW JON · title MANAGING DIRECTOR AND DIRECTOR, CHIEF FINANCIAL OFFICER → MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER AND DIRECTOR
- ChangedOROSCHAKOFF, MICHELLE · title MANAGING DIRECTOR, CHIEF LEGAL OFFICER → MANAGING DIRECTOR, CHIEF LEGAL OFFICER AND DIRECTOR
Nov 1, 2018 filing
- No longer listedLOFGREN, KURT WALKER · SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, ADVISORY · Less than 5% · control person · listed since Mar 2017
- AddedRING, KATHERINE DAILEY · SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, ADVISORY · Less than 5% · control person
Oct 1, 2018 filing
- ChangedGOOLEY, THOMAS ANDREW · title MANAGING DIRECTOR, SERVICE, TRADING & OPERATIONS → MANAGING DIRECTOR, SERVICE, TRADING & OPERATIONS AND PRINCIPAL OPERATIONS OFFICER
Sep 5, 2018 filing
- No longer listedMORRISSEY, WILLIAM PAUL JR · MANAGING DIRECTOR AND DIVISIONAL PRESIDENT, BUSINESS DEVELOPMENT · Less than 5% · control person · listed since Mar 2015
- AddedO'NEILL, JOHN HUGH · SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, BROKERAGE · Less than 5% · control person
- AddedSTEINMEIER, RICHARD C · MANAGING DIRECTOR AND DIVISIONAL PRESIDENT, BUSINESS DEVELOPMENT · Less than 5% · control person
- ChangedARNOLD, DAN HOGAN JR · title PRESIDENT & CHIEF EXECUTIVE OFFICER → PRESIDENT AND CHIEF EXECUTIVE OFFICER
- ChangedAUDETTE, MATTHEW JON · title CHIEF FINANCIAL OFFICER → MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER
- ChangedCALDER, TRACY ELLEN · title MANAGING DIRECTOR, CHIEF RISK OFFICER & CHIEF COMPLIANCE OFFICER, BROKERAGE → MANAGING DIRECTOR, CHIEF RISK OFFICER
Jul 30, 2018 filing
- ChangedOROSCHAKOFF, MICHELLE · title MANAGING DIRECTOR, CHIEF LEGAL & RISK OFFICER → MANAGING DIRECTOR, CHIEF LEGAL OFFICER
Apr 18, 2018 filing
- No longer listedAULETTA, SUZANNE ELIZABETH · EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, BROKERAGE · Less than 5% · control person · listed since Sep 2015
- ChangedCALDER, TRACY ELLEN · title MANAGING DIRECTOR, DEPUTY CHIEF LEGAL & RISK OFFICER → MANAGING DIRECTOR, CHIEF RISK OFFICER & CHIEF COMPLIANCE OFFICER, BROKERAGE
Mar 29, 2018 filing
- ChangedCALDER, TRACY ELLEN · title MANAGING DIRECTOR, DEPUTY CHIEF RISK OFFICER → MANAGING DIRECTOR, DEPUTY CHIEF LEGAL & RISK OFFICER
Jul 13, 2017 filing
- AddedSEESE, SCOTT ALAN · MANAGING DIRECTOR, CHIEF INFORMATION OFFICER · Less than 5% · control person
- ChangedKALBAUGH, JOHN ANDREW · title MANAGING DIRECTOR AND DIVISIONAL PRESIDENT, INSTITUTION SERVICES → MANAGING DIRECTOR AND DIVISIONAL PRESIDENT, NATIONAL SALES & CONSULTING
- ChangedMORRISSEY, WILLIAM PAUL JR · title MANAGING DIRECTOR AND DIVISIONAL PRESIDENT, INDEPENDENT ADVISOR SERVICES → MANAGING DIRECTOR AND DIVISIONAL PRESIDENT, BUSINESS DEVELOPMENT
- ChangedWHITE, GEORGE BURTON · title MANAGING DIRECTOR, CHIEF INVESTMENT OFFICER, RESEARCH → MANAGING DIRECTOR, INVESTOR & INVESTMENT SOLUTIONS
Jul 7, 2017 filing
