LPL FINANCIAL LLC

Latest filing: Apr 07, 2025 (23 days ago)
View on IAPD
Adviser Website
LinkedIn Icon Adviser

AUM

$618,922,975,737
34% change vs. 1 year ago
53% change vs. 3 years ago
198% change vs. 5 years ago
431% change vs. 10 years ago

Employee Count

37,893
6% change vs. 1 year ago
32% change vs. 3 years ago
65% change vs. 5 years ago
87% change vs. 10 years ago

Main Office

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

Client AUM

Discretion AUM
Discretionary $618.3
Non-Discretionary $0.6
Total $618.9
Client AUM
Retail $590.4
Pooled $0.0
Institutional $28.5
Total $618.9
Retail Accounts AUM
Individual 1,113,911 $188.8
Average Individual AUM $169,481
HNW 541,594 $401.6
Average HNW AUM $741,506
Retail Total 1,655,505 $590.4
Average Retail AUM $356,618

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 $618.9
Retail SMA AUM $590.4
Institutional SMA AUM $28.5
Asset Class % AUM
Equity Exch 15% $92.8
Equity Non-Exch 0% $0.0
Govt Agency 1% $6.2
Municipal 0% $0.0
Sovereign 0% $0.0
IG Credit 0% $0.0
HY Credit 1% $6.2
Derivatives 0% $0.0
Investment Companies 76% $470.4
Other Pools 1% $6.2
Cash 4% $24.8
Other 1% $6.2
Total 99% $612.7

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 ENTERPRISE, LLC $18.9 broker-dealer 8733
LPL INSURANCE ASSOCIATES, INC. $0.0 -
FIDUCIARY TRUST COMPANY OF NEW HAMPSHIRE $0.0 -
THE PRIVATE TRUST COMPANY, N.A. $0.0 -

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
MICHAEL DAVIS FORT MILL SC S66|2008-08-29
SUSAN DAILEADER FORT MILL SC S63|2007-07-19 CERTIFIED FINANCIAL PLANNER
THOMAS CORCIMIGLIA FORT MILL SC S63|1998-01-21|S65|1999-11-10 CERTIFIED FINANCIAL PLANNER
MIRA MIZRAHI FORT MILL SC S63|1990-04-20 CERTIFIED FINANCIAL PLANNER
NATHAN WOODS FORT MILL SC S66|2014-07-02 CERTIFIED FINANCIAL PLANNER
KARNAIL KOONER FORT MILL SC S63|1990-01-19|S65|1999-12-10 CHARTERED FINANCIAL CONSULTANT
MEGAN CROFOOT FORT MILL SC S66|2017-06-20
SHARON GRINESTAFF FORT MILL SC S63|1999-04-21|S65|1999-04-14
CHAD HOOKER FORT MILL SC S66|2015-11-12
NICHOLAS KOHUT FORT MILL SC S66|2024-02-02
GEORGE LORENTE FORT MILL SC S63|1993-11-22
ROBERT ERRICO FORT MILL SC S63|1988-08-09|S65|1997-05-29 CERTIFIED FINANCIAL PLANNER
JAMES HUSSEY FORT MILL SC S66|2003-08-22
IAN VENZON FORT MILL SC S66|2018-06-29
SCOTT COUTTS FORT MILL SC S66|2018-04-27
ANDREA CONDON FORT MILL SC S63|1998-12-07|S65|2002-11-13
JEFFREY GARDINER FORT MILL SC S63|1994-03-09|S65|2010-09-01
MARY MORSE FORT MILL SC S66|1998-10-20
PAUL DEEHAN FORT MILL SC S63|1998-03-14|S65|1998-06-30 CERTIFIED FINANCIAL PLANNER
KENNETH TALENTINO FORT MILL SC S63|2009-09-08|S65|2015-12-23

ADVDB.CO • SOURCE: SEC

History

Date AUM AUM ∆ AUM % ∆ Empl Empl ∆ Empl % ∆
2025-04-21 $618.9 $0.0 0% 37,893 0 0%
2024-04-02 $463.5 $155.4 34% 35,841 2,052 6%
2023-04-04 $368.0 $250.9 68% 31,366 6,527 21%
2022-04-01 $404.2 $214.7 53% 28,744 9,149 32%
2021-04-05 $268.8 $350.1 130% 24,427 13,466 55%
2020-04-01 $207.8 $411.1 198% 23,035 14,858 65%
2019-04-01 $159.1 $459.8 289% 22,790 15,103 66%
2018-04-02 $152.5 $466.4 306% 22,703 15,190 67%
2017-04-01 $117.2 $501.7 428% 20,199 17,694 88%
2016-04-01 $112.1 $506.8 452% 20,529 17,364 85%
2015-04-01 $116.6 $502.3 431% 20,311 17,582 87%
2014-04-01 $109.7 $509.2 464% 19,916 17,977 90%
2013-04-01 $94.9 $524.0 552% 17,499 20,394 117%

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

ADVDB.CO • SOURCE: SEC FORM ADV