LPL Financial Holdings Inc (LPLA)

FINANCE: CORPORATE FINANCE
SIC: SECURITY & COMMODITY BROKERS, DEALERS, EXCHANGES & SERVICES

75 STATE STREET BOSTON, MA 02109

LPL Investment Holdings Inc. provides technology, brokerage and investment advisory services through business relationships with independent financial advisors, financial advisors employed by financial institutions, registered investment advisors (RIAs), and financial institutions. Through its proprietary technology, custody and clearing platforms, the company offers its customers access to an array of financial products and services that enable them to provide financial advice and brokerage services to retail investors (their 'clients').

Data based on most recent fiscal year report
Market Cap5.513 Billion Shares Outstanding90.19 Million Avg Volume1.17 Million
1-Yr BETA vs S&P TR Current Ratio1.39 Quick Ratio1.39
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Funds Holding LPLA (via 13F filings)

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*Shares are split adjusted
*Please note that if a filer hasn't submitted a 13F filing for a quarter then the filer's shares will be listed as "Sold All"

Mutual Funds Holding LPLA BETA

Active Schedule 13D and 13G filings

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Open Market Buys/Sells Last 60 Days

Open Market Buys (P)

40 Thousand total shares from 1 transactions

Open Market Sells (S)

33.9 Thousand total shares from 3 transactions

Exercise Derivative Conversion (M)

33.9 Thousand total shares from 2 transactions

Current/Former Insiders

Insider Name Type Last Reported Shares Held Last Reported Date Filings in past year

ENYEDI MATTHEW MANAGING DIRECTOR

  • Officer
2,697 2020-01-01 1

BRENNAN JOHN JOSEPH

  • Director
0 2019-12-31 0

RIEPE JAMES S

  • Director
0 2019-12-31 5

MULCAHY ANNE M

  • Director
7,316 2019-12-31 1

THOMAS COREY E. CEO

  • Officer
  • Director
537,462 2019-12-13 5

DINH VIET D CHIEF LEGAL AND POLICY OFFICER

  • Officer
8,536 2019-12-12 0

MNOOKIN ALLISON

  • Director
0 2019-12-11 1

WHITE GEORGE BURTON MANAGING DIRECTOR

  • Officer
28,809 2019-12-06 4

CALDER TRACY MANAGING DIRECTOR

  • Officer
8,089 2019-11-25 4

PUTNAM JAMES S

  • Director
127,064 2019-11-21 5

SCHIFTER RICHARD P

  • Director
0 2019-11-21 5

EBERHART PAULETT

  • Director
15,854 2019-11-21 5

GLAVIN WILLIAM FRANCIS JR

  • Director
12,347 2019-11-21 5

TPG GROUP HOLDINGS (SBS) ADVISORS, INC.

BONDERMAN DAVID

COULTER JAMES G

  • FORMER DIRECTOR AND 10% OWNERFORMER DIRECTOR AND 10% OWNERFORMER DIRECTOR AND 10% OWNER
3,740,931 2019-11-20 0

CASADY MARK S

  • Director
24,050 2019-11-13 0

OROSCHAKOFF MICHELLE MANAGING DIRECTOR

  • Officer
9,563 2019-11-13 5

ARNOLD DAN H. PRESIDENT & CEO

  • Officer
  • Director
203,601 2019-11-05 5

RAGATZ ERIK D.