- No longer listedFETTER, VICTOR PETER III · MANAGING DIRECTOR, CHIEF INFORMATION OFFICER · Less than 5% · control person · listed since Dec 2012
Jun 9, 2017 filing
- No longer listedBERGERS, DAVID PAUL · MANAGING DIRECTOR, GENERAL COUNSEL AND GOVERNMENT RELATIONS · Less than 5% · control person · listed since Aug 2013
- ChangedOROSCHAKOFF, MICHELLE · title MANAGING DIRECTOR, CHIEF RISK OFFICER → MANAGING DIRECTOR, CHIEF LEGAL & RISK OFFICER
Apr 4, 2017 filing
- AddedLOFGREN, KURT WALKER · SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, ADVISORY · Less than 5% · control person
- ChangedAULETTA, SUZANNE ELIZABETH · title EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER → EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, BROKERAGE
Jan 4, 2017 filing
- No longer listedCASADY, MARK STEPHEN · CHAIRMAN OF THE BOARD AND CHIEF EXECUTIVE OFFICER · Less than 5% · control person · listed since Dec 2005
- ChangedARNOLD, DAN HOGAN JR · title PRESIDENT → PRESIDENT & CHIEF EXECUTIVE OFFICER
- ChangedBERGERS, DAVID PAUL · title MANAGING DIRECTOR, LEGAL AND GOVERNMENT RELATIONS → MANAGING DIRECTOR, GENERAL COUNSEL AND GOVERNMENT RELATIONS
Nov 22, 2016 filing
- No longer listedMIDDLEMISS, PAUL · EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, ADVISORY · Less than 5% · control person · listed since May 2011
- No longer listedMORRISSEY, WILLIAM PAUL JR · MANAGING DIRECTOR AND DIVISIONAL PRESIDENT, INDEPENDENT ADVISOR SERVICES · Less than 5% · control person · listed since Mar 2015
- Listed againMORRISSEY, WILLIAM PAUL JR · MANAGING DIRECTOR AND DIVISIONAL PRESIDENT, INDEPENDENT ADVISOR SERVICES · Less than 5% · control person
- ChangedAULETTA, SUZANNE ELIZABETH · title EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, BROKERAGE → EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER
Jun 22, 2016 filing
- No longer listedPARKER, RYAN CHRISTOPHER · MANAGING DIRECTOR, INVESTMENT AND PLANNING SOLUTIONS · Less than 5% · control person · listed since Jun 2014
Apr 5, 2016 filing
- ChangedBERGERS, DAVID PAUL · title MANAGING DIRECTOR, LEGAL AND GOVERNMENT RELATIONS; DIRECTOR → MANAGING DIRECTOR, LEGAL AND GOVERNMENT RELATIONS
- ChangedKALBAUGH, JOHN ANDREW · title MANAGING DIRECTOR AND PRESIDENT, INSTITUTION SERVICES → MANAGING DIRECTOR AND DIVISIONAL PRESIDENT, INSTITUTION SERVICES
- ChangedMORRISSEY, WILLIAM PAUL JR · title MANAGING DIRECTOR AND PRESIDENT, INDEPENDENT ADVISOR SERVICES → MANAGING DIRECTOR AND DIVISIONAL PRESIDENT, INDEPENDENT ADVISOR SERVICES
Mar 30, 2016 filing
- No longer listedSCHOTT, MARY FRANCES · MANAGING DIRECTOR, CLIENT EXPERIENCE AND TRAINING · Less than 5% · control person · listed since Jun 2014
Mar 15, 2016 filing
- ChangedCALDER, TRACY ELLEN · title MARKETING DIRECTOR, DEPUTY CHIEF RISK OFFICER → MANAGING DIRECTOR, DEPUTY CHIEF RISK OFFICER
Mar 11, 2016 filing
- AddedCALDER, TRACY ELLEN · MARKETING DIRECTOR, DEPUTY CHIEF RISK OFFICER · Less than 5% · control person
Oct 14, 2015 filing
