LPL Financial Holdings Inc.(LPLA)
Stock quote, options chain, IV rank, technicals, AI analysis, and institutional ownership.
Market data may be delayed, incomplete, or inaccurate. Not a recommendation to buy, sell, or hold any security. Verify quotes with your broker before trading. See Terms §17.
Snapshot
$303.43
- 52-Week Range
- $260.15 – $403.57
- YTD
- -16.09%
- IV Rank (30D)
- 31.8
- Straddle Price
- $28.70
- P/C Vol Ratio
- 0.88
- Market Cap
- $23.6B
Fair Value
+36.2% vs price
A blended fair-value estimate combining up to six valuation methods. Each method is weighted by how well it fits the company — DCF down-weights for unprofitable names; DDM only fires for steady dividend payers; comparables down-weight when peer multiples disagree.
- DCF (quality-aware) — projects free cash flow with a horizon that scales to business quality. True compounders (quality 6/6) get 10 years explicit + 10 years fade before terminal; cyclical/struggling names (quality 0-1) get a 5-year terminal cliff. Quality is scored from ROE, gross margin, growth, FCF margin, debt load, and FCF consistency — the same factors that drive market premium for compounders.
- Market-Implied Growth (in Model Inputs) — reverse-DCF that answers "what growth rate is the market pricing in?". Lets you sanity-check the deviation: if implied growth is plausible for the business, the model's bearish flag may be wrong; if implausible, the market may be over-extrapolating.
- DDM (Gordon Growth Dividend Model) — values the stream of future dividends. Only used when trailing yield ≥ 0.5% and dividend payments are stable.
- P/E, EV/EBITDA, P/B, P/S — applies the peer-group median multiple to this company's per-share metric. Peers come from the same set as the "Related symbols" card. Earnings/sales metrics are forward-tilted by the company's recent revenue growth (capped at 25%) so they're comparable to peers' growth-embedded multiples — mimics how analysts use NTM rather than TTM. Per-multiple weights are biased by company quality (e.g. P/B down-weighted for asset-light tech).
- Market Anchor (SMA50) — the 50-day moving average, weighted by recent trading-range stability (tighter Bollinger bands → higher weight). Captures information fundamentals miss (forward consensus, sentiment, supply/demand) — but only when recent trading is steady enough that the market has converged on a view. During wild breakouts or breakdowns the anchor's weight collapses.
- Options Expected (B-L 30d) — the risk-neutral expected stock price at 30-day options expiration, derived from the full implied-volatility surface via Breeden-Litzenberger (second derivative of call price wrt strike → implied PDF, then E[S_T]). Forward-looking, captures all options-implied information (smile, skew, term structure) in one number. Weighted by chain liquidity. SP500-only at present (pre-computed daily). Backtest evidence: adds modest alpha across most bucket × holding combos.
- Blended value — weighted average. Confidence reflects how many methods fired and how tight peer dispersion is.
- Deviation pill — green when blended FV ≥ 10% above current price (undervalued); red when ≥ 10% below; grey otherwise.
| 10-yr Treasury (rf) | 4.45% |
| Beta vs SPY | 1.00 |
| Cost of Equity (CAPM) | 9.95% (VRP-adj) |
| WACC | 8.69% |
| Volatility Risk Premium | +28.8pp (IV − HV30), ERP adj +50bps |
| Effective Tax Rate | 26.0% |
| Rev. Growth (YoY, DCF input) | +28.8% |
| DCF Horizon | 10 years explicit + fade |
| Forward Tilt (NTM/TTM) | ×1.10 (applied to P/E, EV/EBITDA, P/S) |
| Free Cash Flow (TTM) | $-1.1B |
| Return on Equity (TTM) | 15.8% |
| Book / Price | 24.0% |
| Gross Margin (TTM) | 97.7% |
| FCF Margin (TTM) | -5.9% |
| Debt / Equity | 1.26 |
| Quality Score | 3/6 — normal (10y DCF) |
| SMA 50 | $303.06 (Market Anchor value) |
| SMA 20 / Bollinger Mid | $284.10 |
| Bollinger Width / SMA20 | 4.1% (drives anchor stability) |
| Net Debt | $4.5B |
| Market Cap | $24B |
Peers used for multiples: CBOE, CME, COIN, IBKR, ICE, MKTX, NDAQ, TW
Blended Fair Value
$413.06
Current Price
$303.30
Deviation
+36.2%
Forward-Return Rank
LONG
gates ✓
?
| Horizon | Expected α | z Pred | Blended z | Rank % | Active? |
|---|---|---|---|---|---|
| 21d | -5.8% ⚠ | -0.96 | -0.08 | 20.9% | — |
| 42d | -10.7% ⚠ | -1.43 | -0.31 | 11.4% | — |
| 63d | -10.8% ⚠ | -1.07 | -0.14 | 14.0% | — |
Expected α = forward-return point estimate vs SPY (e.g., +7.5% means the predictor expects this stock to outperform SPY by 7.5% over that horizon).
