LPL Financial Holdings, Inc.

LPL Financial Holdings, Inc.

LPL Financial Holdings, Inc.

Date Founded



4707 Executive Drive, San Diego, CA, 92121, USA

Type of Company


Employees (Worldwide)



Investment Banking & Brokerage
Investment Services & Portfolio Management
Holding Companies

Company Description

LPL Financial Holdings, Inc. operates as an investment holding company with interests in 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. The company operates its business through its subsidiaries under three business segments: Independent Advisor Services, Institution Services and Custom Clearing Services. LPL Financial Holdings is headquartered in Boston, MA.

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Executives & Employees

President & Chief Executive Officer

Executive Vice President, Deputy General Counsel

Chief Legal Officer & Managing Director

Principal Accounting Officer

Treasurer, Chief Accounting Officer & Executive Vice President

Managing Director & Divisional President, Advisor Solutions

Managing Director, Divisional President, Business Development

Managing Director, Business Solutions

Managing Director, Chief Customer Care Officer

Managing Director, Chief Human Capital Officer

Board of Directors

Managing Director at LPL Financial LLC

President & Chief Executive Officer at LPL Financial Holdings, Inc.

Limited Partner at Lead Edge Capital Management LLC

Partner at Tarrant Capital IP LLC

Chairman & Chief Executive Officer at HMS Ventures LLC

Chairman & Chief Executive Officer at Rapid7, Inc.

Former Vice President & General Manager at Intuit, Inc.

Vice Chairman at MM Asset Management Holding LLC

Trustee & Vice President at Center Stage Associates, Inc. (Maryland)

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Owners & Shareholders
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JCM seeks to add value versus benchmarks by actively pursuing alpha generation through their own intensive fundamental research for their fundamental investment strategies. They look for companies possessing the firm’s key investment criteria through proprietary research that emphasizes contact with a company’s management team, competitors, suppliers and consumers, as well as in-depth and ongoing financial modeling. Holdings are generally selected one at a time with all other factors (industry, sector, country and cash allocations) being a residual of the investment process. JCM favors businesses that their research reveals have sustainable, above-average earnings growth potential and outstanding free cash flow generation, recurring revenue, profit margins and return on invested capital for their equity strategies. To build a mosaic of information in an effort to identify macro trends and inform allocations across fixed income sectors, the firm uses fundamental credit research.

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SCL uses a variety of investment strategies and has broad discretion in making investments for the Funds. The firm draws on numerous resources to generate ideas, including public financial statements, industry conferences, traditional Wall Street research and industry contacts, consultants and bankers. Research typically includes reviewing the prospectus of the company and conducting an analysis of a company’s reported earnings as well as financial statements and SEC filings. They develop and closely reviews internal valuations for potential investment targets, including revenues, margins, operating income, cash flow and earnings per share.

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SCA is a value-oriented investment adviser that focuses primarily on US corporate equity, but also invests in other securities and investments on behalf of the Funds. Their funds seek high absolute investment returns, while minimizing the risk of capital loss, by purchasing securities and other financial instruments with trading values substantially below their intrinsic value and selling short securities and other financial instruments with trading values substantially above their intrinsic value. The firm primarily constructs its portfolio from the bottom-up.

Recent Transactions
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LPL Financial Holdings, Inc., LPL Financial LLC purchase Blaze Portfolio Systems LLC

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LPL Financial Holdings, Inc., LPL Financial LLC purchase E. K. Riley Investments LLC

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LPL Financial Holdings, Inc. purchases Allen & Company of Florida, Inc. from Allen & Company Financial Corp.

Insider Transactions
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Transaction Advisors

Advised onLPL Financial Holdings, Inc. issued USD Common Stock


Advised onLPL Financial Holdings, Inc. issued USD Common Stock


Advised onLPL Financial Holdings, Inc. issued USD Common Stock


Advised onLPL Financial Holdings, Inc. issued USD Common Stock


Advised onLPL Financial Holdings, Inc. issued USD Common Stock


Advised onLPL Financial Holdings, Inc. issued USD Common Stock

Advisors & Consultants

Founder at Carson Group Holdings LLC

Legal Advisor

Chair at Ropes & Gray LLP

Legal Advisor

Co-Chair, Energy & Infrastructure Group at Ropes & Gray LLP


Century Bancorp, Inc. operates as the holding company for Century Bank and Trust Company, which provides banking services to commercial enterprises, state and local governments and agencies, nonprofit organizations, and individuals in Massachusetts. It accepts savings accounts, Now accounts, demand deposits, time deposits, and money market accounts. The company's loan portfolio comprises single and multi-family residential loans, commercial and industrial loans, commercial real estate loans, construction loans, Home equity loans, and consumer loans. It also offers automated lockbox collection, cash management, and account reconciliation services to its corporate and institutional customers, as well as promotes the marketing of these services to the municipal market. In addition, the company offers securities brokerage services; and financial services, including transaction processing and short-term financing to municipalities. As of September 30, 2011, Century Bancorp operated 24 banking offices in 17 cities and towns in Massachusetts. The company was founded in 1969 and is headquartered in Medford, Massachusetts

International Bancshares Corp. is a financial holding company, which provides banking services for commercial, consumer, and international customers of South, Central, and Southeast Texas and the State of Oklahoma. It engages in the business of banking, including the acceptance of checking and savings deposits and the making of commercial, real estate, personal, home improvement, automobile and other installment and term loans. It also offers other related services, such as credit cards, travelers' checks, safety deposit, collection, notary public, escrow, drive-up and walk-up facilities and other customary banking services. The company was founded in 1979 and is headquartered in Laredo, TX.

