LPL Financial Holdings (LPLA)
LPL Financial Holdings on one page: short interest, daily short volume, fails to deliver, planned sales, large holders, 13F holders, financials, earnings dates and insider trades. Listed on Nasdaq, classified by the SEC as security & commodity brokers, dealers, exchanges & services.
2.2M
Short interest
settlement 2026-10-15
2.8
Days to cover
+0.7 days vs prior
55.2%
Short share of volume
2026-11-03
14,741
Fails to deliver
settlement 2026-10-14
Thu 28 Jan
Next earnings
estimated date
-$1.7M
Insider flow, 90 days
0 buys, 3 sells
As of 2026-11-03.
Short interest
FINRA, twice a month. The newest 48 settlements in the table, 48 in the chart. JSONAs of 15 October 2026, short interest in LPLA is 2,181,600 shares, up 412,682 shares over the last month. Over the last 48 readings it ranged from 655,487 shares (31 January 2025) to 4,852,571 shares (15 July 2026). At the reported average volume of 788K shares a day that is 2.8 days to cover.
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| Settlement | Shares short | Change | Avg daily volume | Days to cover |
|---|---|---|---|---|
| 2026-10-15 | 2,181,600 | +10.5% | 787,505 | 2.77 |
| 2026-09-30 | 1,974,698 | +11.6% | 968,140 | 2.04 |
| 2026-09-15 | 1,768,918 | -7.3% | 594,529 | 2.98 |
| 2026-08-31 | 1,907,768 | -22.5% | 498,385 | 3.83 |
| 2026-08-14 | 2,461,913 | -14.9% | 664,912 | 3.70 |
| 2026-07-31 | 2,894,304 | -40.4% | 720,682 | 4.02 |
| 2026-07-15 | 4,852,571 | +12.4% | 699,073 | 6.94 |
| 2026-06-30 | 4,315,354 | +14.8% | 1,335,892 | 3.23 |
| 2026-06-15 | 3,759,671 | +26.6% | 1,005,163 | 3.74 |
| 2026-05-29 | 2,968,536 | -5.8% | 1,309,599 | 2.27 |
| 2026-05-15 | 3,151,158 | -3.2% | 908,211 | 3.47 |
| 2026-04-30 | 3,254,991 | +3.5% | 732,420 | 4.44 |
| 2026-04-15 | 3,146,002 | -15.9% | 761,530 | 4.13 |
| 2026-03-31 | 3,742,502 | +14.5% | 1,051,334 | 3.56 |
| 2026-03-13 | 3,268,769 | +10.6% | 933,327 | 3.50 |
| 2026-02-27 | 2,954,641 | +2.9% | 1,067,099 | 2.77 |
| 2026-02-13 | 2,872,386 | +2.5% | 1,483,131 | 1.94 |
| 2026-01-30 | 2,803,080 | +1.6% | 679,768 | 4.12 |
| 2026-01-15 | 2,758,540 | +1.0% | 549,769 | 5.02 |
| 2025-12-31 | 2,730,564 | +10.6% | 693,873 | 3.94 |
| 2025-12-15 | 2,468,759 | +7.5% | 636,798 | 3.88 |
| 2025-11-28 | 2,297,412 | -18.6% | 564,705 | 4.07 |
| 2025-11-14 | 2,822,503 | +17.4% | 645,299 | 4.37 |
| 2025-10-31 | 2,404,079 | +11.5% | 1,097,972 | 2.19 |
| 2025-10-15 | 2,156,366 | -2.1% | 909,242 | 2.37 |
| 2025-09-30 | 2,202,674 | +0.8% | 920,929 | 2.39 |
| 2025-09-15 | 2,184,238 | -7.9% | 1,030,423 | 2.12 |
| 2025-08-29 | 2,371,300 | -16.1% | 604,207 | 3.92 |
| 2025-08-15 | 2,827,850 | +31.2% | 952,381 | 2.97 |
| 2025-07-31 | 2,155,548 | +22.7% | 840,576 | 2.56 |
| 2025-07-15 | 1,756,775 | +1.9% | 716,408 | 2.45 |
| 2025-06-30 | 1,724,501 | +7.8% | 754,827 | 2.28 |
| 2025-06-13 | 1,600,011 | -18.8% | 456,941 | 3.50 |