For SHORT direction the model uses a different ranking metric (conviction-weighted deviation, not the LGBM prediction); Expected α is shown for reference.
⚠ flags rows where Expected α disagrees with the FV direction — two independent signals are in conflict; conviction is low even if rank looks extreme.
Forward-Return Rank. A proprietary ensemble of a machine-learning forward-return model and a conviction-weighted fundamental score, ranked cross-sectionally each day across the S&P 500 (and broader universes on the screener). Each stock is scored at three horizons (21/42/63 trading days). "Active" = top/bottom 5% AND all risk filters pass. Backtested mean alpha vs SPY on active picks: 21d LONG +13.4%, 63d +34.9% (S&P 500, walk-forward). Past performance is not indicative of future results.
Value vs momentum conflict ⚠. The "FV direction" (long/short) comes from the fundamentals-based engine — price vs intrinsic value. The "Expected α" comes from a separate machine-learning predictor trained on ~12 features (sector, options-implied move, beta, institutional flow, etc.). Sometimes the two disagree: a stock is overvalued by fundamentals but the predictor expects it to keep outperforming (sector or momentum tailwinds). When all 3 horizons disagree, treat the direction signal as low-conviction — neither model is strongly recommending a position.
| Method | Implied Price | Weight | Detail |
|---|---|---|---|
| DCF | n/a | 0% | |
| DDM (Gordon) | n/a | 0% | |
| Peer P/E | $308.08 | 14% | median 24.9× · 8 peers |
| Peer EV/EBITDA | $237.94 | 14% | median 17.6× · 8 peers |
| Peer P/B | $258.15 | 3% | median 3.6× · 8 peers |
| Peer P/S | $1613.03 | 9% | median 6.4× · 8 peers |
| Market Anchor (SMA50) | $303.06 | 61% | stability 100% (BB-width) |
| Options Expected (B-L 30d) | n/a | 0% |
As of 2026-06-16 · updated 2026-06-16 20:59:30.632000
Info
- Industry (SIC)
- SECURITY & COMMODITY BROKERS, DEALERS, EXCHANGES & SERVICES (6200)
- Exchange
- XNAS
- Market Cap
- $23.6B
LPL Financial is the largest US independent broker-dealer, with more than 32,000 financial advisors affiliated with its platform and roughly 11 million customer accounts at the end of 2025. The firm earns the bulk of its profit from interest income earned on client cash balances and from advisory fees and commissions tied to the $2.4 trillion in assets under management or advisory on its platform at year-end 2025. LPL specializes in providing turnkey wealth management services for affiliated independent advisors, but maintains a diverse array of affiliation modalities, running the gamut from m…
Price History
Seasonality
| Month | Avg Return | Years of Data |
|---|---|---|
| Jan | +3.41% | 16 |
| Feb | -0.52% | 16 |
| Mar | -1.57% | 16 |
| Apr | +3.04% | 16 |
| May | +1.59% | 16 |
| Jun | +1.14% | 16 |
| Jul | +0.64% | 15 |
| Aug | -0.30% | 15 |
| Sep | -0.03% | 15 |
| Oct | +3.49% | 15 |
| Nov | +5.39% | 16 |
| Dec | +0.52% | 16 |
Technical Indicators
Quick-reference for reading the values below. Indicators combine to confirm a view — no single one is a trade signal on its own.
Trend Indicators
- SMA 20 / 50 / 200 — price above = uptrend, below = downtrend. SMA 50 crossing SMA 200 is the golden/death cross.
- EMA 12 / 26 — faster-reacting averages; 12 above 26 is short-term bullish.
- MACD — bullish when MACD > signal (green badge), bearish when below. Divergence from price often precedes reversals.
- ADX (14) — trend strength regardless of direction. <20 range, 20–25 weak trend, 25–50 trend, >50 strong trend.
- +DI / −DI — +DI > −DI favors bulls; the reverse favors bears. Read alongside ADX.
Momentum Oscillators
- RSI (14) — <30 oversold, >70 overbought. 40–60 is neutral; trending names can stay extreme.
- Stochastic %K / %D — <20 oversold, >80 overbought. %K crossing %D is an early momentum signal.
- Williams %R — inverted scale: <−80 oversold, >−20 overbought.
Oscillators work best in range-bound markets; in strong trends they give premature reversal signals.
