LPL Financial Holdings Inc (LPLA)

Sector:
FINANCE
Industry:
CORPORATE FINANCE
SIC:
SECURITY & COMMODITY BROKERS, DEALERS, EXCHANGES & SERVICES
CEO:
Dan Hogan Arnold
Employees:
4,229
75 STATE STREET, 22ND FLOOR, BOSTON, MA 02109
617 423 3644

LPL Financial Holdings, Inc. engages in the provision of technology, brokerage and investment advisory services. It provides an integrated platform of brokerage and investment advisory services to independent financial advisors and financial advisors at financial institutions. It operates it business through its subsidiaries under the following business segments: Independent Advisor Services and Institution Services. The Independent Advisor Services segment provides business consulting, business development, and marketing support as well as in-depth practice management programs and training. The Institution Services segment supports advisors and program managers at community and regional banks and credit unions. It also offers proprietary technology, comprehensive clearing and compliance services, practice management programs and training, and independent research The company was founded in 1989 and is headquartered in Boston, MA.

Data derived from most recent annual or quarterly report
Market Cap 15.566 Billion Shares Outstanding79.969 Million Avg 30-day Volume 939.875 Thousand
P/E Ratio32.1162 Dividend Yield0.5474 EPS1.31
Price to Revenue1.8628 Debt to Equity2.5589 EBITDA859.89 Million
Price to Book Value8.5888 Operating Margin0.0 Enterprise Value17.594 Billion
Current Ratio EPS Growth0.027 Quick Ratio
1 Yr BETA 1.4253 52-week High/Low 220.8 / 126.42 Profit Margin5.8002
Operating Cash Flow Growth-32.3052 Altman Z-Score Free Cash Flow to Firm -523.317 Million
Earnings Report2022-07-28
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Funds Holding LPLA (via 13F filings)

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*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"

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Open Market Buys/Sells Last 60 Days

Open Market Buys (P)

none

Open Market Sells (S)

15.7 Thousand total shares from 5 transactions

Exercise Derivative Conversion (M)

35.7 Thousand total shares from 3 transactions

Current/Former Insiders

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

EBERHART PAULETT

  • Director
 22,030 2022-05-19 5

MULCAHY ANNE M

  • Director
 33,094 2022-05-19 1

BERNARD EDWARD C

  • Director
 12,213 2022-05-19 5

SCHIFTER RICHARD P

  • Director
 52,290 2022-05-19 5

GLAVIN WILLIAM FRANCIS JR

  • Director
 21,559 2022-05-19 6

PUTNAM JAMES S

  • Director
 133,893 2022-05-19 5

MNOOKIN ALLISON

  • Director
 8,896 2022-05-19 5

THOMAS COREY E.