| 2025-05-30 | 1,969,512 | +22.7% | 577,541 | 3.41 |
| 2025-05-15 | 1,605,088 | -8.8% | 723,622 | 2.22 |
| 2025-04-30 | 1,760,219 | -6.1% | 588,032 | 2.99 |
| 2025-04-15 | 1,874,678 | +12.2% | 1,782,712 | 1.05 |
| 2025-03-31 | 1,671,194 | +52.8% | 738,025 | 2.26 |
| 2025-03-14 | 1,093,793 | -9.0% | 1,108,219 | 1.00 |
| 2025-02-28 | 1,202,419 | +58.7% | 959,224 | 1.25 |
| 2025-02-14 | 757,548 | +15.6% | 676,262 | 1.12 |
| 2025-01-31 | 655,487 | -17.2% | 633,693 | 1.03 |
| 2025-01-15 | 791,412 | +0.4% | 519,143 | 1.52 |
| 2024-12-31 | 788,228 | -8.0% | 419,077 | 1.88 |
| 2024-12-13 | 857,171 | +14.3% | 401,728 | 2.13 |
| 2024-11-29 | 749,899 | -30.7% | 494,373 | 1.52 |
| 2024-11-15 | 1,082,193 | +19.3% | 835,777 | 1.29 |
| 2024-10-31 | 907,276 | -19.9% | 802,817 | 1.13 |
Daily short volume
FINRA Reg SHO, the last 30 sessions. JSONAs of 3 November 2026, the short share of LPLA volume is 55.2%, up 1.4 points over the last five sessions. Over the last 30 readings it ranged from 29.3% (15 October 2026) to 68.4% (12 October 2026). The latest reading is 6.8 points above the 30-session average of 48.4%, on 448K shares reported.
| Date | Short volume | Total volume | Short share | Exempt |
|---|---|---|---|---|
| 2026-11-03 | 247K | 448K | 55.2% | 117 |
| 2026-11-02 | 392K | 631K | 62.2% | 1,062 |
| 2026-10-30 | 373K | 881K | 42.3% | 33 |
| 2026-10-29 | 395K | 1.1M | 36.4% | 10,136 |
| 2026-10-28 | 1.5M | 2.4M | 61.4% | 21,359 |
| 2026-10-27 | 164K | 304K | 53.8% | 0 |
| 2026-10-26 | 149K | 259K | 57.7% | 17 |
| 2026-10-23 | 82K | 170K | 47.9% | 256 |
| 2026-10-22 | 93K | 301K | 30.9% | 0 |
| 2026-10-21 | 79K | 249K | 31.6% | 139 |
| 2026-10-20 | 83K | 176K | 47.2% | 4 |
| 2026-10-19 | 104K | 240K | 43.5% | 247 |
| 2026-10-16 | 128K | 282K | 45.3% | 0 |
| 2026-10-15 | 112K | 383K | 29.3% | 179 |
| 2026-10-14 | 95K | 212K | 45.0% | 466 |
| 2026-10-13 | 91K | 224K | 40.7% | 299 |
| 2026-10-12 | 84K | 123K | 68.4% | 365 |
| 2026-10-09 | 132K | 194K | 68.1% | 114 |
| 2026-10-08 | 222K | 335K | 66.3% | 0 |
| 2026-10-07 | 133K | 328K | 40.4% | 0 |
| 2026-10-06 | 128K | 260K | 49.0% | 0 |
| 2026-10-05 | 255K | 469K | 54.3% | 657 |
| 2026-10-02 | 208K | 405K | 51.4% | 0 |
| 2026-10-01 | 201K | 348K | 57.8% | 17 |
| 2026-09-30 | 104K | 287K | 36.2% | 152 |
| 2026-09-29 | 224K | 589K | 38.0% | 21 |
| 2026-09-28 | 183K | 365K | 50.1% | 18 |
| 2026-09-25 | 284K | 548K | 51.7% | 624 |
| 2026-09-24 | 220K | 362K | 60.7% | 178 |
| 2026-09-23 | 151K | 505K | 30.0% | 1,988 |
Fails to deliver
SEC, the last 30 settlement dates with a fail. JSONAs of 14 October 2026, the fails-to-deliver balance in LPLA is 14,741 shares, up 4,842 shares over the last settlement date. Over the last 30 readings it ranged from 1 share (6 August 2026) to 192,997 shares (8 June 2026). The latest reading sits at the bottom of that range.