Volume & Volatility
- Bollinger Bands — price at upper band = overbought, lower = oversold. Narrow bands (squeeze) often precede expansion.
- OBV — cumulative volume; rising OBV confirms uptrend, falling OBV confirms downtrend. Divergence from price is a warning.
- Vol SMA 20 / Vol ROC — today's volume vs. 20-day average. Positive ROC with price move = conviction.
- ATR / True Range — average daily $ move; sizing and stop-loss reference.
- HV 20 / 30 / 60 — realized (historical) volatility. Compare to IV on the options cards: IV > HV = rich premium.
Confluence matters: trend + momentum + volume agreeing carries far more weight than any single indicator. For how these feed the spread scanner score, see the algorithm docs →
Trend Indicators
SMA 20: $284.49
SMA 50: $303.23
SMA 200: $333.43
Current: $303.30
EMA 12: $290.56
EMA 26: $291.95
MACD: -1.3932 | Signal: 3.3933
BEARISH
ADX (14): 19.76
RANGE
+DI: 22.62
−DI: 18.06
Momentum Oscillators
RSI (14): 57.96
NEUTRAL
Stoch %K: 91.85
Stoch %D: 85.90
Williams %R: -2.75
Volume & Volatility
BB Upper: $302.36
BB Lower: $266.62
OVERBOUGHT
OBV: 18,790,050
Vol SMA 20: 1,152,214
Vol ROC: 20.61%
ATR: $11.03
True Range: $10.28
HV 20: 35.4%
HV 30: 37.4%
HV 60: 36.5%
Data Summary
Data Points: 500
Last Updated: 2026-06-16T21:15:18.252000
Date Range: 2024-06-18T00:00:00 – 2026-06-16T00:00:00
AI Analysis
Choose Frenzy-Fast™ for quick analysis or Frenzy-Pro™ for comprehensive analysis.
Analysis includes technical indicators, news sentiment, risk assessment, and specific price levels to watch.
News
Earnings History
5 of 8 under expected move
| Earnings Date | Timing | Expected Move | Actual Move | Ratio | Outcome |
|---|---|---|---|---|---|
| 2024-07-25 | After-Close | 10.76% | 2.53% | 0.24x | Within |
| 2024-10-30 | After-Close | 8.11% | 3.74% | 0.46x | Within |
| 2025-01-30 | After-Close | 6.85% | 2.86% | 0.42x | Within |
| 2025-05-08 | After-Close | 6.25% | 6.58% | 1.05x | Exceeded |
| 2025-07-31 | After-Close | 5.94% | 7.52% | 1.27x | Exceeded |
| 2025-10-30 | After-Close | 8.64% | 10.15% | 1.17x | Exceeded |
| 2026-01-29 | After-Close | 8.33% | 0.40% | 0.05x | Within |
| 2026-04-30 | After-Close | 9.38% | 4.21% | 0.45x | Within |
Options Activity
- IV Rank (30D)
- 31.8
- IV Rank (7D)
- 100
- Avg IV
- 63.7%
- Straddle (30D)
- $28.70
- Straddle (7D)
- $9.23
- P/C Volume
- 0.88
Spread Scanner GPU
Each spread is ranked by a composite score built in three stages. Full documentation →
Stage 1 — Base Score (GPU scanner)
score = P(profit) × (credit / spread_width)
P(profit) from short leg delta (1 − |delta|), penalised above 85%. Credit uses mid-price to handle illiquid chains fairly.
Stage 2 — Skew Adjustment (±25% cap)
RR and BF (30-delta) from the persisted per-symbol skew snapshot — wing strikes picked by real greeks.delta, not a moneyness proxy. Put skew boosts bull puts, penalises bear calls. High butterfly boosts iron condors. Calendars are skew-neutral.
Stage 3 — Technical Overlay (±50% cap, 5 groups)
Group 1 · Directional Bias (±0.25)
- RSI <40 bullish / >60 bearish
- MACD crossover + histogram trend
- Price vs SMA 50 & SMA 200
Group 2 · Momentum (±0.10)
- Stochastic %K <20 / >80
- Williams %R <−80 / >−20
Group 3 · Volatility (up to −0.25 / +0.15)
- Blended ATR + straddle expected-move penalty
- Bollinger Band signal (+ counter-trend penalty)
- BB width — vol contraction boost for ICs
Group 4 · IV Regime (±0.15)
- IV rank ≥ 75 → strong boost for credit spreads
- IV rank < 25 → penalty (selling cheap vol)
Group 5 · Liquidity (penalty up to −0.10)
- Min open interest across all legs
- OI < 100 → −0.10 · OI < 500 → −0.05
score = base_score × skew_multiplier × tech_multiplier
Both multipliers are shown per spread. Beta is informational only — ATR already captures realized vol. Full algorithm documentation →
Enter a ticker to scan for optimal spread opportunities.
