Derek Bruton

CIK 1548542 · MD, Independent Advisor Svcs · last filed 2014-02-25

Derek Bruton is a MD, Independent Advisor Svcs who has filed 5 SEC Form 4 insider transactions across 1 company since 2013. The most recent filing, for LPLA, was dated Feb 25, 2014. Across all open-market trades the lifetime net is −$1.6M, making them a net seller over the disclosed history. Current disclosed insider exposure totals $2.3M across reported positions.

"Disclosed insider exposure" sums this person's most-recently-reported share counts across each company they're an insider in, multiplied by the current underlying price. It is not net worth — it misses retail holdings, private investments, real estate, index funds, and any company where the person isn't an SEC-reporting insider. For informational purposes only.

Disclosed Exposure

$2.25M

Companies

1

Total Filings

5

Lifetime Open-Market Net

-$1.58M

Holdings By Company

Latest on-record share count from this person's most recent non-derivative Form 4 transaction in each company. Disclosed exposure = shares × current underlying price.

Symbol	Role	Shares	Price	Disclosed Exposure	Lifetime OM Net	Filings	Latest Filed
LPLA	MD, Independent Advisor Svcs	7,432	$303.30	$2.25M	-$1.58M	5	2014-02-25

Recent Filings

5 filings

Insider activity across all companies, newest first. Form 4 rows are post-trade confirmations (buys, sells, grants, exercises). Notice (144) rows are pre-trade notices of intent to sell restricted or control stock under Rule 144 — they may not all execute. Compare adjacent dates to see which notices became actual sales.

Filed	Symbol	Action	Net Shares	Net $	Link
2014-02-25	LPLA	Mixed	+1,533	-$23.7K	EDGAR
2014-02-19	LPLA	Mixed	—	-$498.1K	EDGAR
2013-02-27	LPLA	Grant (A)	+3,224	$0	EDGAR
2013-02-26	LPLA	Grant (A)	+4,645	$0	EDGAR
2013-02-13	LPLA	Mixed	—	-$289.9K	EDGAR

Form 4 codes: P = open-market purchase · S = open-market sale · A = grant/award · M = option exercise · F = tax withholding at vest · G = bona-fide gift · D = disposition to issuer · J = other (see filing footnote). Only P / S codes carry directional signal.
Notice (144 / 144/A): Form 144 is a notice of intent to sell restricted/control stock under Rule 144, filed before the sale; 144/A is an amendment. Many notices are pre-scheduled under Rule 10b5-1 plans. A Form 4 with code S typically follows within a few days when the planned sale executes; missing follow-up Form 4s suggest the notice was cancelled or modified.