Welcome to our dedicated page for LPL Financial Holdings 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. filings document the operating results, governance and capital structure of a publicly traded wealth management platform. Form 8-K reports include quarterly earnings releases with disclosures on net income, EPS, gross profit, expenses, client assets, advisory assets, organic net new assets, recruited assets, client cash balances, liquidity, leverage and dividends.
Proxy and material-event filings cover board composition, director independence, director compensation policies, executive-officer transitions, consulting agreements, stock-based compensation arrangements, shareholder voting matters and capital-structure disclosures for LPLA common stock listed on the Nasdaq Global Select Market.
LPL Financial Holdings Inc. (LPLA) is the issuer for a planned resale of common stock reported under Rule 144 for the account of Aneri Jambusaria. The notice lists up to 308 shares of common stock to be sold through Fidelity Brokerage Services LLC, with an aggregate market value of $110,066.88 as of the notice date.
The shares derive from restricted stock vesting on February 25, 2026 and are characterized as compensation. The filing also reports that 308 shares of LPL common stock were sold during the past three months on June 17, 2026 for total proceeds of $94,248.00. The notice is signed on behalf of the seller by Fidelity Brokerage Services LLC as attorney-in-fact.
LPL Financial Holdings Inc. (LPLA) reported that officer Greg Gates, Group Managing Director, exercised an option for 7,189 shares of Common Stock at an exercise price of $77.53 per share and received the same number of shares on August 20, 2026. On the same date, he sold 4,119 shares of Common Stock at a weighted average price of $355.38 per share, with sale prices ranging from $355.25 to $355.47. Following these transactions, his holdings consist of 15,807 shares of Common Stock and multiple blocks of restricted stock units scheduled to vest between February 25, 2027 and August 31, 2029.
LPL Financial Holdings Inc. (LPLA) received a notice under Rule 144 that Gregory S. Gates, through Fidelity Brokerage Services LLC as broker, plans to sell up to 4,119 shares of LPLA common stock, with an aggregate market value of $1,463,810.16. These shares are tied to a stock option exercise from the issuer for cash dated 08/20/2026. LPLA had 78,742,290 shares of common stock outstanding in connection with this notice, which serves as a baseline figure, not the amount being sold.
Janus Henderson Group Ltd., through its affiliated asset managers, reports beneficial ownership of 4,198,356 shares of LPL Financial Holdings Inc. common stock, representing 5.3% of the outstanding class. All of these shares are held in managed client accounts.
The filing states that Janus Henderson’s asset managers have shared voting power and shared dispositive power over the 4,198,356 shares, with no sole voting or dispositive power. The managed portfolios retain the right to receive all dividends and sale proceeds, and no individual managed portfolio owns more than five percent of LPL Financial’s common stock.
Boston Partners reports beneficial ownership of LPL Financial Holdings Inc. common stock on a Schedule 13G. Boston Partners holds 4,004,971.61 shares, representing 5.01% of the outstanding common stock as of 06/30/2026, for the discretionary accounts of certain clients.
Boston Partners has sole voting power over 3,306,027 shares and sole dispositive power over 4,004,971.61 shares, with no shared voting or dispositive power. To its knowledge, no other person has rights to dividends or sale proceeds relating to more than 5% of this class.
James S. Putnam, a director of LPL Financial Holdings Inc., reported a bona fide charitable gift of 2,000 shares of common stock on August 3, 2026. The transfer was recorded at $0.00 per share as a disposition. Following the gift, he directly holds 135,290.5 common shares.
Matthew Enyedi, Group Managing Director of LPL Financial Holdings Inc., reported selling 1,000 shares of Common Stock in five non-derivative transactions on July 31, 2026. The sales were executed at weighted average prices per share described in accompanying price ranges and were effected under a pre-arranged Rule 10b5-1 trading plan adopted on November 24, 2025. After these sales, he continues to hold 9,242 shares of Common Stock plus several restricted stock unit awards with vesting dates through 2029.
LPL Financial Holdings Inc. reported Q2 2026 results marked by higher revenue and earnings. Total revenue was $5,186.6 million versus $3,835.0 million a year earlier, and net income was $379.3 million, or $4.74 diluted EPS, up from $273.2 million, or $3.40. Non-GAAP adjusted EPS was $5.84 and gross profit rose to $1,618.3 million.
Advisory and brokerage assets reached $2,562.7 billion at June 30, 2026, compared with $1,919.2 billion, supported by $23.6 billion of total net new assets and market gains. Advisory assets grew to $1,548.4 billion, 60.4% of total assets, while the advisor base expanded to 32,475. Client cash balances were $56.9 billion.
The company returned capital through $24.0 million of dividends and repurchased approximately 1.1 million shares for $309.5 million in Q2, with a new $2.5 billion repurchase authorization approved in July. Credit Agreement net debt was $7,065.9 million and the leverage ratio was 1.91, below the 4.0 maximum covenant, supported by $430.1 million of Corporate Cash.
LPL Financial Holdings Inc. reported strong second-quarter 2026 results, with net income of $379 million and diluted EPS of $4.74, up 39% from a year ago. Adjusted EPS rose 29% to $5.84, while gross profit increased 24% to $1,618 million on total revenue of $5,186,623 thousand, up 35% year-over-year.
Total client assets grew 34% to $2.6 trillion, including advisory assets of $1.5 trillion, and total organic net new assets of $23 billion, representing 4% annualized growth. The company advanced its Commonwealth and Mariner acquisitions, maintained a leverage ratio of 1.91x, repurchased $309.5 million of shares, and declared a $0.30-per-share dividend. Management also lowered its 2026 Core G&A outlook range to $2,140–2,165 million, reflecting progress on operating leverage.