Evaluates all bull put, bear call, iron condor, and calendar spread combinations using GPU-accelerated analysis.
Skew (Wing IV − ATM IV)
DTE:
Wing Δ:
Wing vs ATM
IV(put wing) − IV(ATM), in vol pointsHow much the OTM put trades above (or below) the at-the-money strike. Measures the height of the put-side tail relative to ATM — i.e. how expensive crash insurance is on this name.
- Positive (typical) — wing IV > ATM IV. Standard equity put skew: portfolios bid up crash protection, so OTM puts trade richer than ATM.
- Near zero or negative (unusual) — wing IV ≤ ATM IV. Flat or inverted put side. Common when there's no fear demand, in tightly mean-reverting names, or right after an earnings catalyst clears.
- Percentile vs own 3-yr history: high = wings rich (good time to sell wing premium); low = wings cheap (good time to buy protection).
- Not directional — high or low wings don't predict up or down moves. It's a price tag on tail insurance, not a forecast.
Risk Reversal
IV(call wing) − IV(put wing), equal delta on each sideWhich side of the smile is the market paying up for? Measures the tilt of the surface — call skew vs put skew at matched deltas.
- Negative (typical) — puts richer than calls. Standard equity behavior: hedging demand makes puts carry a premium. Most large-caps sit in the −1 to −5 vol-point range.
- Strongly negative (< −5 pts) — heavy downside hedging, elevated fear, or an upcoming catalyst (earnings, FDA, macro event). Worth flagging.
- Positive — calls richer than puts. Unusual for equities; signals bullish momentum, short-squeeze positioning, or takeover/M&A speculation.
- Near zero — symmetric surface. Market sees roughly equal up/down risk. Rare for large-caps; more common in commodities and FX.
Reading them together
Wing-vs-ATM tells you how expensive the tails are. Risk Reversal tells you which side is favored. Combined:
- High wing percentile + deeply negative RR → strong put bid; stress or major event priced in. Owning protection costs a premium; selling put premium is dangerous.
- Low wing percentile + near-zero RR → complacency; insurance cheap and balanced. Good environment to add cheap downside hedges.
- Positive RR + elevated wings → call-side fear-of-missing-out; common in squeeze setups. Upside calls expensive, downside puts not bid.
14 DTE / 10d
—
—
pts
EXTREME
ATM — / Wing —
30 DTE / 10d
—
—
pts
EXTREME
ATM — / Wing —
Extreme reading.
Historically these have been contrarian — on the small set of observed earnings-day cases, large negative wing-vs-ATM gaps (calls pricing much richer than puts at the same delta) preceded sharp drops in the underlying within 1-12 days. Not financial advice and the dataset is small.
Percentile is the rank of today's reading within ~3 years of this symbol's own history. High percentile = wings are rich relative to history; not a directional signal. Skew is read off the chain in real time, not from CBOE SKEW.
Volatility Surface
Enter a ticker to render the implied volatility surface.
IV Rank (7 DTE)
IV Rank (30 DTE)
Straddle Price (30 DTE)
Beta Analysis
- Beta (1Y vs SPY)
- 0.87
- Correlation (SPY)
- 29.6%
- R²
- 0.09
- Ann. Volatility
- 36.3%
- SPY Volatility
- 12.4%
Moderate volatility - stock generally follows market
Beta & Alpha Over Time
Institutional Ownership (13F)
Latest filings — 2026-03-31
? 13F Guide
Diluted shares outstanding: 80,059,250 (as of 2026-03-31)
Institutional managers with $100M+ AUM file Form 13F-HR quarterly, due 45 days after quarter end. Holdings are reported gross at quarter-end market value — they are a snapshot, not a real-time position.
- Shares — long equity positions in this name, aggregated across share classes.
- Calls / Puts — notional value of long call / put exposure where this ticker is the underlying.
- % of Float — holder's reported shares divided by the latest diluted shares outstanding. Sums above 100% indicate large custodian / prime broker positions where the same shares are reported by multiple filers.
- Custodian badge — filers with more than 5,000 holdings are typically broker-dealers / custodians reporting customer-held shares, not active managers.
Each filer is counted once at its latest 13F-HR filing. New filings are ingested on a weekly cadence.