  • Director
 10,440 2022-05-19 5

OROSCHAKOFF MICHELLE MANAGING DIRECTOR

  • Officer
 42,068 2022-05-16 5

LARSEN SALLIE R. MANAGING DIRECTOR

  • Officer
 24,555 2022-05-11 3

SETHI KABIR MANAGING DIRECTOR

  • Officer
 12,108 2022-05-06 2

ENYEDI MATTHEW MANAGING DIRECTOR

  • Officer
 8,265 2022-03-14 3

SEMERJIAN DAYTON MANAGING DIRECTOR

  • Officer
 14,373 2022-02-25 1

AUDETTE MATTHEW J CHIEF FINANCIAL OFFICER

  • Officer
 12,667 2022-02-25 2

ARNOLD DAN H. PRESIDENT & CEO

  • Officer
  • Director
 179,275 2022-02-25 3

WHITE GEORGE BURTON MANAGING DIRECTOR

  • Officer
 49,578 2022-02-25 4

SIMONICH BRENT EVP, CAO AND TREASURER

  • Officer
 5,122 2022-02-25 1

STEINMEIER RICHARD MANAGING DIRECTOR

  • Officer
 24,078 2022-02-25 2

FANDREY EDWARD MANAGING DIRECTOR

  • Officer
 15,289 2022-02-25 5

GATES GREG MANAGING DIRECTOR

  • Officer
 21,834 2022-02-25 3

SEESE SCOTT MANAGING DIRECTOR

  • Officer
 24,508 2021-06-14 1

KALBAUGH JOHN ANDREW MANAGING DIRECTOR

  • Officer
 27,523 2021-02-25 0

RIEPE JAMES S

  • Director
 131,229 2020-03-31 0

CALDER TRACY MANAGING DIRECTOR

  • Officer
 8,089 2019-11-25 0

GOOLEY THOMAS MANAGING DIRECTOR

  • Officer
 No longer subject to file 2019-03-13 0

DINH VIET D

  • Director
 22,208 2018-08-23 0

MORRISSEY WILLIAM P. JR. MANAGING DIRECTOR

  • Officer
 18,091 2018-03-13 0

HELLMAN MARCO

  • Director
 492,390 2018-03-06 0

BRENNAN JOHN JOSEPH

  • Director
 45,883 2017-03-24 0

BERGERS DAVID P. MANAGING DIRECTOR

  • Officer
 43,382 2017-03-13 0

FETTER VICTOR MANAGING DIRECTOR

  • Officer
 23,279 2017-03-06 0

CASADY MARK S

  • Director
 No longer subject to file 2017-03-02 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

TPG GROUP HOLDINGS (SBS) ADVISORS, INC.

BONDERMAN DAVID

COULTER JAMES G

  • FORMER 10% OWNERFORMER 10% OWNERFORMER 10% OWNER
 No longer subject to file 2015-12-10 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

BRUTON DEREK MD, INDEPENDENT ADVISOR SVCS

  • Officer
 9,402 2014-02-22 0

KHOURY JOAN D MD, CHIEF MARKETING OFFICER

  • Officer
 6,817 2014-02-22 0

STIEFLER JEFFREY E

  • Director
 12,844 2013-11-19 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

THORPE ALLEN R

  • Director
 No longer subject to file 2013-08-15 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

GOLDSTEIN JEFFREY A

  • Director
 1,582 2013-02-22 0

DWYER WILLIAM E III PRESIDENT, NAT'L SALES

  • Officer
 0 2013-02-22 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

HELLMAN & FRIEDMAN GP LLC

  • Director
  • 10% Owner
 13,014 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

RAGATZ ERIK D.

  • Director
 3,180 2011-12-01 0

SHULMAN BECKY S MD & DEPUTY CFO

  • Officer
 20,000 2011-09-28 0

ABOOD DENISE M. MD, HUMAN CAPITAL

  • Officer
 0 2010-12-22 0

HAINES MARSHALL

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

TPG ADVISORS IV, INC.

BONDERMAN DAVID

COULTER JAMES G

  • 10% Owner
 34,210,185 2009-04-24 0

BLACK STEVEN M. MNG DIR., CHIEF RISK OFFICER

  • Officer
 0 2008-12-31 0

MAHER BILL MANAGING DIRECTOR

  • Officer
 100 2008-12-28 0

TUORTO JOSEPH P MNG DIR, HEAD OF COMPLIANCE

  • Officer
 0 2008-02-05 0

Insider Transactions Last 60 Days

Reporting Owners Filing Date Trans Date Trans Code Shares Share Price Acquired
Disposed		 Shares Owned after D/I 10b5 Perf 1d* Perf 5d* Perf 1m* Max Gain Max Gain Days Max Loss Max Loss Days

BERNARD EDWARD C - Director

2022-05-23 18:19:11 -0400 2022-05-19 A 525 a 12,213 direct 2.3758 2.3758 2 0.0 1

GLAVIN WILLIAM FRANCIS JR - Director

2022-05-23 18:29:31 -0400 2022-05-19 A 525 a 19,799 direct 2.3758 2.3758 2 0.0 1

MULCAHY ANNE M - Director

2022-05-23 18:40:57 -0400 2022-05-19 A 525 a 33,094 direct 2.3758 2.3758 2 0.0 1

PUTNAM JAMES S - Director

2022-05-23 18:52:58 -0400 2022-05-19 A 814 a 133,368 direct 2.3758 2.3758 2 0.0 1