Heartland Financial USA, Inc. operates as a bank holding company. The firm provides commercial banking services. It also engages in the business of community banking. The company was founded in 1981 and is headquartered in Dubuque, IA.

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The Wanderlust Group, Inc. engages in the provision of a mobile application for reservations, dockage, and storage. It serves boaters and the marine industry. The company was founded by Matthew Fradette, Mike Melillo, Tyler Kneisel, and John Nagro in 2014 and is headquartered in Cambridge, MA.

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NumberFour AG develops and provides mobile applications for small businesses. It offers productivity, communication, sales, production, procurement, delivery, reservation and financial tools for offline and online businesses. The company was founded by Marco Boerries in 2009 and headquartered in Berlin, Germany.

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Aplifi, Inc. provided middleware software solutions and services. The company offers technology that focuses on the life insurance and financial services markets. Aplifi was founded in 1996 and was headquartered in Pompano Beach, FL.

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The Carlyle Group is a global, multi-product, markets-focused investment platform seeks investment opportunities in the US. They manage three groups of funds structured credit, hedge funds and carry & financing funds. Structured credit funds invest primarily in performing senior secured bank loans through structured vehicles and other investment products. Hedge fund strategies focus on long/short credit, commodities trading, emerging market equities and macroeconomic strategies. Carry & financing funds specialize in three strategies middle-market direct lending, energy credit and distressed & special situations.

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Founded in 1992, TPG specializes in recognizing value – or the potential for value – where others do not. Our contrarian philosophy, global reach, and deep investment and operational expertise set TPG apart from other firms. Our complementary asset classes offer a unique investment platform. TPG has an extensive global network and long-standing, on-the-ground presence in critical markets. TPG has built a strong international presence with 17 offices in 10 countries. We were one of the first U.S.-based private investment firms to establish significant operations in Asia and Europe, in 1994 and 1995 respectively.

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H&F focuses on private equity investments in software, financial services, internet & media, business & information services, healthcare, insurance, retail & consumer and energy & industrial sectors. The firm focuses on investments in companies with high quality, growing businesses in developed markets. The firm participates as both a controlling shareholder and as a significant minority investor.

American Assets Trust, Inc. Trusts & Funds | San Diego, CA

American Assets Trust, Inc. is a real estate investment trust. It owns, operates, acquires, and develops retail shopping centers; office properties; mixed-use properties; and multifamily properties. The company operates through the following business segments: Retail, Office, Multifamily, and Mixed-Use. The Retail segment includes rental of retail space. The Office segment includes rental of office space. The Multifamily segment includes rental of apartments. The Mixed-Use segment includes rental of retail space and other tenant services. American Assets Trust was founded on July 16, 2010 and is headquartered in San Diego, CA.

Griffin Capital Essential Asset REIT, Inc. Real Estate Investment Trusts | El Segundo, CA

Griffin Capital Essential Asset REIT, Inc. operates as a real estate investment trust. It owns and operates a geographically diversified portfolio of strategically-located, corporate office, and industrial properties that are primarily net-leased to single tenants that have determined to be creditworthy. The company was founded in 2009 and is headquartered in El Segundo, CA.

The Bancorp Inc. Accounting & Financial Services | Wilmington, DE

The Bancorp, Inc. (NASDAQ NM: TBBK) is a financial holding company with a wholly owned subsidiary, The Bancorp Bank. The Bancorp Bank is an FDIC-insured branchless commercial bank that delivers a full array of financial services and products both directly and through more than 300 private-label affinity partner programs nationwide. Our regional community bank division serves the needs of small and mid-size businesses and their principals in the Philadelphia-Wilmington region. When it was introduced in 2000, The Bancorp Bank’s ability to create customized banks for affinity partners set a new standard in financial services innovation. Today, Bancorp remains a leader as one of the few banks in the country dedicated to providing private-label banking and technology solutions for non-bank companies. Bancorp’s private-label program focuses on four main business segments – healthcare, merchant processing, prepaid and wealth management. The “branchless banking” programs enable members, employees and customers of affinity partners to access online banking services, customized for them, under the affinity partner’s brand. The Bancorp Bank is headquartered in Wilmington, Delaware, with offices in Philadelphia, PA; King of Prussia, PA; Chicago, IL; Crofton, MD; Minneapolis, MN; Orlando, FL; Sioux Falls, SD; Sofia, Bulgaria; Newcastle upon Tyne, UK and Gibraltar. Total assets of The Bancorp Bank, as of December 31, 2011, are $3.0 billion

Awards & Honors
Rank #568
Fortune Magazine - Fortune 1000 Companies
Sponsored by Fortune Magazine
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