Welcome to our dedicated page for Lpl Financial SEC filings (Ticker: LPLA), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Searching a 300-page filing just to see how higher interest rates boosted LPL Financial’s cash-sweep revenue can drain an analyst’s entire afternoon. LPL Financial’s disclosures sprawl across complex schedules that detail advisory assets, advisor payout ratios, and compliance reserves—data points scattered through multiple exhibits. That complexity ends here.
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- Payout and asset trends: AI surfaces advisory AUM, recruitment flows, and segment margins straight from 10-Qs.
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Whether you’re understanding LPL Financial SEC documents with AI for compliance, tracking advisor growth, or monitoring risk factors, Stock Titan delivers the full picture—fast, accurate, and always current.
LPL Financial Holdings Inc. reported the initial insider shareholdings of officer Matthew Morningstar, who serves as Group Managing Director. As of an event on December 8, 2025, he beneficially owned 578 shares of the company’s common stock held directly. The report is a routine disclosure of insider ownership and was signed on his behalf by an attorney-in-fact under a power of attorney dated November 22, 2025.
LPL Financial Holdings Inc. (LPLA) reported insider activity: Officer Greg Gates disclosed open‑market sales of 1,500 shares of common stock on November 5, 2025, effected under a Rule 10b5‑1 trading plan adopted on March 7, 2025.
The transactions were executed across multiple trades at weighted‑average prices, with tranche ranges from $372.39–$379.97 and one sale at $380.12. Following these sales, he beneficially owned 15,370 shares directly. This includes 10,641 shares of common stock and restricted stock units: 510 (vests February 25, 2026), 511 (vests June 12, 2026), 1,551 (vests February 25, 2026 and February 25, 2027), and 2,157 (vests February 25, 2026, February 25, 2027, and February 25, 2028).
LPL Financial Holdings Inc. reported third-quarter results reflecting the August 1 closing of its Commonwealth acquisition. The company recorded a net loss of $29.5 million, or ($0.37) per diluted share, driven by $419.0 million of acquisition-related expenses at closing. On a non-GAAP basis, adjusted net income was $418.2 million with adjusted EPS of $5.20.
Total revenue rose to $4,552.0 million as assets expanded following the deal. Gross profit increased to $1,479.3 million. Total advisory and brokerage assets reached $2.3145 trillion, with advisory assets of $1.3469 trillion representing 58% of the total. Net new assets were $307.7 billion in the quarter. The company paid $24.0 million in common dividends and reported a leverage ratio of 2.04. Management expects to complete the Commonwealth asset conversion in the fourth quarter of 2026.
LPL Financial Holdings Inc. furnished a Form 8-K to announce it issued a press release with financial results for the three months ended September 30, 2025. The press release is attached as Exhibit 99.1 and titled “LPL Financial Announces Third Quarter 2025 Results.”
The company states Exhibit 99.1 is furnished, not filed, under the Exchange Act, is not subject to Section 18 liabilities, and is not incorporated by reference into Securities Act or Exchange Act filings. The report is dated October 30, 2025. LPL’s common stock trades on the Nasdaq Global Select Market under the symbol LPLA.
LPL Financial Holdings (LPLA) issued additional proxy materials outlining changes for Optimum Market Portfolios (OMP) accounts. Effective November 24, 2025, OMP agreements will be amended so LPL votes proxies for securities in these accounts by relying on Glass, Lewis & Co. recommendations, except where prohibited by law. If Glass Lewis provides no recommendation, LPL will abstain.
The notice highlights an ongoing vote for Optimum Funds to approve new advisory agreements tied to Nomura Holding America Inc.’s proposed acquisition of Macquarie Asset Management’s U.S. and European public investments business. LPL discloses it has direct financial incentives connected to approval of these new agreements. Clients can retain their proxy voting rights now and going forward by voting their shares before November 18, 2025 and submitting the enclosed form.
Greg Gates, Group Managing Director and officer of LPL Financial Holdings Inc. (LPLA), reported multiple sales of common stock executed on
LPL Financial Holdings (LPLA) filed a Form 144 notifying the proposed sale of 750 common shares currently held in a brokerage account. The filing lists an aggregate market value of $235,812.95 for the shares and identifies Fidelity Brokerage Services LLC as the broker with an
The filer also reported two prior common-stock sales by the same person within the last three months: 1,500 shares on
LPL Financial Holdings Inc. (LPLA) Form 4 shows that Katharine Reeping, Principal Accounting Officer, disposed of 56 shares of the company's common stock on 09/09/2025 at a price of $339.97 per share. After the reported sale, Reeping is recorded as beneficially owning 1,971.9057 shares, which the filing explains consist of 449.9057 vested shares plus a mix of restricted stock units (RSUs) with vesting dates in 2026, 2027 and 2028.
The filing is signed by an attorney-in-fact under a power of attorney dated February 25, 2025, indicating the form was submitted on behalf of Reeping. No derivative transactions or additional compensatory exercises are reported.
LPL Financial Holdings director and Group Managing Director Greg Gates reported multiple open-market sales of LPLA common stock on 09/05/2025 executed under a Rule 10b5-1 trading plan adopted March 7, 2025. The Form 4 lists a series of sales at weighted-average prices ranging roughly from $328.80 to $349.86 per share. Following the transactions, the reporting person beneficially owned 17,620 shares (including restricted stock units with staggered vesting through February 2028).
Emily Field, Group Managing Director at LPL Financial Holdings Inc. (LPLA), was granted 817 restricted stock units on 09/05/2025. Each unit converts to one share of common stock at vesting and the grant price is $0. The RSUs vest ratably on September 5 of 2026, 2027 and 2028, and vested shares will be issued as soon as practicable after each vesting date. The Form 4 was signed on behalf of Ms. Field by an attorney-in-fact under a power of attorney dated July 21, 2025.
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