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LPL Financial LLC

SEC CIK
0001403438
Latest filing
Aug 7, 2026

Holdings in Q2 2021

Holdings as of Jun 30, 2021, filed Aug 13, 2021. Long positions only; changes compare share counts with Q1 2021.

Institution overview
Positions
4,196
+151 vs. Q1 2021
Portfolio value
$98.8B
+$11.9B (+13.8%) vs. Q1 2021
Filed
Aug 13, 2021
SEC
Holdings of LPL Financial LLC in Q2 2021
SecurityClassSharesValue% of portfolioShare changeActionHistory
Vanguard Total Bond Market ETF921937835ETF29,190,246$2.51B2.5%+6,019,104+26.0%Added–
Invesco QQQ Trust Series I46090E103ETF6,296,121$2.23B2.3%+193,733+3.2%Added–
Vanguard Morningstar Total Stock Market ETF922908769ETF9,403,490$2.10B2.1%+179,293+1.9%Added–
iShares Core S&P 500 ETF464287200ETF4,777,122$2.05B2.1%+96,321+2.1%Added–
SPYSPDR S&P 500 ETF TrustETF4,638,186$1.99B2.0%+67,355+1.5%AddedHistory
AAPLApple Inc.Stock13,207,505$1.81B1.8%+321,257+2.5%AddedHistory
iShares Russell 2000 ETF464287655ETF6,596,432$1.51B1.5%+571,365+9.5%Added–
iShares Core S&P Mid-Cap ETF464287507ETF5,595,183$1.50B1.5%+108,910+2.0%Added–
iShares Core MSCI Eafe ETF46432F842ETF19,746,389$1.48B1.5%+4,924,646+33.2%Added–
iShares Core MSCI Emerging Markets ETF46434G103ETF21,578,876$1.45B1.5%+2,369,706+12.3%Added–
iShares Core S&P U.S. Growth ETF464287671ETF12,627,006$1.28B1.3%+261,824+2.1%Added–
Vanguard Intermediate-Term Corporate Bond ETF92206C870ETF12,832,958$1.22B1.2%+545,418+4.4%Added–
Vanguard S&P 500 ETF922908363ETF3,064,002$1.21B1.2%+120,353+4.1%Added–
iShares MSCI USA Quality Factor ETF46432F339ETF8,601,686$1.14B1.2%+315,487+3.8%Added–
MSFTMicrosoft CorpStock3,959,687$1.07B1.1%+251,470+6.8%AddedHistory
Vanguard Morningstar Growth ETF922908736ETF3,581,226$1.03B1.0%+86,139+2.5%Added–
AMZNAmazon Com IncStock290,295$998.7M1.0%+17,544+6.4%AddedHistory
Vanguard Morningstar Value ETF922908744ETF5,530,741$760.3M0.8%+254,160+4.8%Added–
iShares Tr46435G425ESG AWR MSCI USA7,627,148$751.0M0.8%+302,031+4.1%Added–
iShares Core S&P US Value ETF464287663ETF10,345,261$744.4M0.8%+721,534+7.5%Added–
iShares Core S&P Small Cap ETF464287804ETF6,244,702$705.5M0.7%+454,180+7.8%Added–
Vanguard Ftse Developed Markets ETF921943858ETF13,163,964$678.2M0.7%+607,208+4.8%Added–
Vanguard Dividend Appreciation ETF921908844ETF4,287,743$663.7M0.7%+10,148+0.2%Added–
First Tr Exchange-Traded FD33734H106SHS16,630,152$661.4M0.7%+1,001,451+6.4%Added–
Vanguard Morningstar Small-Cap ETF922908751ETF2,867,154$645.9M0.7%+338,720+13.4%Added–
iShares Russell 1000 Growth ETF464287614ETF2,370,775$643.6M0.7%+7,076+0.3%Added–
iShares Core U.S. Aggregate Bond ETF464287226ETF5,258,745$606.5M0.6%−586,908−10.0%Reduced–
iShares Tr46435U853BROAD USD HIGH12,995,888$542.2M0.5%+1,131,117+9.5%Added–
iShares MSCI USA Min Vol Factor ETF46429B697ETF7,234,432$532.5M0.5%−1,030,278−12.5%Reduced–
Goldman Sachs ETF Tr381430503ACTIVEBETA US LG6,078,378$522.9M0.5%−1,414,384−18.9%Reduced–