THOMAS COREY E. - Director

2022-05-23 19:05:15 -0400 2022-05-19 A 525 a 10,440 direct 2.3758 2.3758 2 0.0 1

EBERHART PAULETT - Director

2022-05-23 18:24:08 -0400 2022-05-19 A 814 a 22,030 direct 2.3758 2.3758 2 0.0 1

MNOOKIN ALLISON - Director

2022-05-23 18:35:00 -0400 2022-05-19 A 814 a 8,896 direct 2.3758 2.3758 2 0.0 1

PUTNAM JAMES S - Director

2022-05-23 18:52:58 -0400 2022-05-19 A 525 a 133,893 direct 2.3758 2.3758 2 0.0 1

SCHIFTER RICHARD P - Director

2022-05-23 18:58:56 -0400 2022-05-19 A 814 a 51,765 direct 2.3758 2.3758 2 0.0 1

BERNARD EDWARD C - Director

2022-05-23 18:19:11 -0400 2022-05-19 A 814 a 11,688 direct 2.3758 2.3758 2 0.0 1

GLAVIN WILLIAM FRANCIS JR - Director

2022-05-23 18:29:31 -0400 2022-05-19 A 814 a 19,274 direct 2.3758 2.3758 2 0.0 1

MULCAHY ANNE M - Director

2022-05-23 18:40:57 -0400 2022-05-19 A 814 a 32,569 direct 2.3758 2.3758 2 0.0 1

SCHIFTER RICHARD P - Director

2022-05-23 18:58:56 -0400 2022-05-19 A 525 a 52,290 direct 2.3758 2.3758 2 0.0 1

THOMAS COREY E. - Director

2022-05-23 19:05:15 -0400 2022-05-19 A 814 a 9,915 direct 2.3758 2.3758 2 0.0 1

OROSCHAKOFF MICHELLE - Officer MANAGING DIRECTOR

2022-05-18 17:06:33 -0400 2022-05-16 S 1,644 $170.78 d 56,148 direct yes 1.7608 12.0094 12.0094 6 0.0 1

OROSCHAKOFF MICHELLE - Officer MANAGING DIRECTOR

2022-05-18 17:06:33 -0400 2022-05-16 M 7,160 d 0 direct yes

OROSCHAKOFF MICHELLE - Officer MANAGING DIRECTOR

2022-05-18 17:06:33 -0400 2022-05-16 M 12,744 d 0 direct yes

OROSCHAKOFF MICHELLE - Officer MANAGING DIRECTOR

2022-05-18 17:06:33 -0400 2022-05-16 S 320 $173.80 d 42,083 direct yes 1.7608 12.0094 12.0094 6 0.0 1

OROSCHAKOFF MICHELLE - Officer MANAGING DIRECTOR

2022-05-18 17:06:33 -0400 2022-05-16 M 7,160 $19.85 a 45,048 direct yes 1.7608 12.0094 12.0094 6 0.0 1

OROSCHAKOFF MICHELLE - Officer MANAGING DIRECTOR

2022-05-18 17:06:33 -0400 2022-05-16 M 12,744 $39.48 a 57,792 direct yes 1.7608 12.0094 12.0094 6 0.0 1

OROSCHAKOFF MICHELLE - Officer MANAGING DIRECTOR

2022-05-18 17:06:33 -0400 2022-05-16 S 15 $174.89 d 42,068 direct yes 1.7608 12.0094 12.0094 6 0.0 1

OROSCHAKOFF MICHELLE - Officer MANAGING DIRECTOR

2022-05-18 17:06:33 -0400 2022-05-16 S 5,217 $171.96 d 50,931 direct yes 1.7608 12.0094 12.0094 6 0.0 1

