LPL FINANCIAL LLC

Latest filing: Sep 19, 2024 (41 days ago)
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AUM

$463,475,486,343
26% change vs. 1 year ago
72% change vs. 3 years ago
191% change vs. 5 years ago
323% change vs. 10 years ago

Employee Count

35,841
14% change vs. 1 year ago
47% change vs. 3 years ago
57% change vs. 5 years ago
80% change vs. 10 years ago

Main Office

FORT MILL, SC
1055 LPL WAY, FORT MILL, SC, UNITED STATES, 29715

Client AUM

Discretion AUM
Discretionary $462.8
Non-Discretionary $0.7
Total $463.5
Client AUM
Retail $441.2
Pooled $0.0
Institutional $22.2
Total $463.5
Retail Accounts AUM
Individual 916,344 $148.3
Average Individual AUM $161,881
HNW 440,642 $292.9
Average HNW AUM $664,701
Retail Total 1,356,986 $441.2
Average Retail AUM $325,157

ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV

SMA Custodians

Custodian Location AUM

ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV

Separately Managed Assets

Breakdown AUM
Total SMA AUM $463.5
Retail SMA AUM $441.2
Institutional SMA AUM $22.2
Asset Class % AUM
Equity Exch 14% $64.9
Equity Non-Exch 0% $0.0
Govt Agency 1% $4.6
Municipal 0% $0.0
Sovereign 0% $0.0
IG Credit 0% $0.0
HY Credit 1% $4.6
Derivatives 0% $0.0
Investment Companies 77% $356.9
Other Pools 2% $9.3
Cash 4% $18.5
Other 1% $4.6
Total 100% $463.5

ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV

Affiliates

Affiliates AUM Business Types CRD Number
LPL INSURANCE ASSOCIATES, INC. $0.0 -
FIDUCIARY TRUST COMPANY OF NEW HAMPSHIRE $0.0 -
THE PRIVATE TRUST COMPANY, N.A. $0.0 -
LPL ENTERPRISE, LLC $0.0 broker-dealer 8733

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Control Persons

15 active

Name Title
ARNOLD, DAN HOGAN JR PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR
AUDETTE, MATTHEW JON MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER AND CHIEF ACCOUNTING OFFICER
STEINMEIER, RICHARD C MANAGING DIRECTOR AND DIVISIONAL PRESIDENT, BUSINESS DEVELOPMENT
ENYEDI, MATTHEW KLAUS MANAGING DIRECTOR, NATIONAL SALES
RICKETTS, JUDITH KOHOSKIE EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER
GATES, GREGORY MANAGING DIRECTOR, CHIEF INFORMATION OFFICER
SIMONICH, BRENT BLAIN EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER
SETHI, KABIR MANAGING DIRECTOR, CHIEF PRODUCT OFFICER
JAMBUSARIA, ANERI MANAGING DIRECTOR LPL SERVICES GROUP
BROWN, ALTHEA ANN-MARIE MANAGING DIRECTOR, CHIEF LEGAL OFFICER AND DIRECTOR
MALFITANO, STEVEN THOMAS SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER
MCHALE, JAMES EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER
DADYAR, LABKHAND SARA MANAGING DIRECTOR, CHIEF HUMAN CAPITAL OFFICER