13 filers$60.99M notional
| # | Filer | Notional Value | % of Total | Period |
|---|---|---|---|---|
| 1 | SUSQUEHANNA INTERNATIONAL GROUP, LLP Custodian | $16.37M | 26.83% | 2026-03-31 |
| 2 | Squarepoint Ops LLC | $13.51M | 22.15% | 2026-03-31 |
| 3 | JANE STREET GROUP, LLC Custodian | $12.94M | 21.21% | 2026-03-31 |
| 4 | CITADEL ADVISORS LLC Custodian | $7.19M | 11.79% | 2026-03-31 |
| 5 | WOLVERINE TRADING, LLC Custodian | $3.37M | 5.53% | 2025-09-30 |
| 6 | MILLENNIUM MANAGEMENT LLC Custodian | $2.23M | 3.65% | 2026-03-31 |
| 7 | Walleye Capital LLC | $2.14M | 3.50% | 2026-03-31 |
| 8 | Cubist Systematic Strategies, LLC | $1.03M | 1.69% | 2025-09-30 |
| 9 | Walleye Trading LLC | $932.57K | 1.53% | 2026-03-31 |
| 10 | TUDOR INVESTMENT CORP ET AL | $451.25K | 0.74% | 2026-03-31 |
| 11 | TWO SIGMA INVESTMENTS, LP | $391.08K | 0.64% | 2026-03-31 |
| 12 | Greenland Capital Management LP | $240.66K | 0.39% | 2026-03-31 |
| 13 | Point72 Asset Management, L.P. | $210.58K | 0.35% | 2026-03-31 |
17 filers$73.62M notional
| # | Filer | Notional Value | % of Total | Period |
|---|---|---|---|---|
| 1 | SUSQUEHANNA INTERNATIONAL GROUP, LLP Custodian | $17.63M | 23.94% | 2026-03-31 |
| 2 | LOGAN CAPITAL MANAGEMENT INC | $10.81M | 14.68% | 2026-03-31 |
| 3 | JANE STREET GROUP, LLC Custodian | $10.11M | 13.73% | 2026-03-31 |
| 4 | CITADEL ADVISORS LLC Custodian | $8.06M | 10.95% | 2026-03-31 |
| 5 | PEAK6 LLC | $7.52M | 10.22% | 2026-03-31 |
| 6 | WOLVERINE TRADING, LLC Custodian | $5.72M | 7.77% | 2025-09-30 |
| 7 | Twin Tree Management, LP | $3.28M | 4.45% | 2026-03-31 |
| 8 | Walleye Capital LLC | $2.17M | 2.94% | 2026-03-31 |
| 9 | MILLENNIUM MANAGEMENT LLC Custodian | $1.93M | 2.62% | 2026-03-31 |
| 10 | Squarepoint Ops LLC | $1.53M | 2.08% | 2026-03-31 |
| 11 | BRANT POINT INVESTMENT MANAGEMENT LLC | $1.35M | 1.84% | 2026-03-31 |
| 12 | Cubist Systematic Strategies, LLC | $1.06M | 1.45% | 2025-09-30 |
| 13 | MAI Capital Management Custodian | $752.08K | 1.02% | 2026-03-31 |
| 14 | Dockside LLC | $617.90K | 0.84% | 2026-03-31 |
| 15 | TWO SIGMA INVESTMENTS, LP | $601.66K | 0.82% | 2026-03-31 |
| 16 | Walleye Trading LLC | $240.66K | 0.33% | 2026-03-31 |
| 17 | Greenland Capital Management LP | $240.66K | 0.33% | 2026-03-31 |
Insider Activity
Latest: 2026-06-08
Form 4 filings — insider beneficial-ownership changes by officers, directors, and 10%+ holders. Filed within 2 business days of transaction.
| Filed | Reporter | Role | Action | Shares | Avg Price | Net $ | Link |
|---|---|---|---|---|---|---|---|
| 2026-06-08 | EDWARD C BERNARD | Director | Award (A) | +4 | — | EDGAR | |
| 2026-06-08 | William Francis Jr Glavin | Director | Award (A) | +15 | — | EDGAR | |
| 2026-06-08 | Corey E. Thomas | Director | Award (A) | +7 | — | EDGAR | |
| 2026-06-08 | Allison Mnookin | Director | Award (A) | +3 | — | EDGAR | |
| 2026-06-08 | PAULETT EBERHART | Director | Award (A) | +5 | — | EDGAR | |
| 2026-06-08 | RICHARD P SCHIFTER | Director | Award (A) | +19 | — | EDGAR | |
| 2026-06-08 | James S Putnam | Director | Award (A) | +10 | — | EDGAR | |
| 2026-05-19 | EDWARD C BERNARD | Director | Award (A) | +1,060 | — | EDGAR | |
| 2026-05-19 | PAULETT EBERHART | Director | Award (A) | +712 | — | EDGAR | |
| 2026-05-19 | William Francis Jr Glavin | Director | Award (A) | +712 | — | EDGAR | |
| 2026-05-19 | Somesh Khanna | Director | Award (A) | +712 | — | EDGAR | |
| 2026-05-19 | Albert J Ko | Director | Award (A) | +712 | — | EDGAR | |
| 2026-05-19 | Allison Mnookin | Director | Award (A) | +712 | — | EDGAR | |
| 2026-05-19 | ANNE M MULCAHY | Director | Award (A) | +1,060 | — | EDGAR | |
| 2026-05-19 | James S Putnam | Director | Award (A) | +712 | — | EDGAR |
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 (described in filing footnote — typically 401(k), trust, inheritance) · W = will/inheritance. Only P / S codes carry directional signal.