iShares U.S. Treasury Bond ETF46429B267ETF19,392,491$515.8M0.5%+834,160+4.5%Added–
iShares Tr46434V613CORE UNIVRSL USD9,627,847$515.0M0.5%+1,488,617+18.3%Added–
Vanguard Ftse Emerging Markets ETF922042858ETF9,350,201$507.8M0.5%+1,545,135+19.8%Added–
Vanguard Morningstar Mid-Cap ETF922908629ETF2,082,749$494.3M0.5%−146,289−6.6%Reduced–
ARK Innovation ETF00214Q104ETF3,754,324$491.0M0.5%+61,993+1.7%Added–
State Street Technology Select Sector SPDR ETF81369Y803ETF3,163,122$467.1M0.5%+84,220+2.7%Added–
iShares Tr464288281JPMORGAN USD EMG4,117,184$463.0M0.5%+222,704+5.7%Added–
First Tr Exchange-Traded FD33733E104CAP STRENGTH ETF6,121,700$462.5M0.5%+190,844+3.2%Added–
Vanguard Information Technology ETF92204A702ETF1,133,493$452.0M0.5%+3,162+0.3%Added–
iShares Tr464288877EAFE VALUE ETF8,698,257$450.2M0.5%+1,894,603+27.8%Added–
iShares Tr464288646ISHS 1-5YR INVS8,099,854$444.0M0.4%+344,088+4.4%Added–
Vanguard Short-Term Bond ETF921937827ETF5,345,617$439.2M0.4%+261,101+5.1%Added–
METAMeta Platforms, Inc.Stock1,236,872$430.1M0.4%+66,208+5.7%AddedHistory
iShares Tr464287622RUS 1000 ETF1,734,364$419.9M0.4%+1,285,673+286.5%Added–
State Street SPDR Portfolio S&P 500 Growth ETF78464A409ETF6,610,401$416.3M0.4%+605,613+10.1%Added–
State Street Financial Select Sector SPDR ETF81369Y605ETF10,919,371$400.6M0.4%+1,812,900+19.9%Added–
GOOGLAlphabet Inc.Stock154,365$376.9M0.4%+11,860+8.3%AddedHistory
iShares Tr464288588MBS ETF3,433,731$371.6M0.4%−36,659−1.1%Reduced–
Vanguard High Dividend Yield Index ETF921946406ETF3,462,581$362.8M0.4%+252,618+7.9%Added–
iShares S&P 500 Growth ETF464287309ETF4,975,937$361.9M0.4%−17,124−0.3%Reduced–
NVDANVIDIA CorpStock452,300$361.9M0.4%+33,208+7.9%AddedHistory
State Street Industrial Select Sector SPDR ETF81369Y704ETF3,517,861$360.2M0.4%+405,485+13.0%Added–
Dimensional U.S. Core Equity 2 ETF25434V708ETF13,232,262$357.0M0.4%+13,232,262New–
VVisa Inc.Stock1,476,352$345.2M0.3%+82,022+5.9%AddedHistory
State Street SPDR Portfolio S&P 400 Mid Cap ETF78464A847ETF7,176,413$338.8M0.3%+1,263,869+21.4%Added–
DIASPDR Dow Jones Industrial Average ETF TrustUT SER 1975,828$336.6M0.3%+68,932+7.6%AddedHistory
BRK.BBerkshire Hathaway IncStock1,206,052$335.2M0.3%+17,182+1.4%AddedHistory
JNJJohnson & JohnsonStock1,995,566$328.8M0.3%+179,561+9.9%AddedHistory
iShares Tr46432F388MSCI USA VALUE3,074,944$323.1M0.3%+382,910+14.2%Added–
GOOGAlphabet Inc.Stock128,503$322.1M0.3%+7,165+5.9%AddedHistory
GLDSPDR Gold TrustETF1,939,859$321.3M0.3%−79,340−3.9%ReducedHistory
iShares Core Dividend Growth ETF46434V621ETF6,376,657$321.1M0.3%+489,865+8.3%Added–
State Street SPDR Portfolio S&P 500 Value ETF78464A508ETF8,102,882$320.4M0.3%+1,113,025+15.9%Added–
First Trust Rising Dividend Achievers ETF33738R506ETF6,595,284$316.8M0.3%+1,857,413+39.2%Added–
iShares Tr464288885EAFE GRWTH ETF2,920,534$313.3M0.3%+116,243+4.1%Added–
