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LPL FINANCIAL LLC
CRD 6413File 801-10970
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Sep 21, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$819.12B
Top 10% of cohort (national)
Discretionary AUM
$818.32B
Non-discretionary $797.9M
Clients
1,986,977
2,850,994 accounts
Employees
41,879
Top 10% of cohort in SC
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- ARO
- Registration date
- Aug 25, 1975
- Principal office
- 1055 LPL WAY, FORT MILL, SC, 29715
- Phone
- 704-733-3300
- Website
- HTTPS://WWW.LPL.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $819.12B
- Discretionary AUM
- $818.32B
- Non-discretionary AUM
- $797.9M
- Discretionary accounts
- 2,849,049
- Non-discretionary accounts
- 1,945
- Total accounts
- 2,850,994
- AUM per client
- $412K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 8,528 | $14.06B |
| Charitable organizations | 5,086 | $7.59B |
| High net worth individuals | 671,511 | $552.71B |
| Pension and profit sharing plans | 10,450 | $13.29B |
| State or municipal government entities | 5 | $8.9M |
| Individuals (other than high net worth individuals) | 1,291,397 | $231.45B |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Other
- Other advisory activities
- Financial planning services
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- Yes
- Firm Custody Clients
- Yes
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- Yes
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11
- Q11C1
- Q11C2
- Q11C4
- Q11C5
- Q11D1
- Q11D2
- Q11D4
- Q11D5
- Q11E1
- Q11E2
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Aug 17, 2026 | Clients | 1,986,990 | 1,986,977 | decreased by13 |
| Apr 1, 2026 | Employees | 37,893 | 41,879 | increased by3,986 |
| Apr 1, 2026 | Clients | 1,676,192 | 1,986,990 | increased by310,798 |
| Apr 1, 2026 | AUM | $618,922,975,737 | $819,117,829,825 | increased by$200,194,854,088 |
| Apr 1, 2026 | Accounts | 2,369,378 | 2,850,994 | increased by481,616 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 28,744 | 37,893 | increased by9,149 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 1,115,269 | 1,676,192 | increased by560,923 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $404,176,194,148 | $618,922,975,737 | increased by$214,746,781,589 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 1,517,995 | 2,369,378 | increased by851,383 |
| Apr 1, 2022 | Employees | 24,427 | 28,744 | increased by4,317 |
| Apr 1, 2022 | Clients | 794,043 | 1,115,269 | increased by321,226 |
| Apr 1, 2022 | AUM | $268,833,916,025 | $404,176,194,148 | increased by$135,342,278,123 |
| Apr 1, 2022 | Accounts | 1,055,189 | 1,517,995 | increased by462,806 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “LPL FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“LPL FINANCIAL” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.