LPLA · Insider Trading
LPL Financial Holdings Inc.
Every open-market purchase and sale reported by LPLA officers, directors and 10%+ beneficial owners on SEC Form 4, which must be filed within two business days of the transaction. Sales often reflect scheduled 10b5-1 plans or tax withholding rather than a directional view, so read counts alongside the size and the filer.
| Filed | Insider | Role | Type | Shares | Value |
|---|---|---|---|---|---|
| 2026-09-14 | Katharine Reeping | Principal Accounting Officer | Sell | −439 | −$153.05K |
| 2026-09-08 | Emily Field | Group Managing Director | F | −106 | −$38.09K |
| 2026-09-01 | James S Putnam | Director | A | +7 | — |
| 2026-09-01 | Edward C Bernard | Director | A | +3 | — |
| 2026-09-01 | Corey E. Thomas | Director | A | +4 | — |
| 2026-09-01 | Richard P Schifter | Director | A | +14 | — |
| 2026-09-01 | Paulett Eberhart | Director | A | +4 | — |
| 2026-09-01 | William Francis Glavin Jr | Director | A | +10 | — |
| 2026-09-01 | Allison Mnookin | Director | A | +2 | — |
| 2026-08-31 | Aneri Jambusaria | Group Managing Director | Sell | −308 | −$110.07K |
| 2026-08-21 | Greg Gates | Group Managing Director | MIXED | +3,070 | −$906.45K |
| 2026-08-04 | James S Putnam | Director | G | −2,000 | — |
| 2026-08-04 | Matthew Enyedi | Group Managing Director | Sell | −1,000 | −$352.72K |
| 2026-06-22 | Aneri Jambusaria | Group Managing Director | Sell | −308 | −$94.25K |
| 2026-06-15 | Marc Eliot Cohen | Group Managing Director | F | −44 | −$13.01K |
| 2026-06-15 | Greg Gates | Group Managing Director | F | −232 | −$68.59K |
| 2026-06-08 | Edward C Bernard | Director | A | +4 | — |
| 2026-06-08 | Corey E. Thomas | Director | A | +7 | — |
| 2026-06-08 | Richard P Schifter | Director | A | +19 | — |
| 2026-06-08 | James S Putnam | Director | A | +10 | — |
| 2026-06-08 | Paulett Eberhart | Director | A | +5 | — |
| 2026-06-08 | William Francis Glavin Jr | Director | A | +15 | — |
| 2026-06-08 | Allison Mnookin | Director | A | +3 | — |
| 2026-05-19 | Edward C Bernard | Director | A | +1,060 | — |
| 2026-05-19 | Paulett Eberhart | Director | A | +712 | — |
| 2026-05-19 | William Francis Glavin Jr | Director | A | +712 | — |
| 2026-05-19 | Somesh Khanna | Director | A | +712 | — |
| 2026-05-19 | Albert J Ko | Director | A | +712 | — |
| 2026-05-19 | Allison Mnookin | Director | A | +712 | — |
| 2026-05-19 | Anne M Mulcahy | Director | A | +1,060 | — |
| 2026-05-19 | James S Putnam | Director | A | +712 | — |
| 2026-05-19 | Richard P Schifter | Director | A | +1,060 | — |
| 2026-05-19 | Corey E. Thomas | Director | A | +1,060 | — |
| 2026-05-08 | James S Putnam | Director | G | −100 | — |
| 2026-04-16 | Matthew J Audette | President and CFO | Sell | −1,579 | −$518.90K |
| 2026-03-26 | Edward C Bernard | Director | A | +4 | — |
| 2026-03-26 | Paulett Eberhart | Director | A | +5 | — |
| 2026-03-26 | William Francis Glavin Jr | Director | A | +15 | — |
| 2026-03-26 | Allison Mnookin | Director | A | +3 | — |
| 2026-03-26 | James S Putnam | Director | A | +10 | — |
| 2026-03-26 | Richard P Schifter | Director | A | +19 | — |
| 2026-03-26 | Corey E. Thomas | Director | A | +7 | — |
| 2026-03-11 | Marc Eliot Cohen | Group Managing Director | MIXED | −1,088 | −$848.50K |
| 2026-03-04 | Aneri Jambusaria | Group Managing Director | Sell | −308 | −$94.25K |
| 2026-02-27 | Matthew J Audette | President and CFO | MIXED | +4,844 | −$1.26M |
| 2026-02-27 | Marc Eliot Cohen | Group Managing Director | MIXED | +1,457 | −$153.82K |
| 2026-02-27 | Matthew Enyedi | Group Managing Director | MIXED | +533 | −$1.10M |
| 2026-02-27 | Emily Field | Group Managing Director | A | +1,122 | — |
| 2026-02-27 | Greg Gates | Group Managing Director | MIXED | +6,144 | −$411.78K |
| 2026-02-27 | Aneri Jambusaria | Group Managing Director | MIXED | +1,529 | −$227.71K |
| Insider | Role | Shares Held | Value |
|---|---|---|---|
| James S Putnam | Director | 135,297 | $38.39M |
| Richard P Schifter | Director | 39,631 | $11.25M |
| Anne M Mulcahy | Director | 37,083 | $10.52M |
| Richard Steinmeier | Chief Executive Officer | 28,393 | $8.06M |
| William Francis Glavin Jr | Director | 26,849 | $7.62M |
| Greg Gates | Group Managing Director | 23,602 | $6.70M |
| Matthew J Audette | President and CFO | 21,052 | $5.97M |
| Paulett Eberhart | Director | 17,764 | $5.04M |
| Edward C Bernard | Director | 16,262 | $4.61M |
| Corey E. Thomas | Director | 14,912 | $4.23M |
| Matthew Enyedi | Group Managing Director | 13,932 | $3.95M |
| Allison Mnookin | Director | 11,763 | $3.34M |
| Althea Brown | Managing Director | 6,711 | $1.90M |
| Aneri Jambusaria | Group Managing Director | 6,107 | $1.73M |
| Marc Eliot Cohen | Group Managing Director | 4,375 | $1.24M |
| Matthew Morningstar | Group Managing Director | 3,415 | $968.97K |
| Albert J Ko | Director | 3,299 | $936.06K |
| Emily Field | Group Managing Director | 1,833 | $520.10K |
| Sara Dadyar | Managing Director | 1,797 | $509.88K |
| Katharine Reeping | Principal Accounting Officer | 1,773 | $503.34K |
| Somesh Khanna | Director | 851 | $241.46K |
Form 4 reports a change in beneficial ownership by an officer, director or 10%+ holder, and must be filed within two business days of the transaction — so this is close to real time, unlike the 45-day-lagged 13F institutional data.
Transaction codes matter more than the raw buy/sell count. Code P is an open-market purchase — an insider choosing to buy with their own money, which is the signal most research treats as informative. Code S is a sale, but sales are frequently pre-scheduled under a 10b5-1 plan or cover tax withholding on vesting equity, so a run of sales often says nothing directional. Codes A and M are grants and option exercises rather than open-market decisions.
Full filing history and per-insider positions are on the LPLA quote page; the site-wide leaderboard is on the insider transactions hub.
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.