State Street SPDR Portfolio S&P 500 ETF78464A854ETF6,071,155$305.6M0.3%+617,308+11.3%Added–
State Street Health Care Select Sector SPDR ETF81369Y209ETF2,422,314$305.1M0.3%−247,518−9.3%Reduced–
Vanguard Total International Bond ETF92203J407ETF5,288,879$302.0M0.3%+160,474+3.1%Added–
iShares Inc46434G863ESG AWR MSCI EM6,653,616$300.4M0.3%+429,280+6.9%Added–
JPMJPMorgan Chase & CoStock1,850,287$287.8M0.3%+144,938+8.5%AddedHistory
TSLATesla, Inc.Stock411,174$279.5M0.3%+10,454+2.6%AddedHistory
iShares Russell 1000 Value ETF464287598ETF1,721,564$273.1M0.3%+41,303+2.5%Added–
iShares MSCI USA Momentum Factor ETF46432F396ETF1,566,580$271.7M0.3%−124,368−7.4%Reduced–
iShares Tr464287150CORE S&P TTL STK2,750,459$271.6M0.3%+160,101+6.2%Added–
SPDR Series Trust78464A805ST STR PR SP15005,093,956$269.8M0.3%+376,890+8.0%Added–
Schwab US Dividend Equity ETF808524797ETF3,567,557$269.8M0.3%+636,517+21.7%Added–
WisdomTree Tr97717X578EM EX ST-OWNED6,399,724$269.2M0.3%+1,732,230+37.1%Added–
First Tr Exchng Traded FD VI33740F805SMITH OPPORT FXD5,009,683$268.7M0.3%−467,510−8.5%Reduced–
HDHome Depot, Inc.Stock826,372$263.5M0.3%+31,815+4.0%AddedHistory
Vanguard Intermediate-Term Bond ETF921937819ETF2,835,789$255.1M0.3%+200,614+7.6%Added–
First Tr Exchange-Traded FD33739Q200FST LOW OPPT EFT4,926,817$250.8M0.3%+101,778+2.1%Added–
DISWalt Disney CoStock1,423,338$250.2M0.3%+48,578+3.5%AddedHistory
State Street SPDR Portfolio S&P 600 Small Cap ETF78468R853ETF5,627,480$247.3M0.3%+724,463+14.8%Added–
Invesco Exchange Traded FD T46137V357S&P500 EQL WGT1,610,047$242.7M0.2%+321,501+25.0%Added–
Ssga Active ETF Tr78467V848ST STR TOTAL ETF4,945,535$239.4M0.2%−218,533−4.2%Reduced–
iShares S&P 500 Value ETF464287408ETF1,618,015$238.9M0.2%+42,656+2.7%Added–
SPDR Series Trust78464A763ST STR SP DIV1,891,286$231.3M0.2%+116,430+6.6%Added–
First Trust Dow Jones Internet Index Fund33733E302ETF939,364$230.0M0.2%+107,735+13.0%Added–
iShares MSCI Eafe ETF464287465ETF2,875,730$226.8M0.2%+152,211+5.6%Added–
State Street SPDR Portfolio Intermediate Term Corporate Bond ETF78464A375ETF6,107,845$224.2M0.2%+365,716+6.4%Added–
PGProcter & Gamble CoStock1,654,980$223.3M0.2%+111,431+7.2%AddedHistory
State Street Energy Select Sector SPDR ETF81369Y506ETF4,135,401$222.8M0.2%+471,832+12.9%Added–
Vanguard Scottsdale FDS92206C409SHRT TRM CORP BD2,689,220$222.4M0.2%+260,407+10.7%Added–
iShares Tips Bond ETF464287176ETF1,725,957$220.9M0.2%+171,870+11.1%Added–
iShares Tr4642874571 3 YR TREAS BD2,515,795$216.8M0.2%−383,682−13.2%Reduced–
iShares Iboxx $ Investment Grade Corporate Bond ETF464287242ETF1,529,345$205.5M0.2%−1,107,712−42.0%Reduced–
VZVerizon Communications IncStock3,626,945$203.2M0.2%+162,313+4.7%AddedHistory
iShares Tr464288687PFD AND INCM SEC5,122,483$201.5M0.2%+53,078+1.0%Added–
PYPLPayPal Holdings, Inc.Stock690,334$201.2M0.2%+66,284+10.6%AddedHistory
MAMastercard IncStock549,504$200.6M0.2%+43,695+8.6%AddedHistory