Insider Holdings
60 insiders · @ $303.30
Officers, directors, and 10%+ owners ranked by current disclosed exposure (shares × today's price). Shares are direct + indirect (via trusts / LLCs / spouse). Excludes unvested RSU and option grants — those aren't beneficially owned until vest.
| # | Insider | Role | Shares | Disclosed Exposure | Lifetime OM Net | Filings | Last Filed |
|---|---|---|---|---|---|---|---|
| 1 | JAMES G COULTER | 10%+ Owner | 16,936,895 | $5.14B | -$41.29M | 3 | 2013-11-08 |
| 2 | DAVID BONDERMAN | 10%+ Owner | 8,794,282 | $2.67B | -$1.22B | 6 | 2015-12-14 |
| 3 | Stephanie L Brown | MD & General Counsel | 545,787 | $165.54M | -$2.77M | 6 | 2013-02-26 |
| 4 | Marco Hellman | Director | 497,557 | $150.91M | -$123.77M | 7 | 2018-03-08 |
| 5 | Allen R Thorpe | Director | 433,003 | $131.33M | $0 | 5 | 2013-08-19 |
| 6 | Mark S Casady | Chairman & Chief Exec. Officer | 200,043 | $60.67M | -$31.39M | 12 | 2017-03-06 |
| 7 | Dan H. Arnold | President & CEO | 142,607 | $43.25M | -$86.38M | 55 | 2024-06-18 |
| 8 | James S Putnam | Director | 137,290 | $41.64M | -$22.29M | 67 | 2026-06-08 |
| 9 | JAMES S RIEPE | Director | 131,185 | $39.79M | -$627.7K | 26 | 2020-04-02 |
| 10 | RICHARD W BOYCE | Director | 59,989 | $18.19M | $0 | 8 | 2015-05-20 |
| 11 | Robert J. Moore | President | 56,668 | $17.19M | -$6.32M | 5 | 2015-02-26 |
| 12 | George Burton White | Managing Director | 49,578 | $15.04M | -$39.70M | 38 | 2022-03-01 |
| 13 | John Joseph Brennan | Director | 45,883 | $13.92M | $0 | 8 | 2017-03-28 |
| 14 | David P. Bergers | Managing Director | 43,382 | $13.16M | $0 | 13 | 2017-03-15 |
| 15 | RICHARD P SCHIFTER | Director | 39,617 | $12.02M | $0 | 62 | 2026-06-08 |
| 16 | ANNE M MULCAHY | Director | 37,083 | $11.25M | $0 | 16 | 2026-05-19 |
| 17 | Thomas Gooley | Managing Director | 32,231 | $9.78M | -$6.95M | 16 | 2019-03-15 |
| 18 | Richard Steinmeier | Chief Executive Officer | 28,393 | $8.61M | -$8.28M | 20 | 2026-02-27 |
| 19 | John Andrew Kalbaugh | Managing Director | 27,523 | $8.35M | -$25.82M | 35 | 2021-03-01 |
| 20 | William Francis Jr Glavin | Director | 26,839 | $8.14M | $449.3K | 49 | 2026-06-08 |
| 21 | Michelle Oroschakoff | Managing Director | 25,253 | $7.66M | -$26.69M | 48 | 2023-02-28 |
| 22 | Sallie R. Larsen | Managing Director | 25,196 | $7.64M | -$12.86M | 33 | 2023-11-14 |
| 23 | Scott Seese | Managing Director | 24,179 | $7.33M | -$2.49M | 10 | 2021-06-16 |
| 24 | Victor Fetter | Managing Director | 23,279 | $7.06M | $0 | 12 | 2017-03-08 |
| 25 | VIET D DINH | Director | 22,166 | $6.72M | $98.9K | 12 | 2018-08-27 |
| 26 | Tracy Calder | Managing Director | 21,270 | $6.45M | -$3.23M | 10 | 2019-11-26 |
| 27 | Matthew J Audette | President and CFO | 21,052 | $6.39M | -$49.58M | 30 | 2026-04-16 |
| 28 | DAYTON SEMERJIAN | Managing Director | 19,118 | $5.80M | $0 | 6 | 2023-02-28 |
| 29 | William P. Jr. Morrissey | Managing Director | 18,091 | $5.49M | -$3.59M | 17 | 2018-03-15 |
