Stocks/Funds/CIK 1403438

LPL Financial LLC

retail-distributedindex-like (500+ pos)long-term holder
Quarterly 13F filings · Latest period 2026-03-31 · CIK 1403438
Assets
$372.65B
+46.2% YoY
Holdings
5,708
Lifetime alpha vs market
-0.94% annual
Average hold time
5.6 yr
median 5.5 yr

Quarterly history

Cum return +238% vs S&P +272% · α -34% lifetimeAUM $372.7B · peak $372.7BFlow $20.6B (+6%)2016-062017-122019-062020-122022-062023-122025-062026-03
AUM ($B)fundS&P 500(gap = α)/ Flow in/out

Behavior signals (lifetime)

Dip response
+3.49%
adds when stocks drop
when a holding falls −10%+
Middle response
+2.02%
steady accumulation
Rally response
+5.19%
adds into rallies
when a holding rises +10%+

Top positions · 30

Ticker$ value% portYoYHold time
IVViShares Core S&P 500 ETF$7.57B2.0%10.5 yr
SPYState Street SPDR S&P 50$6.48B1.7%+17.6%10.5 yr
QQQInvesco QQQ Trust, Serie$6.09B1.6%8.0 yr
AAPLApple Inc.$6.01B1.6%+14.7%10.5 yr
NVDANVIDIA Corporation$5.84B1.6%+60.9%10.5 yr
SPLGSPDR Portfolio S&P 500 E$4.49B1.2%10.5 yr
IEFAiShares Core MSCI EAFE E$4.17B1.1%10.3 yr
SPYGState Street SPDR Portfo$3.90B1.0%10.5 yr
MSFTMicrosoft Corporation$3.83B1.0%-0.6%10.5 yr
VOOVanguard S&P 500 ETF$3.83B1.0%10.5 yr
IEMGiShares Core MSCI Emergi$3.64B1.0%10.3 yr
AMZNAmazon.com, Inc.$3.49B0.9%+9.5%10.5 yr
VTIVanguard Total Stock Mar$3.31B0.9%10.3 yr
GOVTiShares U.S. Treasury Bo$3.23B0.9%10.5 yr
QUALiShares MSCI USA Quality$3.10B0.8%10.5 yr

Portfolio composition (YoY)

Industry mix
Asset Management64.7%+0.4pp$240.98B
Asset Management - Bonds5.7%-0.5pp$21.31B
Semiconductors3.2%+0.9pp$11.93B
Asset Management - Income2.2%+0.3pp$8.06B
Internet Content & Information1.7%+0.3pp$6.34B
Consumer Electronics1.6%-0.2pp$6.05B
Software - Infrastructure1.6%-0.2pp$5.97B
Drug Manufacturers - General1.4%-0.0pp$5.16B
Specialty Retail1.1%-0.1pp$4.21B
Asset Management - Global1.0%+0.1pp$3.55B
Country
US97.7%-0.6pp
Unknown0.6%+0.4pp
CA0.4%+0.1pp
GB0.3%+0.0pp
IE0.2%-0.0pp
TW0.2%+0.1pp
CH0.1%-0.0pp
NL0.1%+0.0pp
Top 5: 8.6% · Top 10: 14.0% · Top 25: 25.4%

Winners

TickerPrev $PnLYoY %
NVDA$3.13B+1.91B60.9%
SPY$5.06B+0.88B17.6%
AAPL$4.53B+0.67B14.7%
AMZN$2.55B+0.24B9.5%
MSFT$3.15B-0.02B-0.6%

Losers

TickerPrev $PnLYoY %
MSFT$3.15B-0.02B-0.6%

Top buys this quarter · 15

AZN AstraZeneca PLCnew+$129M
MSFT Microsoft Corporation+$3.83B
AVGO Broadcom Inc.+$2.06B
WAT Waters Corporation+$67M
NVDA NVIDIA Corporation+$5.84B
AMZN Amazon.com, Inc.+$3.49B
AMT American Tower Corporation+$54M
CAT Caterpillar Inc.+$54M
TSLA Tesla, Inc.+$1.25B
RTX RTX Corporation+$47M

Top sells this quarter · 15

SPY State Street SPDR S&P 500 ETF $135M
BSX Boston Scientific Corporation$54M
COHR Coherent, Inc.$45M
HPE Hewlett Packard Enterprise Com$40M
GSK GSK plc$39M
TROW T. Rowe Price Group, Inc.$38M
LYB LyondellBasell Industries N.V.$46M
JNJ Johnson & Johnson$1.04B
XOM Exxon Mobil Corporation$881M
MCO Moody's Corporation$29M

Quarterly history (TTM returns)

PeriodAUM# PosReturn (1yr)SPY (1yr)Alpha (1yr)Flow
2026-03-31$372.65B5708+18.69%+17.59%+1.10%+20.59B
2025-12-31$362.71B5595+17.02%+17.72%-0.70%+17.36B
2025-09-30$339.63B5494+17.92%+17.52%+0.40%+17.90B
2025-06-30$296.80B5306+15.74%+14.94%+0.80%+14.04B
2025-03-31$254.89B5127+6.96%+8.30%-1.34%+21.42B
2024-12-31$243.95B5068+20.25%+24.89%-4.63%+15.92B
2024-09-30$222.55B5000+30.93%+36.04%-5.11%+10.57B
2024-06-30$199.23B4857+18.20%+24.49%-6.29%+9.71B
2024-03-31$184.86B4789+23.31%+29.62%-6.31%+8.72B
2023-12-31$163.71B4686+22.33%+26.18%-3.85%+5.68B
2023-09-30$141.65B4582+16.28%+21.57%-5.28%+8.33B
2023-06-30$138.79B4485+11.93%+19.42%-7.49%+2.58B
2023-03-31$127.35B4406-11.78%-7.82%-3.97%+3.81B
2022-12-31$115.75B4374-21.17%-18.17%-2.99%+6.83B
2022-09-30$102.70B4330-17.44%-15.51%-1.93%+6.29B
2022-06-30$104.28B4331-10.19%-10.62%+0.43%+7.04B