Options (20)

Puts and calls in the same filing. Amounts are the market value of the underlying shares, which is what 13F reports.

Option positions of LPL Financial LLC in Q2 2021
SecurityClassPutsCalls
SPYSPDR S&P 500 ETF TrustETF$49.4M–
iShares Russell 2000 ETF464287655ETF$18.3M–
Invesco QQQ Trust Series I46090E103ETF$11.2M–
DIASPDR Dow Jones Industrial Average ETF TrustUT SER 1$2.76M–
AAPLApple Inc.Stock$2.51M–
State Street Financial Select Sector SPDR ETF81369Y605ETF$1.50M–
METAMeta Platforms, Inc.Stock$869.0K$209.0K
LYFTLyft, Inc.CL A COM–$968.0K
GOOGLAlphabet Inc.Stock$733.0K–
MSFTMicrosoft CorpStock$325.0K$271.0K
UBERUber Technologies, IncStock–$551.0K
LOWLowes Companies IncStock$466.0K–
CZRCaesars Entertainment, Inc.COM–$311.0K
MGMMGM Resorts InternationalStock–$277.0K
MUMicron Technology IncStock$272.0K–
BUDAnheuser-Busch InBev SA/NVADR$252.0K–
BABoeing CoStock$240.0K–
HOMEAt Home Group Inc.COM–$239.0K
VVisa Inc.Stock$234.0K–
NCLHNorwegian Cruise Line Holdings Ltd.SHS–$224.0K

Sold out since Q1 2021 (171)

Positions held at the end of Q1 2021 that are gone from this filing.

The largest 100 of 171 by value last quarter.