ADVDB.CO • SOURCE: SEC

Representatives

18,654 active representatives found, showing 20 random

Name City State Exams Designations
ANDREW VILLAFRANCA FORT MILL SC S66|2015-12-17 CERTIFIED FINANCIAL PLANNER
ADOLFO SOTOMAYOR FORT MILL SC S63|1998-04-04|S65|2001-06-29|S66|2016-02-06
TYLER CURTIS FORT MILL SC S66|2009-06-11
JOSHUA MINKSTEIN FORT MILL SC S63|2005-03-17|S65|2007-02-08
DEVIN TWEED FORT MILL SC S66|2008-04-23
LISA MOSER FORT MILL SC S66|2005-08-19
GREGORY TONNON FORT MILL SC S63|1984-04-25 CHARTERED FINANCIAL CONSULTANT
ARA FREEDMAN FORT MILL SC S66|2012-04-06
JAMES PETTIGREW FORT MILL SC S66|2009-06-24
PAUL LA BANC FORT MILL SC S63|1995-10-05 CERTIFIED FINANCIAL PLANNER
FRANCIS ASTORINO FORT MILL SC S63|1990-11-15 CERTIFIED FINANCIAL PLANNER
BROOKE DUCHANEY FORT MILL SC S66|2015-03-23
JOANNE MANTEL FORT MILL SC S65|1999-02-08|S63|2022-02-14
KAREN CLEVELAND FORT MILL SC S63|2006-01-07|S65|2008-12-08
JEFFREY VANDIVER FORT MILL SC S63|1993-09-10|S65|1999-10-12
PETER HOLLAND FORT MILL SC S66|2015-01-08
JESSIE MOROTTO FORT MILL SC S66|2018-03-11
THOMAS QUINN FORT MILL SC S63|1992-10-01|S65|2009-10-02
MICHAEL SCOTT FORT MILL SC S63|1998-03-13|S65|1999-04-30
JULIA EARLE FORT MILL SC S63|1997-05-16|S65|2007-06-19

ADVDB.CO • SOURCE: SEC

History

Date AUM AUM ∆ AUM % ∆ Empl Empl ∆ Empl % ∆
2024-10-01 $463.5 $0.0 0% 35,841 0 0%
2024-04-02 $463.5 $0.0 0% 35,841 0 0%
2023-04-04 $368.0 $95.5 26% 31,366 4,475 14%
2022-04-01 $404.2 $59.3 15% 28,744 7,097 25%
2021-04-05 $268.8 $194.6 72% 24,427 11,414 47%
2020-04-01 $207.8 $255.7 123% 23,035 12,806 56%
2019-04-01 $159.1 $304.4 191% 22,790 13,051 57%
2018-04-02 $152.5 $310.9 204% 22,703 13,138 58%
2017-04-01 $117.2 $346.2 295% 20,199 15,642 77%
2016-04-01 $112.1 $351.4 313% 20,529 15,312 75%
2015-04-01 $116.6 $346.9 297% 20,311 15,530 76%
2014-04-01 $109.7 $353.8 323% 19,916 15,925 80%
2013-04-01 $94.9 $368.6 388% 17,499 18,342 105%

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Other

STATE REGISTRATIONS
SC, AK-09/17/1991, AL-07/08/1991, AR-05/07/1991, AZ-02/07/1996, CA-07/08/1997, CO-01/01/1999, CT-07/10/1997, DC-12/19/1993, DE-08/04/2003, FL-08/28/1991, GA-04/05/1991, HI-09/26/1991, IA-01/01/1999, ID-07/08/1991, IL-04/12/1991, IN-02/06/2001, KS-07/28/1997, KY-04/03/1991, LA-10/10/2001, MA-04/14/1994, MD-04/12/1991, ME-05/18/1991, MI-01/19/2001, MN-04/19/1991, MO-03/12/1991, MS-10/04/1997, MT-10/30/1997, NC-01/19/2001, ND-05/01/1991, NE-07/31/1997, NH-02/15/1991, NJ-06/09/1994, NM-04/22/1991, NV-03/18/1991, NY-04/01/1991, OH-10/18/1999, OK-01/01/1998, OR-04/07/2003, PA-11/06/1980, PR-04/04/2001, RI-01/01/1993, SC-07/03/1991, SD-04/24/1991, TN-04/15/1998, TX-04/30/1983, UT-02/14/1991, VA-04/08/1991, VI-04/11/2008, VT-11/30/1994, WA-07/05/1991, WI-01/08/1992, WV-03/15/1991, WY-07/17/2017
ADVISER ACTIVITIES
FINANCIAL PLANNING
PORTFOLIO MANAGEMENT
PORTFOLIO MANAGEMENT (SMB)
PENSION CONSULTING
MANAGER SELECTION
EDUCATIONAL WORKSHOPS
OTHER ACTIVITIES
BROKER DEALER
REP BROKER DEALER
INSURANCE AGENT

ADVDB.CO • SOURCE: SEC FORM ADV