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.
Morningstar Matthew reported acquisition or exercise transactions in this Form 4 filing.
LPL Financial Holdings Inc. Group Managing Director Matthew Morningstar reported an equity award of 1,122 shares of Common Stock in the form of restricted stock units. The grant carried a price of $0.00 per share, indicating a compensation award rather than an open-market purchase.
The restricted stock units vest ratably on each of February 25, 2027, February 25, 2028 and February 25, 2029, with vested shares to be issued to him after each vesting date. Following this grant, he holds a total of 3,415 shares and restricted stock units, including previously granted awards.
LPL Financial Holdings Inc. Group Managing Director Aneri Jambusaria reported equity compensation changes involving Common Stock. On February 25, 2026, she acquired 942 shares at $0.0000 per share and 1,302 shares at $0.0000 per share through stock awards. Footnotes explain that 942 shares were earned from performance stock units granted on February 25, 2023, which vested at 81% of the target award based on a three-year total stockholder return period ending February 14, 2026. The 1,302-share award represents restricted stock units that will vest ratably on February 25 of 2027, 2028 and 2029. She also disposed of 715 shares at $318.4700 per share in a tax-withholding transaction to cover exercise price or tax obligations, rather than an open-market sale.
LPL Financial Holdings executive Greg Gates reported several equity award transactions in Common Stock. On February 25, 2026, he acquired 1,856 shares upon vesting of performance stock units granted on February 25, 2023, which earned out at 81% of his target based on relative total stockholder return over a three-year period ending February 14, 2026.
He also received new restricted stock unit awards representing 2,774 shares that vest ratably on each of February 25, 2027, February 25, 2028 and February 25, 2029, and 2,807 shares where one-half vests on February 25, 2028 and the other half on August 31, 2029. In connection with vesting, 1,293 shares were disposed of at $318.47 per share to satisfy tax withholding obligations. After these transactions, his direct holdings consist of Common Stock and multiple tranches of restricted stock units with specified future vesting dates.
LPL Financial Holdings Inc. reported that Group Managing Director Emily Field acquired an equity award of 1,122 restricted stock units of Common Stock on February 25, 2026. These units vest in equal installments on February 25, 2027, 2028 and 2029, with shares delivered after each vesting date. Following this grant, she directly holds a total of 1,939 restricted stock units, including 817 units that vest in three annual tranches on September 5, 2026, 2027 and 2028.
LPL Financial Holdings executive Matthew Enyedi reported multiple stock transactions. On February 26, 2026, he executed open-market sales totaling 2,109 shares of LPL common stock at prices around $318–$323 per share under a pre-established Rule 10b5-1 trading plan.
On February 25, 2026, he received 1,799 shares upon vesting of performance stock units earned at 81% of target based on relative total stockholder return, plus a separate grant of 2,176 restricted stock units. He also disposed of 1,333 shares to cover taxes by delivering shares. Following these transactions, his holdings include 10,242 shares of common stock and several tranches of time-based restricted stock units.
LPL Financial Holdings Inc. Group Managing Director Marc Eliot Cohen reported equity award activity in Common Stock. On February 25, 2026, he acquired 537 shares upon vesting of performance stock units granted on February 25, 2023, which were earned at 81% of his target award based on relative total stockholder return.
He also acquired 1,403 restricted stock units, each representing one future share of Common Stock. These units vest in equal parts on February 25, 2027, February 25, 2028 and February 25, 2029, with shares issued shortly after each vesting date.
To satisfy tax obligations, 483 shares were disposed of at $318.47 per share through a tax-withholding transaction rather than an open-market sale. Following these transactions, his direct holdings consist of Common Stock and several tranches of restricted stock units, and 19 shares are held indirectly by his spouse.
LPL Financial Holdings Inc. President and CFO Matthew J. Audette reported a mix of stock awards and sales. On February 25, 2026, he acquired 2,152 shares of common stock upon vesting of performance stock units granted in 2023, which were earned at 81% of his target based on relative total stockholder return, and received an additional 6,624 restricted stock units that vest between 2027 and 2029. That same day, 2,351 shares were disposed of to cover tax obligations at a price of $318.47 per share. On February 26, 2026, he executed four open-market sales totaling 1,581 shares at prices between $318.51 and $322.15 per share under a Rule 10b5-1 trading plan. Following these transactions, he directly owned 21,382 shares of common stock, plus the reported restricted stock units.
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.