Positions of LPL Financial LLC sold out since Q1 2021
SecurityClassShares in Q1 2021Value in Q1 2021% of portfolio in Q1 2021History
FS KKR Cap Corp II35952V303COM1,581,996$30.9M<0.1%–
J P Morgan Exchange-Traded F46641Q712BETBULD JAPAN427,597$12.2M<0.1%–
WINAWinmark CorpCOM16,784$3.13M<0.1%History
J P Morgan Exchange-Traded F46641Q613US AGGREGATE91,912$2.47M<0.1%–
GW Pharmaceuticals PLC36197T103ADS10,539$2.29M<0.1%–
Aphria Inc03765K104COM109,838$2.02M<0.1%–
BPMCBlueprint Medicines CorpCOM18,809$1.83M<0.1%History
CORNTeucrium Commodity TrustCORN FD SHS104,309$1.83M<0.1%History
Colony CR Real Estate Inc19625T101COM CL A205,439$1.75M<0.1%–
ZTOZTO Express (Cayman) Inc.SPONSORED ADS A54,123$1.58M<0.1%History
IBRXImmunityBio, Inc.COM64,205$1.52M<0.1%History
Tuscan Hldgs Corp II90070A103COM139,640$1.41M<0.1%–
SCVX CorpG79448208COM142,090$1.40M<0.1%–
J P Morgan Exchange-Traded F46641Q720BETBULD EUROPE50,013$1.37M<0.1%–
J P Morgan Exchange-Traded F46641Q696BETABULDRS CDA42,737$1.26M<0.1%–
Cantel Med Corp138098108COM15,517$1.24M<0.1%–
Experience Invt Corp30217C109COM CL A119,669$1.23M<0.1%–
Citic Capital Acquisition CoG21513109COM CL A114,840$1.15M<0.1%–
Trebia Acquisition CorpG9027T109COM CL A111,100$1.11M<0.1%–
LGL Sys Acquisition Corp50201G106COM CL A107,690$1.07M<0.1%–
Varian Med Sys Inc92220P105COM6,058$1.07M<0.1%–
Global X FDS37950E101FTSE NORDIC REG36,730$1.04M<0.1%–
Replay Acquisition CorpG75130107COM107,800$1.03M<0.1%–
Inphi Corp45772F107COM5,706$1.02M<0.1%–
IAC Interactivecorp New44891N109COM4,651$1.01M<0.1%–
Legato Merger Corp.52473X106COM103,250$999.0K<0.1%–
JOUTJohnson Outdoors IncCL A6,641$948.0K<0.1%History
FOCLEdap TMS SASPONSORED ADR107,013$899.0K<0.1%History
Spartacus Acquisition Corp84677L109CL A90,650$893.0K<0.1%–
KRAKraton CorpCOM22,681$830.0K<0.1%History
MBWMMercantile Bank CorpCOM25,369$824.0K<0.1%History
EARNEllington Credit CoCOM SHS BEN INT64,552$795.0K<0.1%History
Barclays Bank PLC06746P555ETN LKD 4813,163$792.0K<0.1%–
Radius Health, Inc.750469207COM NEW37,583$784.0K<0.1%–
Colony Cap Inc New19626G108CL A COM118,274$766.0K<0.1%–
Absolute Shs Tr00400R502WBI BBR RNG 300025,962$762.0K<0.1%–
IFNAberdeen India Fund, Inc.COM34,509$740.0K<0.1%History
TTECTTEC Holdings, Inc.COM7,328$736.0K<0.1%History
TCF Finl Corp872307103COM15,654$727.0K<0.1%–
Flir Sys Inc302445101COM12,304$695.0K<0.1%–
Bespoke Cap Acquisition Corp086344108CL A REST VTG68,370$681.0K<0.1%–
Social Capital Hedosopha HLDG8252P105SHS CL A39,357$675.0K<0.1%–
Absolute Shs Tr00400R833WBI BULBEAR TR39,234$672.0K<0.1%–
Acies Acquisition CorpG0103T105CL A67,423$670.0K<0.1%–
MATVMativ Holdings, Inc.COM12,700$622.0K<0.1%History
ProShares Tr74347R396PSHS SH MSCI EMR49,608$609.0K<0.1%–
Agf Invts Tr00110G408US MARKET NETRL34,641$593.0K<0.1%–
CLVRClever Leaves Holdings Inc.COM56,674$583.0K<0.1%History
CTRNCiti Trends IncCOM6,539$548.0K<0.1%History
