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.
LPL Financial Holdings Inc. (Nasdaq: LPLA) files a range of documents with the U.S. Securities and Exchange Commission that shed light on its operations as a wealth management and investment advice company. As the parent of LPL Financial LLC and related entities, the firm uses SEC filings to report financial results, corporate actions, governance changes and other material events affecting its advisor-mediated platform.
On this page, investors can review current reports on Form 8-K that LPL uses to announce quarterly earnings, monthly activity metrics, acquisitions and leadership changes. Recent 8-K filings describe, for example, financial results for specific quarters, the completion of the acquisition of CFN Holding Company, LLC (Commonwealth Financial Network), and the election of independent directors to the board. Other 8-Ks address executive transitions and consulting arrangements with former officers.
LPL’s filings also identify its common stock listing on the Nasdaq Global Select Market under the symbol LPLA and confirm that LPL Financial LLC and LPL Enterprise, LLC are registered investment advisers and broker-dealers, and members of FINRA/SIPC. These disclosures help investors understand the regulatory framework in which the company operates.
Through Stock Titan, users can access these SEC documents as they are made available via EDGAR and use AI-powered tools to interpret key points. Filings such as annual reports on Form 10-K, quarterly reports on Form 10-Q and Forms 4 reporting insider transactions, when present, can be summarized to highlight topics like advisory and brokerage asset trends, corporate transactions, board and management changes and compensation-related matters disclosed in proxy materials.
By combining real-time access to LPLA filings with AI-generated explanations, this page helps users navigate complex regulatory documents and focus on the information most relevant to understanding LPL Financial’s business and governance.
LPL Financial Holdings Inc. files its annual report describing a large advisor-focused wealth management platform. The company supports more than 32,000 financial advisors and about 1,200 financial institutions, servicing roughly $2.4 trillion in brokerage and advisory assets.
As of December 31, 2025, advisory assets under custody were $1,392.7 billion and brokerage assets in commission-based products were $977.9 billion, with client cash program balances of $61.0 billion. The report highlights scale-driven technology, self-clearing, compliance, research and practice management support, along with key risks tied to markets, regulation, technology and advisor retention.
LPL Financial Holdings Inc. director Somesh Khanna reported an equity grant under the company’s compensation plans. On February 2, 2026, he acquired 139 shares of common stock at a price of $0, bringing his directly held total to 139 shares.
The award consists of stock units granted under the 2021 Omnibus Equity Incentive Plan, with each unit representing one share of common stock. The units are scheduled to vest in full on May 13, 2026 and are subject to a deferral election under the Non-Employee Director Deferred Compensation Plan, reflecting the equity portion of his annual director retainer.
LPL Financial Holdings Inc. furnished an update announcing its financial results for the three and twelve months ended December 31, 2025. The company issued a press release titled “LPL Financial Announces Fourth Quarter and Full Year 2025 Results,” which is attached as Exhibit 99.1.
The press release is provided as additional information and is expressly treated as “furnished,” not “filed,” meaning it is not subject to certain Exchange Act liabilities and is not automatically incorporated into other Securities Act or Exchange Act filings.
LPL Financial Holdings Inc. director Somesh Khanna filed an initial Form 3 reporting his relationship to the company as a director. The filing states that no securities of LPL Financial are beneficially owned. The form is signed by an attorney-in-fact, Robert S. Hatfield III, acting under a power of attorney dated January 9, 2026.
LPL Financial Holdings Inc. reported that its board of directors elected Somesh Khanna as a director, effective January 5, 2026. The board determined that he is independent under Nasdaq listing standards, meaning he meets the exchange’s criteria for an outside director.
Khanna will receive a pro-rated annual service retainer under LPL Financial’s non-employee director compensation policy, with cash and restricted shares of common stock to be granted on February 1, 2026, based on that policy. The restricted shares are scheduled to vest in full on May 13, 2026. The company also issued a press release titled “Somesh Khanna Elected to LPL Financial Board of Directors” describing this board change.
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.