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LPL FINANCIAL LLC
CRD 6413File 801-10970
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Jul 23, 2026
Feed vintage Aug 17, 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
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 |
|---|---|---|---|
| Aug 17, 2026 | Clients | 1986990 | 1986977 |
| Aug 12, 2026 | Registration | — | APPROVED |
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.