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. 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. reported strong first‑quarter 2026 results, with total revenue of $4.94 billion, up 35% from 2025. Net income was $356.4 million, or $4.43 per diluted share, compared with $318.6 million, or $4.24 a year earlier.
Advisory and brokerage assets reached $2.34 trillion at March 31 2026, up from $1.79 trillion a year prior, driven by growth and acquisitions including Commonwealth. Gross profit rose 25% to $1.59 billion, while adjusted EBITDA increased to $819.1 million. The company paid $24.1 million in dividends and kept its leverage ratio at 1.86, well below its 4.0 covenant maximum.
LPL Financial Holdings Inc. reported strong first-quarter 2026 results, with net income of $356 million and diluted EPS of $4.43, up from $318.6 million and $4.24 a year earlier. Total revenue grew to $4.94 billion, a 35% year-over-year increase, while adjusted EPS rose 9% to $5.60.
Gross profit increased 25% to $1.59 billion, and adjusted pre-tax income grew 20% to $613 million, showing improved profitability even as core G&A expenses rose 29% to $532 million. Total client assets reached $2.34 trillion, up 30% year-over-year, with advisory assets up 42% to $1.39 trillion and now representing 59.5% of client assets.
The company ended the quarter with $567 million of corporate cash and a leverage ratio of 1.86x, paid $24 million in dividends, and declared a $0.30 per-share dividend payable in June 2026. Management highlighted progress on the Commonwealth integration, an agreement to acquire Mariner Advisor Network with $31 billion of client assets, and approximately $62 million deployed into six Liquidity & Succession deals, while lowering the upper end of its 2026 Core G&A outlook range by $20 million.
LPL Financial Holdings Inc ownership disclosure: Vanguard Capital Management reported beneficial ownership of 4,300,570 shares of common stock, representing 5.36% of the class as of 03/31/2026. The filing states Vanguard has sole dispositive power over 4,300,570 shares and sole voting power over 703,602 shares.
The statement clarifies holdings include securities held for Vanguard funds and managed accounts and is signed by Ashley Grim on 04/30/2026.
LPL Financial Holdings Inc. President and CFO Matthew J. Audette reported open-market sales of 1,579 shares of common stock over two days. The trades on April 14–15, 2026 occurred at prices between $325.00 and $332.43 per share and were executed under a pre-arranged Rule 10b5-1 trading plan adopted on August 14, 2025.
After these transactions, Audette directly holds 19,803 shares of common stock. His equity position also includes 787 restricted stock units vesting on February 25, 2027, 3,965 restricted stock units vesting ratably in 2027 and 2028, and 6,624 restricted stock units vesting ratably in 2027, 2028 and 2029.
An insider of LPLA reported proposed sales of Common Stock via Form 144. The filing lists 1,110 shares tied to a Restricted Stock Vesting event dated 02/25/2026. The filing also records prior sales of 1,581 shares (sale dated 02/26/2026) and 469 shares (sale dated 04/14/2026), with proceeds shown alongside those transactions.
LPLA reporting person Matthew J. Audette reported a Rule 144 notice showing 1,581 shares of Common stock sold on 02/26/2026 for proceeds of $506,718.54. The filing also notes 469 shares vested as restricted stock on 02/25/2026.
LPL Financial Holdings Inc. is asking stockholders to vote at its 2026 annual meeting on May 14, 2026, in Fort Mill, South Carolina. Holders of its common stock as of March 16, 2026 may vote in person or by proxy.
Stockholders will elect 11 directors, ratify Deloitte & Touche LLP as auditor for 2026, and cast an advisory vote on named executive officer pay. They are also being asked to approve several charter changes: eliminating supermajority voting requirements, adding officer exculpation, and removing a corporate opportunities provision.
The proxy describes LPL’s governance framework, including an independent board chair, majority voting for uncontested director elections, proxy access, board and management oversight of strategy, risk, cybersecurity and AI, and a sustainability program focused on long-term stakeholder value.
The Vanguard Group filed Amendment No. 12 to a Schedule 13G/A reporting that it beneficially owns 0 shares (0%) of LPL Financial Holdings Inc. common stock. The filing states an internal realignment effective January 12, 2026, and cites SEC Release No. 34-39538 (January 12, 1998) as the basis for disaggregated reporting.
The filing is signed by Ashley Grim, Head of Global Fund Administration, dated 03/27/2026.
LPL Financial Holdings Inc. director Thomas Corey E. reported an acquisition of 7 fully vested stock units of common stock as a compensation-related grant. The units were credited under the company’s Non-Employee Director Deferred Compensation Plan in connection with a quarterly cash dividend, bringing his direct holdings to 13,841 shares.