OROSCHAKOFF MICHELLE - Officer MANAGING DIRECTOR

2022-05-18 17:06:33 -0400 2022-05-16 S 8,528 $172.62 d 42,403 direct yes 1.7608 12.0094 12.0094 6 0.0 1

LARSEN SALLIE R. - Officer MANAGING DIRECTOR

2022-05-13 16:30:22 -0400 2022-05-11 M 15,815 d 0 direct

LARSEN SALLIE R. - Officer MANAGING DIRECTOR

2022-05-13 16:30:22 -0400 2022-05-11 M 15,815 $31.61 a 24,555 direct 4.3606 7.6544 7.6544 6 0.0 1

SETHI KABIR - Officer MANAGING DIRECTOR

2022-05-10 16:38:43 -0400 2022-05-06 A 12,108 a 12,108 direct -1.1938 -0.0811 3.1873 5 -1.1938 2

THOMAS COREY E. - Director

2022-03-31 17:21:10 -0400 2022-03-29 A 1 a 9,094 direct 0.5508 6.3257 -6.9582 19.1624 12 -8.6705 26

SCHIFTER RICHARD P - Director

2022-03-31 17:16:05 -0400 2022-03-29 A 24 a 50,951 direct 0.5508 6.3257 -6.9582 19.1624 12 -8.6705 26

BERNARD EDWARD C - Director

2022-03-31 16:29:11 -0400 2022-03-29 A 1 a 10,870 direct 0.5508 6.3257 -6.9582 19.1624 12 -8.6705 26

EBERHART PAULETT - Director

2022-03-31 16:51:20 -0400 2022-03-29 A 6 a 21,216 direct 0.5508 6.3257 -6.9582 19.1624 12 -8.6705 26

MNOOKIN ALLISON - Director

2022-03-31 17:04:33 -0400 2022-03-29 A 1 a 8,079 direct 0.5508 6.3257 -6.9582 19.1624 12 -8.6705 26

PUTNAM JAMES S - Director

2022-03-31 17:10:12 -0400 2022-03-29 A 13 a 132,554 direct 0.5508 6.3257 -6.9582 19.1624 12 -8.6705 26

SCHIFTER RICHARD P - Director

2022-03-31 17:16:05 -0400 2022-03-29 A 1 a 50,927 direct 0.5508 6.3257 -6.9582 19.1624 12 -8.6705 26

EBERHART PAULETT - Director

2022-03-31 16:51:20 -0400 2022-03-29 A 1 a 21,210 direct 0.5508 6.3257 -6.9582 19.1624 12 -8.6705 26

GLAVIN WILLIAM FRANCIS JR - Director

2022-03-31 16:58:27 -0400 2022-03-29 A 17 a 18,460 direct 0.5508 6.3257 -6.9582 19.1624 12 -8.6705 26

PUTNAM JAMES S - Director

2022-03-31 17:10:12 -0400 2022-03-29 A 1 a 132,541 direct 0.5508 6.3257 -6.9582 19.1624 12 -8.6705 26

THOMAS COREY E. - Director

2022-03-31 17:21:10 -0400 2022-03-29 A 7 a 9,101 direct 0.5508 6.3257 -6.9582 19.1624 12 -8.6705 26

BERNARD EDWARD C - Director

2022-03-31 16:29:11 -0400 2022-03-29 A 4 a 10,874 direct 0.5508 6.3257 -6.9582 19.1624 12 -8.6705 26

GLAVIN WILLIAM FRANCIS JR - Director

2022-03-31 16:58:27 -0400 2022-03-29 A 1 a 18,443 direct 0.5508 6.3257 -6.9582 19.1624 12 -8.6705 26

MNOOKIN ALLISON - Director

2022-03-31 17:04:33 -0400 2022-03-29 A 3 a 8,082 direct 0.5508 6.3257 -6.9582 19.1624 12 -8.6705 26