| 30 | Greg Gates | Group Managing Director | 17,957 | $5.45M | -$6.33M | 18 | 2026-02-27 |
| 31 | PAULETT EBERHART | Director | 17,760 | $5.39M | $0 | 48 | 2026-06-08 |
| 32 | EDWARD C BERNARD | Director | 16,259 | $4.93M | $0 | 32 | 2026-06-08 |
| 33 | Edward Fandrey | Managing Director | 15,919 | $4.83M | -$1.04M | 7 | 2022-03-01 |
| 34 | Matthew Enyedi | Group Managing Director | 15,139 | $4.59M | -$5.94M | 18 | 2026-02-27 |
| 35 | Corey E. Thomas | Director | 14,908 | $4.52M | $0 | 37 | 2026-06-08 |
| 36 | Hellman & Friedman LP | Director | 13,014 | $3.95M | $0 | 1 | 2013-02-26 |
| 37 | JEFFREY E STIEFLER | Director | 12,844 | $3.90M | -$2.53M | 5 | 2013-11-21 |
| 38 | Ryan Parker | MD, Invstmt & Planning Solutns | 11,864 | $3.60M | $0 | 5 | 2016-03-08 |
| 39 | Allison Mnookin | Director | 11,761 | $3.57M | $0 | 34 | 2026-06-08 |
| 40 | Lux Thomas | Acting Chief Financial Officer | 10,378 | $3.15M | -$258.2K | 7 | 2015-05-20 |
| 41 | Kabir Sethi | Managing Director | 10,245 | $3.11M | -$346.5K | 4 | 2024-02-27 |
| 42 | Derek Bruton | MD, Independent Advisor Svcs | 7,432 | $2.25M | -$1.58M | 5 | 2014-02-25 |
| 43 | Jeffrey R. Buchheister | EVP, Chief Accounting Officer | 7,341 | $2.23M | -$453.6K | 9 | 2016-03-08 |
| 44 | Mark Helliker | MD, Client Support Services | 7,001 | $2.12M | -$865.7K | 6 | 2015-03-10 |
| 45 | Joan D Khoury | MD, Chief Marketing Officer | 6,817 | $2.07M | $0 | 2 | 2014-02-25 |
| 46 | Brent Simonich | Principal Accounting Officer | 6,773 | $2.05M | $451.7K | 5 | 2023-02-28 |
| 47 | Aneri Jambusaria | Group Managing Director | 6,723 | $2.04M | -$737.4K | 12 | 2026-03-04 |
| 48 | Althea Brown | Managing Director | 6,711 | $2.04M | $0 | 4 | 2025-02-27 |
| 49 | Sharyn Handelsman | MD, Chief Compliance Officer | 6,478 | $1.96M | -$278.1K | 1 | 2015-06-04 |
| 50 | Mary Frances Schott | MD, Client Expernce & Training | 6,446 | $1.96M | $0 | 3 | 2015-03-10 |
| 51 | Marc Eliot Cohen | Group Managing Director | 4,419 | $1.34M | -$1.42M | 4 | 2026-03-11 |
| 52 | Matthew Morningstar | Group Managing Director | 3,415 | $1.04M | $0 | 2 | 2026-02-27 |
| 53 | Albert J Ko | Director | 3,299 | $1.00M | $0 | 5 | 2026-05-19 |
| 54 | Katharine Reeping | Principal Accounting Officer | 2,213 | $671.5K | $0 | 2 | 2026-02-27 |
| 55 | Emily Field | Group Managing Director | 1,939 | $588.1K | $0 | 2 | 2026-02-27 |
| 56 | Sara Dadyar | Managing Director | 1,797 | $545.0K | $0 | 1 | 2025-02-27 |
| 57 | John J. McDermott | MD, Chief Risk Ofc. | 1,780 | $539.9K | $0 | 1 | 2013-02-26 |
| 58 | Jeffrey A Goldstein | Director | 1,582 | $479.8K | $0 | 2 | 2013-02-26 |
| 59 | Hellman & Friedman Capital Partners V, L.P. | Director | 1,331 | $403.7K | $0 | 2 | 2013-08-19 |
| 60 | Somesh Khanna | Director | 851 | $258.1K | $0 | 2 | 2026-05-19 |
Lifetime OM Net = signed sum of open-market buys (P) and sells (S) over their career; excludes grants, tax withholdings, and dispositions to issuer. A large negative number is normal for long-tenured executives — they've sold compensation grants over many years.