- No longer listedLUX, THOMAS DOMINIC · EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER · Less than 5% · control person · listed since Mar 2015
- AddedAUDETTE, MATTHEW JON · CHIEF FINANCIAL OFFICER · Less than 5% · control person
Sep 24, 2015 filing
- AddedAULETTA, SUZANNE ELIZABETH · EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, BROKERAGE · Less than 5% · control person
- ChangedOROSCHAKOFF, MICHELLE · title MANAGING DIRECTOR, CHIEF RISK OFFICER; CHIEF COMPLIANCE OFFICER, BROKERAGE → MANAGING DIRECTOR, CHIEF RISK OFFICER
Sep 3, 2015 filing
- AddedGOOLEY, THOMAS ANDREW · MANAGING DIRECTOR, SERVICE, TRADING & OPERATIONS · Less than 5% · control person
Aug 24, 2015 filing
- No longer listedHELLIKER, MARK ROBERT · MANAGING DIRECTOR, CLIENT SUPPORT SERVICES · Less than 5% · control person · listed since Aug 2008
Jun 12, 2015 filing
- No longer listedHANDELSMAN, SHARYN J · MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER, BROKERAGE · Less than 5% · control person · listed since Jan 2014
- ChangedOROSCHAKOFF, MICHELLE · title MANAGING DIRECTOR, CHIEF RISK OFFICER → MANAGING DIRECTOR, CHIEF RISK OFFICER; CHIEF COMPLIANCE OFFICER, BROKERAGE
Mar 18, 2015 filing
- No longer listedMOORE, ROBERT · PRESIDENT · Less than 5% · control person · listed since May 2012
- AddedLUX, THOMAS DOMINIC · EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER · Less than 5% · control person
- ChangedARNOLD, DAN HOGAN JR · title MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER → PRESIDENT
- ChangedHANDELSMAN, SHARYN J · title EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, BROKERAGE → MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER, BROKERAGE
- ChangedKALBAUGH, JOHN ANDREW · title MANAGING DIRECTOR, INSTITUTION SERVICES → MANAGING DIRECTOR AND PRESIDENT, INSTITUTION SERVICES
- ChangedMORRISSEY, WILLIAM PAUL JR · title MANAGING DIRECTOR, INDEPENDENT ADVISOR SERVICES → MANAGING DIRECTOR AND PRESIDENT, INDEPENDENT ADVISOR SERVICES
- ChangedWHITE, GEORGE BURTON · title MANAGING DIRECTOR, CHIEF INVESTMENT OFFICER → MANAGING DIRECTOR, CHIEF INVESTMENT OFFICER, RESEARCH
Sep 24, 2014 filing
- ChangedARNOLD, DAN HOGAN JR · title CHIEF FINANCIAL OFFICER → MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER
- ChangedFETTER, VICTOR PETER III · title CHIEF INFORMATION OFFICER → MANAGING DIRECTOR, CHIEF INFORMATION OFFICER
- ChangedHANDELSMAN, SHARYN J · title CHIEF COMPLIANCE OFFICER, BROKERAGE → EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, BROKERAGE
- ChangedHELLIKER, MARK ROBERT · title MANAGING DIRECTOR, CLEARING AND COMPLIANCE SERVICES → MANAGING DIRECTOR, CLIENT SUPPORT SERVICES
- ChangedLARSEN, SALLIE REBECCA · title CHIEF HUMAN CAPITAL OFFICER → MANAGING DIRECTOR, CHIEF HUMAN CAPITAL OFFICER
- ChangedMIDDLEMISS, PAUL · title CHIEF COMPLIANCE OFFICER, ADVISORY → EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, ADVISORY