  • Director
0 2019-10-08 0

GOLDSTEIN JEFFREY A

  • Director
18,045 2019-10-01 0

KALBAUGH JOHN ANDREW MANAGING DIRECTOR

  • Officer
29,894 2019-09-10 5

STEINMEIER RICHARD MANAGING DIRECTOR

  • Officer
29,987 2019-09-07 2

SEESE SCOTT MANAGING DIRECTOR

  • Officer
19,663 2019-08-21 2

STIEFLER JEFFREY E

  • Director
29,448 2019-08-08 0

AUDETTE MATTHEW J CHIEF FINANCIAL OFFICER

  • Officer
18,443 2019-08-05 3

LARSEN SALLIE R. MANAGING DIRECTOR

  • Officer
17,785 2019-03-13 2

GOOLEY THOMAS MANAGING DIRECTOR

  • Officer
17,293 2019-03-13 3

SEMERJIAN DAYTON MANAGING DIRECTOR

  • Officer
10,772 2019-02-28 2

SHULMAN BECKY S

  • Director
11,749 2019-01-30 0

MAHER BILL

  • Director
0 2018-04-27 0

MORRISSEY WILLIAM P. JR. MANAGING DIRECTOR

  • Officer
18,091 2018-03-13 0

HELLMAN MARCO

  • Director
492,390 2018-03-06 0

BERGERS DAVID P. MANAGING DIRECTOR

  • Officer
43,382 2017-03-13 0

FETTER VICTOR MANAGING DIRECTOR

  • Officer
23,279 2017-03-06 0

PARKER RYAN MD, INVSTMT & PLANNING SOLUTNS

  • Officer
11,864 2016-03-06 0

BUCHHEISTER JEFFREY R. EVP, CHIEF ACCOUNTING OFFICER

  • Officer
7,404 2016-02-25 0

HANDELSMAN SHARYN MD, CHIEF COMPLIANCE OFFICER

  • Officer
6,478 2015-06-02 0

BOYCE RICHARD W

  • Director
59,990 2015-05-18 0

THOMAS LUX ACTING CHIEF FINANCIAL OFFICER

  • Officer
10,378 2015-05-18 0

HELLIKER MARK MD, CLIENT SUPPORT SERVICES

  • Officer
7,001 2015-03-06 0

SCHOTT MARY FRANCES MD, CLIENT EXPERNCE & TRAINING

  • Officer
6,446 2015-03-06 0

MOORE ROBERT J. PRESIDENT

  • Officer
56,668 2015-02-24 0

KHOURY JOAN D MD, CHIEF MARKETING OFFICER

  • Officer
6,817 2014-02-22 0

BRUTON DEREK MD, INDEPENDENT ADVISOR SVCS

  • Officer
9,402 2014-02-22 0

THORPE ALLEN R

  • Director
4,728 2014-01-22 0

HELLMAN & FRIEDMAN LLC

HELLMAN & FRIEDMAN CAPITAL PARTNERS V, L.P.

HELLMAN & FRIEDMAN CAPITAL PARTNERS V (PARALLEL), L.P.

HELLMAN & FRIEDMAN CAPITAL ASSOCIATES V, L.P.

HELLMAN & FRIEDMAN INVESTORS V, L.P.

  • Director
  • 10% Owner
No longer subject to file 2013-08-15 0

BROWN STEPHANIE L MD & GENERAL COUNSEL

  • Officer
545,788 2013-02-22 0

MCDERMOTT JOHN J. MD, CHIEF RISK OFC.

  • Officer
1,780 2013-02-22 0

DWYER WILLIAM E III PRESIDENT, NAT'L SALES

  • Officer
0 2013-02-22 0

HELLMAN & FRIEDMAN GP LLC

  • Director
  • 10% Owner
13,014 2013-02-22 0

HELLMAN & FRIEDMAN LLC

HELLMAN & FRIEDMAN INVESTORS V, L.P.

HELLMAN & FRIEDMAN CAPITAL V LP

HELLMAN & FRIEDMAN CAPITAL PARTNERS V (PARALLEL), L.P.

HELLMAN & FRIEDMAN GP LLC

HELLMAN & FRIEDMAN LP

  • Director
  • 10% Owner
18,898,157 2013-02-22 0

FEENEY CHRISTOPHER MD, CHIEF INFORMATION OFFICER

  • Officer
0 2012-12-06 0

HELLMAN & FRIEDMAN LLC

HELLMAN & FRIEDMAN INVESTORS V, L.P.

HELLMAN & FRIEDMAN CAPITAL V LP

HELLMAN & FRIEDMAN CAPITAL PARTNERS V (PARALLEL), L.P.

HELLMAN & FRIEDMAN LP

  • Director
  • 10% Owner
26,979,884 2012-11-08 0

HELLMAN & FRIEDMAN LP

  • Director
  • 10% Owner
6,280 2012-11-07 0

EATON JONATHAN MD, CUSTOM CLEARING SERVICES

  • Officer
199,109 2012-04-30 0

STEARNS ESTHER M PRESIDENT & COO

  • Officer
616,926 2012-02-22 0

HELLMAN & FRIEDMAN LLC

HELLMAN & FRIEDMAN INVESTORS V, L.P.

HELLMAN & FRIEDMAN CAPITAL V LP

HELLMAN & FRIEDMAN CAPITAL PARTNERS V (PARALLEL), L.P.

  • Director
  • 10% Owner
34,199,359 2012-02-09 0

ABOOD DENISE M. MD, HUMAN CAPITAL

  • Officer
0 2010-12-22 0

TPG ADVISORS IV, INC.

BONDERMAN DAVID

COULTER JAMES G

  • FORMER 10% OWNERFORMER 10% OWNERFORMER 10% OWNER
No longer subject to file 2010-04-14 0

HAINES MARSHALL

  • FORMER DIRECTOR (1)
No longer subject to file 2009-06-02 0

BLACK STEVEN M. MNG DIR., CHIEF RISK OFFICER

  • Officer
0 2008-12-31 0

TUORTO JOSEPH P MNG DIR, HEAD OF COMPLIANCE

  • Officer
0 2008-02-05 0

Insider Transactions Last 60 Days

Reporting Owners Transaction Date Transaction Code Shares Share Price Acquired or Disposed Shares Owned Following Transaction Combined shares owned after filing Direct/Indirect Ownership 10b-5

ARNOLD DAN H. - Officer MD & DIVISION PRESIDENT, FIS

2020-12-22 P 40,000 a 40,000 0.00 direct

WHITE GEORGE BURTON - Officer MANAGING DIRECTOR

2019-12-06 S 20,482 $92.30 d 29,030 28,809.00 direct yes

WHITE GEORGE BURTON - Officer MANAGING DIRECTOR

2019-12-06 M 20,703 d 6,198 28,809.00 direct yes

WHITE GEORGE BURTON - Officer MANAGING DIRECTOR

2019-12-06 M 20,703 $32.26 a 49,512 28,809.00 direct yes

WHITE GEORGE BURTON - Officer MANAGING DIRECTOR

2019-12-06 S 221 $92.70 d 28,809 28,809.00 direct yes

CALDER TRACY - Officer MANAGING DIRECTOR

2019-11-25 S 13,181 $91.60 d 8,089 8,089.00 direct

CALDER TRACY - Officer MANAGING DIRECTOR

2019-11-25 M 13,181 $19.85 a 21,270 8,089.00 direct

CALDER TRACY - Officer MANAGING DIRECTOR

2019-11-25 M 13,181 d 5,939 8,089.00 direct
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