LPL Financial Holdings Inc (LPLA)

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

4707 EXECUTIVE DRIVE SAN DIEGO, CA 92121

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 as of 2020-07-26
Market Cap5.99 Billion Shares Outstanding78.864 Million Avg 30-day Volume722.573 Thousand
P/E Ratio11.3 Dividend Yield1.317 EPS6.75
Price/Sales3.616 Price cash flow ratio6.5 Price free cash flow ratio7.1
Book Value12.82 Price to Tangible Book-6.54 Alpha0.01
Short Interest Ratio % Short Interest to Float R-squared0.302533
BETA1.56007 52-week High/Low99.6 / 32.01 Stddev0.12127
View SEC Filings from LPLA instead.
Q1 2020 All Institutions Hedge Funds 1
Filers who had this stock in their top 10: 6 4 (0.26%)
13F Filers holding this stock: 291 88 (5.76%)
Aggregate 13F shares on 03/31/2020: 74.168 Million 36.975 Million
Aggregate 13F shares on 12/31/2019: 76.637 Million 36.312 Million
Percent change: -3.22% 1.83%
Funds creating new positions: 41 14
Funds Adding to an existing position: 106 34
Funds closing out their position: 80 38
Funds reducing their position: 109 36
1 hedge funds as identified by whalewisdom.com through public filings.

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SEC Web Site SEC DEF 14A Filings

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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"

Mutual Funds Holding LPLA BETA

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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)

98.6 Thousand total shares from 8 transactions

Exercise Derivative Conversion (M)

58.2 Thousand total shares from 3 transactions

Current/Former Insiders

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

TPG GROUP HOLDINGS (SBS) ADVISORS, INC.

BONDERMAN DAVID

COULTER JAMES G

  • 10% Owner
 18,798,075 2020-07-29 0

GLAVIN WILLIAM FRANCIS JR

  • Director
 12,958 2020-07-29 5

GOLDSTEIN JEFFREY A

  • Director
 21,368 2020-07-01 0

BRENNAN JOHN JOSEPH

  • Director
 0 2020-06-30 0

RIEPE JAMES S

  • Director
 0 2020-06-30 3

SCHIFTER RICHARD P

  • Director
 0 2020-06-30 5

DINH VIET D CHIEF LEGAL AND POLICY OFFICER

  • Officer
 71,438 2020-06-30 0

PUTNAM JAMES S

  • Director
 131,359 2020-06-12 5

STIEFLER JEFFREY E

  • Director
 66,431 2020-06-12 0

EBERHART PAULETT

  • Director
 20,095 2020-06-12 5

MNOOKIN ALLISON

  • Director
 6,993 2020-06-12 2

THOMAS COREY E.

  • Director
 7,419 2020-06-12 5

BERNARD EDWARD C

  • Director
 9,227 2020-06-12 3

ARNOLD DAN H. PRESIDENT & CEO

  • Officer
  • Director
 212,159 2020-06-09 8

KALBAUGH JOHN ANDREW MANAGING DIRECTOR

  • Officer
 36,040 2020-06-09 6

STEINMEIER RICHARD MANAGING DIRECTOR

  • Officer
 28,373 2020-06-09 3

MULCAHY ANNE M

  • Director
 4,491 2020-06-02 1

CASADY MARK S

0 2020-05-20 0

RAGATZ ERIK D.

  • Director
 0 2020-04-27 0

WHITE GEORGE BURTON MANAGING DIRECTOR

  • Officer
 37,064 2020-03-13 5

LARSEN SALLIE R. MANAGING DIRECTOR

  • Officer
 23,755 2020-03-13 3

OROSCHAKOFF MICHELLE MANAGING DIRECTOR

  • Officer
 19,857 2020-03-13 6

AUDETTE MATTHEW J CHIEF FINANCIAL OFFICER

  • Officer
 29,335 2020-03-13 4

ENYEDI MATTHEW MANAGING DIRECTOR

  • Officer
 4,243 2020-03-13 4

SEMERJIAN DAYTON MANAGING DIRECTOR

  • Officer
 12,558 2020-02-28 2

SHULMAN BECKY S

  • Director
 15,099 2020-02-25 0

SEESE SCOTT MANAGING DIRECTOR

  • Officer
 23,136 2020-02-25 3

CALDER TRACY MANAGING DIRECTOR

  • Officer
 8,089 2019-11-25 1

GOOLEY THOMAS MANAGING DIRECTOR

  • Officer
 17,293 2019-03-13 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