- ChangedOROSCHAKOFF, MICHELLE · title CHIEF RISK OFFICER → MANAGING DIRECTOR, CHIEF RISK OFFICER
- ChangedWHITE, GEORGE BURTON · title CHIEF INVESTMENT OFFICER → MANAGING DIRECTOR, CHIEF INVESTMENT OFFICER
Jun 25, 2014 filing
- No longer listedKHOURY, JOAN DOMINY · CHIEF MARKETING OFFICER · Less than 5% · control person · listed since May 2012
- AddedPARKER, RYAN CHRISTOPHER · MANAGING DIRECTOR, INVESTMENT AND PLANNING SOLUTIONS · Less than 5% · control person
- AddedSCHOTT, MARY FRANCES · MANAGING DIRECTOR, CLIENT EXPERIENCE AND TRAINING · Less than 5% · control person
Apr 29, 2014 filing
- No longer listedBRUTON, DEREK JEROLD · NATIONAL SALES MANAGER · Less than 5% · control person · listed since Mar 2010
Apr 25, 2014 filing
- AddedMORRISSEY, WILLIAM PAUL JR · MANAGING DIRECTOR, INDEPENDENT ADVISOR SERVICES · Less than 5% · control person
Jan 10, 2014 filing
- No longer listedVANNOY-PINEDA, KATHLEEN DENISE · CHIEF COMPLIANCE OFFICER, BROKERAGE · Less than 5% · control person · listed since May 2009
- AddedHANDELSMAN, SHARYN J · CHIEF COMPLIANCE OFFICER, BROKERAGE · Less than 5% · control person
Oct 11, 2013 filing
- AddedOROSCHAKOFF, MICHELLE · CHIEF RISK OFFICER · Less than 5% · control person
Aug 16, 2013 filing
- No longer listedMCDERMOTT, JOHN JEROME JR. · CHIEF RISK OFFICER · Less than 5% · control person · listed since Jul 2009
- AddedBERGERS, DAVID PAUL · MANAGING DIRECTOR, LEGAL AND GOVERNMENT RELATIONS; DIRECTOR · Less than 5% · control person
Jul 31, 2013 filing
- No longer listedBROWN, STEPHANIE LEIGH · MANAGING DIRECTOR, GENERAL COUNSEL · Less than 5% · control person · listed since Dec 1989
Mar 28, 2013 filing
- No longer listedDWYER, WILLIAM EDWARD III · PRESIDENT, NATIONAL SALES · Less than 5% · control person · listed since Jan 2004
Feb 8, 2013 filing
- AddedFETTER, VICTOR PETER III · CHIEF INFORMATION OFFICER · Less than 5% · control person
- ChangedBRUTON, DEREK JEROLD · title MANAGING DIRECTOR, NATIONAL SALES MANAGER, INDEPENDENT ADVISOR SERVICES → NATIONAL SALES MANAGER
- ChangedKHOURY, JOAN DOMINY · title MANAGING DIRECTOR, CHIEF MARKETING OFFICER → CHIEF MARKETING OFFICER
- ChangedLARSEN, SALLIE REBECCA · title MANAGING DIRECTOR, CHIEF HUMAN CAPITAL OFFICER → CHIEF HUMAN CAPITAL OFFICER
- ChangedMCDERMOTT, JOHN JEROME JR. · title MANAGING DIRECTOR, CHIEF RISK OFFICER → CHIEF RISK OFFICER
- ChangedMIDDLEMISS, PAUL · title EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, ADVISORY → CHIEF COMPLIANCE OFFICER, ADVISORY
- ChangedMOORE, ROBERT · title PRESIDENT, CHIEF OPERATING OFFICER → PRESIDENT
- ChangedVANNOY-PINEDA, KATHLEEN DENISE · title EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, BROKERAGE → CHIEF COMPLIANCE OFFICER, BROKERAGE
- ChangedWHITE, GEORGE BURTON · title MANAGING DIRECTOR, RESEARCH, CHIEF INVESTMENT OFFICER → CHIEF INVESTMENT OFFICER
Earlier filings with changes are not shown.
Quarter-over-quarter changes
Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.
