LPL Financial Holdings Inc. filings document the operating results, governance and capital structure of a publicly traded wealth management platform. Form 8-K reports include quarterly earnings releases with disclosures on net income, EPS, gross profit, expenses, client assets, advisory assets, organic net new assets, recruited assets, client cash balances, liquidity, leverage and dividends.
Proxy and material-event filings cover board composition, director independence, director compensation policies, executive-officer transitions, consulting agreements, stock-based compensation arrangements, shareholder voting matters and capital-structure disclosures for LPLA common stock listed on the Nasdaq Global Select Market.
LPL Financial Holdings Inc. reported governance changes and voting results from its 2026 annual stockholder meeting. The Board adopted Eighth Amended and Restated Bylaws effective May 14, 2026, updating procedures for meetings, director qualifications, stockholder nominations, and emergency operations under Delaware law.
Stockholders elected eleven directors for terms ending at the 2027 annual meeting, ratified Deloitte & Touche LLP as auditor, and approved named executive officer compensation on an advisory basis. They also approved amendments to the Charter to remove supermajority voting requirements, add officer exculpation to the fullest extent permitted by Delaware law, and delete the corporate opportunities provision.
LPL Financial Holdings Inc. received a Schedule 13G filing showing Dodge & Cox beneficially owns 4,146,547 shares of common stock, representing 5.2% of the class as of 03/31/2026. The filing reports sole voting power for 3,905,059 shares and states these holdings are held on behalf of Dodge & Cox clients. The form was signed on 05/14/2026.
LPL Financial Holdings Inc. received a Schedule 13G filing showing Dodge & Cox beneficially owns 4,146,547 shares of common stock, representing 5.2% of the class as of 03/31/2026. The filing reports sole voting power for 3,905,059 shares and states these holdings are held on behalf of Dodge & Cox clients. The form was signed on 05/14/2026.
LPL Financial Holdings Inc. director James S. Putnam reported a charitable gift of company shares. On May 7, 2026, he transferred 100 shares of Common Stock as a bona fide charitable gift, receiving no sale proceeds.
After this gift, Putnam directly owns 136,568.5 shares of LPL Financial Holdings common stock, indicating the transaction was very small relative to his remaining position.
LPL Financial Holdings Inc. reported strong first‑quarter 2026 results, with total revenue of $4.94 billion, up 35% from 2025. Net income was $356.4 million, or $4.43 per diluted share, compared with $318.6 million, or $4.24 a year earlier.
Advisory and brokerage assets reached $2.34 trillion at March 31 2026, up from $1.79 trillion a year prior, driven by growth and acquisitions including Commonwealth. Gross profit rose 25% to $1.59 billion, while adjusted EBITDA increased to $819.1 million. The company paid $24.1 million in dividends and kept its leverage ratio at 1.86, well below its 4.0 covenant maximum.
LPL Financial Holdings Inc. reported strong first-quarter 2026 results, with net income of $356 million and diluted EPS of $4.43, up from $318.6 million and $4.24 a year earlier. Total revenue grew to $4.94 billion, a 35% year-over-year increase, while adjusted EPS rose 9% to $5.60.
Gross profit increased 25% to $1.59 billion, and adjusted pre-tax income grew 20% to $613 million, showing improved profitability even as core G&A expenses rose 29% to $532 million. Total client assets reached $2.34 trillion, up 30% year-over-year, with advisory assets up 42% to $1.39 trillion and now representing 59.5% of client assets.
The company ended the quarter with $567 million of corporate cash and a leverage ratio of 1.86x, paid $24 million in dividends, and declared a $0.30 per-share dividend payable in June 2026. Management highlighted progress on the Commonwealth integration, an agreement to acquire Mariner Advisor Network with $31 billion of client assets, and approximately $62 million deployed into six Liquidity & Succession deals, while lowering the upper end of its 2026 Core G&A outlook range by $20 million.
LPL Financial Holdings Inc ownership disclosure: Vanguard Capital Management reported beneficial ownership of 4,300,570 shares of common stock, representing 5.36% of the class as of 03/31/2026. The filing states Vanguard has sole dispositive power over 4,300,570 shares and sole voting power over 703,602 shares.
The statement clarifies holdings include securities held for Vanguard funds and managed accounts and is signed by Ashley Grim on 04/30/2026.
LPL Financial Holdings Inc. President and CFO Matthew J. Audette reported open-market sales of 1,579 shares of common stock over two days. The trades on April 14–15, 2026 occurred at prices between $325.00 and $332.43 per share and were executed under a pre-arranged Rule 10b5-1 trading plan adopted on August 14, 2025.
After these transactions, Audette directly holds 19,803 shares of common stock. His equity position also includes 787 restricted stock units vesting on February 25, 2027, 3,965 restricted stock units vesting ratably in 2027 and 2028, and 6,624 restricted stock units vesting ratably in 2027, 2028 and 2029.
An insider of LPLA reported proposed sales of Common Stock via Form 144. The filing lists 1,110 shares tied to a Restricted Stock Vesting event dated 02/25/2026. The filing also records prior sales of 1,581 shares (sale dated 02/26/2026) and 469 shares (sale dated 04/14/2026), with proceeds shown alongside those transactions.
LPLA reporting person Matthew J. Audette reported a Rule 144 notice showing 1,581 shares of Common stock sold on 02/26/2026 for proceeds of $506,718.54. The filing also notes 469 shares vested as restricted stock on 02/25/2026.