THOMAS COREY E. - Director

2020-06-12 A 13 a 7,419 7,419.00 direct

EBERHART PAULETT - Director

2020-06-12 A 8 a 20,088 20,095.00 direct

SCHIFTER RICHARD P - Director

2020-06-12 A 8 a 49,026 49,081.83 direct

MNOOKIN ALLISON - Director

2020-06-12 A 8 a 6,993 6,993.00 direct

THOMAS COREY E. - Director

2020-06-12 A 8 a 7,406 7,419.00 direct

PUTNAM JAMES S - Director

2020-06-12 A 32 a 131,359 131,358.50 direct

GLAVIN WILLIAM FRANCIS JR - Director

2020-06-12 A 40 a 16,663 16,663.00 direct

BERNARD EDWARD C - Director

2020-06-12 A 4 a 9,227 9,227.00 direct

EBERHART PAULETT - Director

2020-06-12 A 7 a 20,095 20,095.00 direct

SCHIFTER RICHARD P - Director

2020-06-12 A 56 a 49,082 49,081.83 direct

GLAVIN WILLIAM FRANCIS JR - Director

2020-06-12 A 8 a 16,623 16,663.00 direct

BERNARD EDWARD C - Director

2020-06-12 A 8 a 9,223 9,227.00 direct

ARNOLD DAN H. - Director - Officer PRESIDENT & CEO

2020-06-09 M 20,000 d 78,031 212,158.94 direct yes

ARNOLD DAN H. - Director - Officer PRESIDENT & CEO

2020-06-09 M 20,000 $19.85 a 232,159 212,158.94 direct yes

KALBAUGH JOHN ANDREW - Officer MANAGING DIRECTOR

2020-06-09 M 21,135 d 0 36,040.00 direct yes

KALBAUGH JOHN ANDREW - Officer MANAGING DIRECTOR

2020-06-09 M 21,135 $31.60 a 57,175 36,040.00 direct yes

ARNOLD DAN H. - Director - Officer PRESIDENT & CEO

2020-06-09 S 5,099 $86.10 d 212,159 212,158.94 direct yes

STEINMEIER RICHARD - Officer MANAGING DIRECTOR

2020-06-09 S 5,418 $86.02 d 28,373 28,373.00 direct

KALBAUGH JOHN ANDREW - Officer MANAGING DIRECTOR

2020-06-09 S 38,211 $85.13 d 36,040 36,040.00 direct yes

ARNOLD DAN H. - Director - Officer PRESIDENT & CEO

2020-06-09 S 14,901 $85.56 d 217,258 212,158.94 direct yes

KALBAUGH JOHN ANDREW - Officer MANAGING DIRECTOR

2020-06-09 M 17,076 d 0 36,040.00 direct yes

KALBAUGH JOHN ANDREW - Officer MANAGING DIRECTOR

2020-06-09 M 17,076 $24.38 a 74,251 36,040.00 direct yes

ARNOLD DAN H. - Director - Officer PRESIDENT & CEO

2020-06-05 S 11,647 $82.62 d 216,025 212,158.94 direct yes

ARNOLD DAN H. - Director - Officer PRESIDENT & CEO

2020-06-05 S 1,146 $84.62 d 212,159 212,158.94 direct yes

ARNOLD DAN H. - Director - Officer PRESIDENT & CEO

2020-06-05 S 19,487 $81.98 d 227,672 212,158.94 direct yes

ARNOLD DAN H. - Director - Officer PRESIDENT & CEO

2020-06-05 S 2,720 $83.48 d 213,305 212,158.94 direct yes
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

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