LPLLG Display Co., Ltd.SPONS ADR REP53,798$537.0K<0.1%History
PLYAPlaya Hotels & Resorts N.V.SHS72,082$526.0K<0.1%History
BEKEKE Holdings Inc.SPONSORED ADS9,172$523.0K<0.1%History
BCVBancroft Fund LtdCOM17,237$508.0K<0.1%History
USA Technologies Inc90328S500COM42,055$493.0K<0.1%–
Extended Stay Amer Inc30224P200UNIT 99/99/9999B24,741$489.0K<0.1%–
Sapiens Intl Corp N VG7T16G103SHS15,125$481.0K<0.1%–
IPIIntrepid Potash, Inc.COM14,699$479.0K<0.1%History
Aegion Corp00770F104COM15,689$451.0K<0.1%–
GCVGabelli Convertible & Income Securities Fund IncCOM72,443$441.0K<0.1%History
J P Morgan Exchange-Traded F46641Q688BETABULDR DEVE15,532$441.0K<0.1%–
WisdomTree Tr97717W182CHINESE YUAN FD15,921$431.0K<0.1%–
Realpage Inc75606N109COM4,782$417.0K<0.1%–
Sailpoint Technologies Holdings, Inc.78781P105COM8,206$416.0K<0.1%–
SLGNSilgan Holdings IncCOM9,626$405.0K<0.1%History
Northern Genesis Acquisition66516T104COMMON STOCK24,584$401.0K<0.1%–
PBProsperity Bancshares IncCOM5,304$397.0K<0.1%History
INFUInfuSystem Holdings, IncCOM19,481$397.0K<0.1%History
FWRDForward Air CorpCOM4,406$391.0K<0.1%History
UBXUnity Biotechnology, Inc.COM64,561$387.0K<0.1%History
WNS Hldgs Ltd92932M101SPON ADR5,331$386.0K<0.1%–
Nesco Hldgs Inc64083J104COM40,463$378.0K<0.1%–
Churchill Capital Corp V17144T107COM CL A37,200$368.0K<0.1%–
AIZAssurant, Inc.Stock2,545$361.0K<0.1%History
MIXTMiX Telematics LtdSPONSORED ADR26,050$359.0K<0.1%History
TALTAL Education GroupSPONSORED ADS6,641$358.0K<0.1%History
Innovator ETFs Tr45782C201IBD ETF LEADERS13,312$356.0K<0.1%–
BlackRock Munienhanced FD IN09253Y100COM29,503$349.0K<0.1%–
AVNWAviat Networks, Inc.COM NEW4,866$346.0K<0.1%History
Waddell & Reed Finl Inc930059100CL A13,570$340.0K<0.1%–
CCIFCarlyle Credit Income FundSHS BEN INT32,873$339.0K<0.1%History
FWONALiberty Media CorpCOM SER A FRMLA8,846$338.0K<0.1%History
Innovator ETFs Trust45782C318US EQTY PWR BUF11,503$331.0K<0.1%–
VG Acquisition CorpG9446E105SHS CL A32,496$330.0K<0.1%–
HUYAHUYA Inc.ADS REP SHS A16,885$329.0K<0.1%History
Deerfield Healthcare Tech Ac244413100COM CL A27,156$329.0K<0.1%–
SAIASaia IncCOM1,356$313.0K<0.1%History
SUNWSunworks, Inc.COM NEW21,292$313.0K<0.1%History
CTACKing LLC Merger Sub, LLCSHS CL A30,950$306.0K<0.1%History
Grubhub Inc400110102COM5,088$305.0K<0.1%–
GRFSGrifols SASP ADR REP B NVT17,045$295.0K<0.1%History
BLFSBiolife Solutions IncCOM NEW8,067$290.0K<0.1%History
DYFNAngel Oak Dynamic Financial Strategies Income Term TrustCOM BEN INT15,300$288.0K<0.1%History
VIRVir Biotechnology, Inc.COM5,598$287.0K<0.1%History
IHRTiHeartMedia, Inc.COM CL A15,658$284.0K<0.1%History
ATRIAtrion CorpCOM425$273.0K<0.1%History
BTAIQBioXcel Therapeutics, Inc.COM6,240$269.0K<0.1%History
SMCISuper Micro Computer, Inc.COM6,895$269.0K<0.1%History
RCKYRocky Brands, Inc.COM4,950$268.0K<0.1%History
DSPViant Technology Inc.COM CL A5,038$266.0K<0.1%History
VERXVertex, Inc.Stock11,965$263.0K<0.1%History