* -

Transaction Code Definitions
Code Definition
A Grant, award or other acquisition pursuant to Rule 16b-3(d)
C Conversion of derivative security
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)
E Expiration of short derivative position
F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3
G Bona fide gift
H Expiration (or cancellation) of long derivative position with value received
I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities
J Other acquisition or disposition
L Small acquisition under Rule 16a-6
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3
O Exercise of out-of-the-money derivative security
P Open market or private purchase of non-derivative or derivative security
S Open market or private sale of non-derivative or derivative security
U Disposition pursuant to a tender of shares in a change of control transaction
W Acquisition or disposition by will or the laws of descent and distribution
X Exercise of in-the-money or at-the-money derivative security
Z Deposit into or withdrawal from voting trust

IBR Securities Loan Availability

Updated throughout the day, this shows the number of shares available to borrow. Data provided by Interactive Brokers

Security Date/Time Rebate Rate Fee Rate Shares Available
LPL FINANCIAL HOLDINGS INC LPLA 2022-05-27 12:45:03 UTC 0.57 0.25 2000000
LPL FINANCIAL HOLDINGS INC LPLA 2022-05-26 22:15:03 UTC 0.57 0.25 2000000
LPL FINANCIAL HOLDINGS INC LPLA 2022-05-26 21:45:03 UTC 0.57 0.25 2000000
LPL FINANCIAL HOLDINGS INC LPLA 2022-05-26 21:15:03 UTC 0.57 0.25 2000000
LPL FINANCIAL HOLDINGS INC LPLA 2022-05-26 20:45:03 UTC 0.5591 0.2609 2000000
LPL FINANCIAL HOLDINGS INC LPLA 2022-05-26 20:15:03 UTC 0.5591 0.2609 2000000
LPL FINANCIAL HOLDINGS INC LPLA 2022-05-26 19:45:03 UTC 0.5591 0.2609 2000000
LPL FINANCIAL HOLDINGS INC LPLA 2022-05-26 19:15:03 UTC 0.5591 0.2609 2000000
LPL FINANCIAL HOLDINGS INC LPLA 2022-05-26 18:45:04 UTC 0.5585 0.2615 2000000
LPL FINANCIAL HOLDINGS INC LPLA 2022-05-26 18:15:03 UTC 0.5585 0.2615 2000000
LPL FINANCIAL HOLDINGS INC LPLA 2022-05-26 17:45:03 UTC 0.5585 0.2615 2000000
LPL FINANCIAL HOLDINGS INC LPLA 2022-05-26 17:15:03 UTC 0.5585 0.2615 2000000
LPL FINANCIAL HOLDINGS INC LPLA 2022-05-26 16:45:04 UTC 0.5579 0.2621 2000000
LPL FINANCIAL HOLDINGS INC LPLA 2022-05-26 16:15:03 UTC 0.5579 0.2621 2000000
LPL FINANCIAL HOLDINGS INC LPLA 2022-05-26 15:45:03 UTC 0.5579 0.2621 2000000
LPL FINANCIAL HOLDINGS INC LPLA 2022-05-26 15:15:03 UTC 0.5579 0.2621 2000000
LPL FINANCIAL HOLDINGS INC LPLA 2022-05-26 14:45:03 UTC 0.57 0.25 2000000
LPL FINANCIAL HOLDINGS INC LPLA 2022-05-26 14:15:03 UTC 0.57 0.25 2000000
LPL FINANCIAL HOLDINGS INC LPLA 2022-05-26 13:45:05 UTC 0.57 0.25 2000000
LPL FINANCIAL HOLDINGS INC LPLA 2022-05-26 13:15:03 UTC 0.57 0.25 2000000

Current Active Short Positions

Holder Issuer Net Short Position Position Date Origin
AGF Investments Trust- AGFIQ U.S. Market Neutral Value Fund LPLA -37.0 shares, $-2836.79 2020-09-30 N-PORT
AGF Investments Trust- AGFIQ Hedged Dividend Income Fund LPLA -57.0 shares, $-10412.76 2022-03-31 N-PORT

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