LPL FINANCIAL LLC

CRD

6413

SEC file #

801-10970

EIN

806265125

DBA names

—

Economics

AUM

$819.12B

AUM band

$1B+

AUM trajectory

'20 · $159.10B

'21 · $207.79B

'22 · $268.83B

'23 · $404.18B

'25 · $618.92B

'26 · $819.12B

'20'26

$159.10B → $819.12B▲ +415%

sec adv history

Client mix

Individuals Other	1,291,397
Individuals High Net Worth	671,511
Pension Profit Sharing Plans	10,450
Corporations	8,528
Charitable Organizations	5,086

Operations

Employees (total)

41,879

Advisory staff (per ADV)

36,280

Advisory staff (5-yr trend)

'20 · 15,717 advisors

'21 · 15,637 advisors

'22 · 16,527 advisors

'23 · 20,469 advisors

'25 · 28,347 advisors

'26 · 36,280 advisors

'20'26

15,717 advisors → 36,280 advisors▲ +131%

sec adv history

Primary office

FORT MILL SC

Branches

—

Custodian & Brokerage

Primary custodian

LPL Financialmedium confidence

adv brochure

Services offered

Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesEducational Seminars Workshops

Fee basis

% of AUMHourly chargesFixed fees

Filings

Latest ADV filing

04/23/2026

ADV-W filed at

—

Website

youtube.com/@lplresearch

Compliance

Disclosures (firm)

Trademark

—

Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name

LPL HOLDINGS, INC.

Top Owner Pct

87.5

Top Owner Entity Kind

Owner Count

Control Persons

LPL HOLDINGS, INC.

AUDETTE, MATTHEW JON

Solo Advisor Indicator

Succession Risk Solo Owner

Is Parent Owned Subsidiary

Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed

sec adv w

Web presence ★

Stale website = winding down

Web Signal Quality

social_url_excluded:youtube.com

rdap

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book

Yes

Form 5500 Plan Count

1,079

Form 5500 Total Participants

18,970

Form 5500 Total Compensation

34,408,424

Form 5500 Compensation Trajectory 3y

2025	32,580,109
2026	1,828,315
2024	0

Form 5500 Plan Count Trajectory 3y

2025	1,012
2026	65
2024	2

Schedule C Total Compensation

34,408,424

Schedule C Service Provider Rows

1,079

SEC EDGAR

Edgar Cik

0001599875

Edgar Registered

Yes

Edgar Filing Count

Edgar First Filing Date

2014-02-20

Edgar Last Filing Date

2014-08-19

Edgar Form D Count

Edgar Form D Offerings

2014-08-192014-08-19 · 0001599875-14-000007

2014-05-162014-05-16 · 0001599875-14-000006

Compliance & brand

Firm Registration Status

active

sec adv w

All other collected signals (12)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed

sec adv w

Bc Firm Active Bc Count

brokercheck firm search

Bc Firm Active IA Count

brokercheck firm search

Bc Firm IAR Count

brokercheck firm search

Custodian Candidates

Window

Lpl Financial

Full

Lpl Financial	2,204
E*trade	7

adv brochure

Edgar Addresses

Mailing

2901 BUTTERFIELD ROADOAK BROOK, IL 60523

Business

2901 BUTTERFIELD ROADOAK BROOK, IL 60523

Edgar EIN

806265125

Edgar Recent Filings

D/A2014-08-19 · 0001599875-14-000007

D/A2014-05-16 · 0001599875-14-000006

Fee Schedule

Bracket Ix	77
Bracket I	16
Bracket Xi	3
Bracket Iii	1
Bracket Vii	1

Firm Has Custody

Yes

Mailing Office Differs

Trust Company Affiliate

IAR · Executive Officer · 2.5%

People (59)

ENYEDI, MATTHEW KLAUS

4194266

MATTHEW JON AUDETTE

4003349

GATES, GREGORY

7069201

Aneri Jambusaria

7248335

STEVEN THOMAS MALFITANO

3178848

JAMES MCHALE

MORNINGSTAR, MATTHEW EDWIN

6052977

2510742

JUDITH KOHOSKIE RICKETTS

2758924

BRENT BLAIN SIMONICH

3254859

Richard C Steinmeier

CHRISTOPHER FISKE PERRETT

MICHAEL RALPH SANTINO

JEFFREY MICHAEL RASER

4036686

JOHN JOSEPH SKOWRONSKI

4130860

LORA MITCHELL SCHULER

KATHRYN REDMOND ROMEIS

KRISTEN LOUISE BENTON

ARNOLD, KRISTOFFER, DOUGLAS

4378024

JESSICA FERGUSON MOREL

MARSHALL RAY ROBINSON

BOYD II, DONALD, GENE

JEFFREY ROBERT VANDERPOEL

WILLIAM RICHARD HENNESSEY

4449013

MIKE THEODORE VANDEN BERGE

4433850