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- SK HYNIX INC$50.1M
- CARILLON SER TR$42.1M
Exited Positions
- EXXON MOBIL CORP$968.3M
- ONEOK INC NEW$144.5M
- DIMENSIONAL ETF TRUST$91.6M
- DIMENSIONAL ETF TRUST$30.2M
- NATIONAL STORAGE AFFILIATES$20.8M
LPL Financial LLC Holdings (2026-09-30)
Rows tagged Call or Put are options positions, not stock. Per SEC Form 13F-HR, Value shows the notional value of the underlying (shares covered × underlying price), not the option premium. Shares is the number of underlying shares covered (divide by 100 for contract count).
| # | Issuer | Symbol | CUSIP | Value | Weight | Shares | Type |
|---|---|---|---|---|---|---|---|
| 1 | ISHARES TR | IVV | 464287200 | $11.96B | 2.56% | 15,620,570 | SH |
| 2 | APPLE INC | AAPL | 037833100 | $8.25B | 1.76% | 24,770,389 | SH |
| 3 | NVIDIA CORPORATION | NVDA | 67066G104 | $8.12B | 1.74% | 35,559,922 | SH |
| 4 | INVESCO QQQ TR | QQQ | 46090E103 | $7.86B | 1.68% | 10,626,150 | SH |
| 5 | STATE STR SPDR S&P 500 ETF T | SPY | 78462F103 | $7.59B | 1.62% | 9,951,607 | SH |
| 6 | SPDR SERIES TRUST | SPYM | 78464A854 | $5.83B | 1.25% | 64,917,540 | SH |
| 7 | MICROSOFT CORP | MSFT | 594918104 | $5.70B | 1.22% | 11,109,781 | SH |
| 8 | SPDR SERIES TRUST | SPYG | 78464A409 | $5.30B | 1.13% | 43,044,539 | SH |
| 9 | ISHARES TR | IEFA | 46432F842 | $5.03B | 1.07% | 51,871,354 | SH |
| 10 | VANGUARD INDEX FDS | VOO | 922908363 | $4.88B | 1.04% | 6,957,776 | SH |
| 11 | AMAZON COM INC | AMZN | 023135106 | $4.37B | 0.93% | 17,546,990 | SH |
| 12 | CAPITAL GROUP DIVIDEND VALUE | CGDV | 14020W106 | $4.24B | 0.91% | 86,862,073 | SH |
| 13 | VANGUARD INDEX FDS | VTI | 922908769 | $3.96B | 0.85% | 10,593,375 | SH |
| 14 | INVESCO EXCH TRADED FD TR II | QQQM | 46138G649 | $3.88B | 0.83% | 12,722,255 | SH |
| 15 | ISHARES TR | GOVT | 46429B267 | $3.78B | 0.81% | 172,816,157 | SH |
| 16 | ISHARES INC | IEMG | 46434G103 | $3.62B | 0.77% | 44,645,483 | SH |
| 17 | BLACKROCK ETF TRUST | DYNF | 09290C103 | $3.56B | 0.76% | 51,455,788 | SH |
| 18 | ISHARES TR | IUSB | 46434V613 | $3.41B | 0.73% | 77,339,331 | SH |
| 19 | SPDR SERIES TRUST | SPYV | 78464A508 | $3.36B | 0.72% | 54,971,036 | SH |
| 20 | ALPHABET INC | GOOGL | 02079K305 | $3.24B | 0.69% | 9,405,473 | SH |
| 21 | ISHARES TR | QUAL | 46432F339 | $3.17B | 0.68% | 14,250,782 | SH |
| 22 | ISHARES TR | IVW | 464287309 | $3.13B | 0.67% | 22,026,262 | SH |
| 23 | CAPITAL GROUP GROWTH ETF | CGGR | 14020G101 | $3.07B | 0.66% | 64,746,759 | SH |
| 24 | SELECT SECTOR SPDR TR | XLK | 81369Y803 | $3.06B | 0.65% | 15,640,895 | SH |