Recent SEC Filings
Latest: 2026-05-15
Current reports — material events the company must disclose within 4 business days (earnings releases, M&A, executive changes, etc.).
| Filing Date | Accession | Link |
|---|---|---|
| 2026-05-15 | 0001628280-26-035566 | EDGAR |
| 2026-04-30 | 0001628280-26-028890 | EDGAR |
| 2026-01-29 | 0001628280-26-004112 | EDGAR |
| 2026-01-08 | 0001193125-26-007083 | EDGAR |
| 2025-10-30 | 0001628280-25-047543 | EDGAR |
| 2025-08-01 | 0001193125-25-171084 | EDGAR |
| 2025-07-31 | 0001397911-25-000119 | EDGAR |
| 2025-07-03 | 0001193125-25-155488 | EDGAR |
| 2025-06-03 | 0001193125-25-134140 | EDGAR |
| 2025-05-23 | 0001397911-25-000066 | EDGAR |
Annual report — audited financial statements, MD&A, risk factors. Filed 60–90 days after fiscal year-end.
| Filing Date | Accession | Link |
|---|---|---|
| 2026-02-23 | 0001628280-26-010705 | EDGAR |
| 2025-02-20 | 0001397911-25-000018 | EDGAR |
| 2024-02-21 | 0001397911-24-000011 | EDGAR |
| 2023-02-23 | 0001397911-23-000024 | EDGAR |
| 2022-02-22 | 0001397911-22-000014 | EDGAR |
| 2021-02-23 | 0001397911-21-000029 | EDGAR |
| 2020-02-21 | 0001397911-20-000023 | EDGAR |
| 2019-02-26 | 0001397911-19-000018 | EDGAR |
| 2018-02-21 | 0001397911-18-000011 | EDGAR |
| 2017-02-24 | 0001397911-17-000025 | EDGAR |
Quarterly report — unaudited financials and MD&A. Filed 40–45 days after each of the first three fiscal quarters.
| Filing Date | Accession | Link |
|---|---|---|
| 2026-05-04 | 0001628280-26-029530 | EDGAR |
| 2025-11-03 | 0001628280-25-047934 | EDGAR |
| 2025-08-04 | 0001397911-25-000122 | EDGAR |
| 2025-05-09 | 0001397911-25-000063 | EDGAR |
| 2024-11-04 | 0001397911-24-000141 | EDGAR |
| 2024-07-30 | 0001397911-24-000109 | EDGAR |
| 2024-05-02 | 0001397911-24-000053 | EDGAR |
| 2023-10-31 | 0001397911-23-000160 | EDGAR |
| 2023-08-01 | 0001397911-23-000126 | EDGAR |
| 2023-05-02 | 0001397911-23-000072 | EDGAR |
ETF Holders
| # | ETF | Provider | Weight | $ Exposure | ETF AUM | As Of |
|---|
Fundamentals
Quarterly filings sourced from SEC 10-Q / 10-K reports. TTM tiles aggregate the most recent four quarters; bars show the last ~12 quarters oldest → newest.
Metrics
- Revenue — top-line sales. Look for consistent YoY growth; seasonal businesses need same-quarter comparisons (Q4 '24 vs Q4 '23).
- Net Income — bottom-line profit after all expenses. Can be volatile from one-time items; red bars = net loss.
- Diluted EPS — net income per share assuming options/converts are exercised. Direct input to the P/E ratio.
- Operating Cash Flow — cash generated from core operations, before capex and financing. Harder to manipulate than net income; growing OCF is a quality signal.
How to read the bars
- Sequential growth — quarter-over-quarter trend. Accelerating bars are a momentum signal.
- YoY growth — compare to the same quarter a year earlier to remove seasonality.
- Quality — OCF should roughly track Net Income over time. Large divergence (net income ≫ OCF) flags accruals risk.
- Margins — scan the bar ratios: Net Income / Revenue tells you margin trend without needing a separate chart.
TTM (trailing-twelve-month) smooths seasonality and is used for the P/E calculation. Filings appear 30–90 days after the period closes.
| P/E Ratio | 27.0 |
| P/B Ratio | 4.2 |
| P/S Ratio | 1.3 |
| EV/EBITDA | 23.1 |
| TTM Revenue | $18.3B |
| TTM Net Income | $0.9B |
| TTM EPS | $11.23 |
| ROE | 15.8% |
| Dividend Yield | 0.41% |
| Debt/Equity | 1.26 |