| 25 | VANGUARD SCOTTSDALE FDS | VONV | 92206C714 | $3.02B | 0.65% | 27,819,696 | SH |
| 26 | VANGUARD INDEX FDS | VUG | 922908736 | $3.01B | 0.64% | 33,383,834 | SH |
| 27 | ISHARES TR | IUSG | 464287671 | $2.97B | 0.63% | 15,306,053 | SH |
| 28 | FIRST TR EXCHANGE TRADED FD | RDVY | 33738R506 | $2.89B | 0.62% | 36,976,924 | SH |
| 29 | VANGUARD INDEX FDS | VTV | 922908744 | $2.54B | 0.54% | 11,765,976 | SH |
| 30 | BROADCOM INC | AVGO | 11135F101 | $2.50B | 0.53% | 7,115,892 | SH |
| 31 | META PLATFORMS INC | META | 30303M102 | $2.35B | 0.50% | 3,234,746 | SH |
| 32 | ALPHABET INC | GOOG | 02079K107 | $2.28B | 0.49% | 6,697,389 | SH |
| 33 | VANGUARD SCOTTSDALE FDS | VONG | 92206C680 | $2.26B | 0.48% | 17,546,405 | SH |
| 34 | ISHARES TR | IJR | 464287804 | $2.26B | 0.48% | 16,627,509 | SH |
| 35 | ISHARES TR | IVE | 464287408 | $2.24B | 0.48% | 9,827,174 | SH |
| 36 | SPDR INDEX SHS FDS | SPDW | 78463X889 | $2.21B | 0.47% | 43,960,387 | SH |
| 37 | VANGUARD TAX-MANAGED FDS | VEA | 921943858 | $2.05B | 0.44% | 29,064,270 | SH |
| 38 | ISHARES TR | IWF | 464287614 | $2.02B | 0.43% | 16,090,484 | SH |
| 39 | ISHARES TR | IUSV | 464287663 | $1.99B | 0.43% | 18,034,517 | SH |
| 40 | SPDR SERIES TRUST | SPIB | 78464A375 | $1.93B | 0.41% | 59,777,727 | SH |
| 41 | FIRST TR EXCHNG TRADED FD VI | BUFR | 33740F755 | $1.89B | 0.40% | 50,504,188 | SH |
| 42 | ISHARES TR | MBB | 464288588 | $1.86B | 0.40% | 20,747,283 | SH |
| 43 | JPMORGAN CHASE & CO | JPM | 46625H100 | $1.80B | 0.39% | 5,446,751 | SH |
| 44 | BERKSHIRE HATHAWAY INC DEL | BRK.B | 084670702 | $1.80B | 0.38% | 3,615,279 | SH |
| 45 | VANECK ETF TRUST | SMH | 92189F676 | $1.79B | 0.38% | 2,936,388 | SH |
| 46 | MICRON TECHNOLOGY INC | MU | 595112103 | $1.76B | 0.38% | 1,656,601 | SH |
| 47 | VANGUARD SPECIALIZED FUNDS | VIG | 921908844 | $1.74B | 0.37% | 7,458,302 | SH |
| 48 | SPDR GOLD TR | GLD | 78463V107 | $1.71B | 0.37% | 4,487,598 | SH |
| 49 | SPDR SERIES TRUST | BIL | 78468R663 | $1.71B | 0.37% | 18,642,389 | SH |
| 50 | ISHARES TR | IJH | 464287507 | $1.69B | 0.36% | 23,473,556 | SH |
Filing History
| Period | Filed | AUM | Holdings | Accession |
|---|---|---|---|---|
| 2026-09-30 | 2026-11-06 | $467.88B | 6,298 | 0001403438-26-000005 |
| 2026-06-30 | 2026-08-07 | $445.10B | 6,201 | 0001403438-26-000004 |
| 2026-03-31 | 2026-05-06 | $376.56B | 5,964 | 0001403438-26-000002 |
| 2025-12-31 | 2026-02-11 | $366.18B | 5,869 | 0001403438-26-000001 |
Filer Information
Address
4707 EXECUTIVE DRIVESAN DIEGO, CA 92121
Phone
(704) 733-3300
Filing Manager
LPL Financial LLC
FORT MILL, SC
Signatory
Kirk Evangeliou
SVP