| Settlement | Shares failed | Price | Value |
|---|---|---|---|
| 2026-10-14 | 14,741 | $325.63 | $4.8M |
| 2026-10-13 | 9,899 | $330.12 | $3.3M |
| 2026-10-09 | 6 | $328.00 | $2K |
| 2026-09-18 | 2 | $329.94 | $660 |
| 2026-09-17 | 45 | $333.04 | $15K |
| 2026-09-08 | 1 | $359.33 | $359 |
| 2026-09-03 | 57 | $355.10 | $20K |
| 2026-09-02 | 33 | $357.63 | $12K |
| 2026-08-27 | 29 | $360.25 | $10K |
| 2026-08-06 | 1 | $359.92 | $360 |
| 2026-08-03 | 8 | $353.70 | $3K |
| 2026-07-24 | 31 | $323.32 | $10K |
| 2026-07-20 | 1,000 | $324.90 | $325K |
| 2026-07-14 | 3 | $321.06 | $963 |
| 2026-07-07 | 6,027 | $304.75 | $1.8M |
| 2026-07-06 | 6,027 | $295.18 | $1.8M |
| 2026-07-01 | 3,482 | $281.68 | $981K |
| 2026-06-23 | 850 | $297.62 | $253K |
| 2026-06-12 | 5,296 | $285.44 | $1.5M |
| 2026-06-10 | 17 | $288.28 | $5K |
| 2026-06-08 | 192,997 | $288.49 | $55.7M |
| 2026-05-21 | 220 | $283.83 | $62K |
| 2026-05-18 | 313 | $299.73 | $94K |
| 2026-05-07 | 101 | $324.73 | $33K |
| 2026-05-06 | 15 | $327.58 | $5K |
| 2026-05-05 | 9 | $320.85 | $3K |
| 2026-05-04 | 1,101 | $318.63 | $351K |
| 2026-05-01 | 47,418 | $334.13 | $15.8M |
| 2026-04-21 | 5,684 | $323.46 | $1.8M |
| 2026-04-20 | 733 | $317.41 | $233K |
Insider trades
SEC Form 4, newest first. JSONInsiders at LPLA reported 3 open-market sells worth $1.7M in the last 90 days and no open-market buys. Latest filing: Reeping Katharine (Principal Accounting Officer) on 2026-09-11.
| Date | Insider | Title | Type | Shares | Price | Value | Owned after |
|---|---|---|---|---|---|---|---|
| 2026-09-11 | Reeping Katharine | Principal Accounting Officer | Sell | 440 | $347.88 | $153K | 2K |
| 2026-09-05 | Field Emily | Group Managing Director | Tax withholding | 106 | $359.33 | $38K | 2K |
| 2026-08-28 | Thomas Corey E. | Director | Grant | 4 | $0.00 | $0 | 15K |
| 2026-08-28 | SCHIFTER RICHARD P | Director | Grant | 14 | $0.00 | $0 | 39K |
| 2026-08-28 | Putnam James S | Director | Grant | 7 | $0.00 | $0 | 135K |
| 2026-08-28 | Mnookin Allison | Director | Grant | 2 | $0.00 | $0 | 12K |
| 2026-08-28 | Glavin William Francis Jr | Director | Grant | 10 | $0.00 | $0 | 24K |
| 2026-08-28 | EBERHART PAULETT | Director | Grant | 4 | $0.00 | $0 | 18K |
| 2026-08-28 | BERNARD EDWARD C | Director | Grant | 3 | $0.00 | $0 | 16K |
| 2026-08-27 | Jambusaria Aneri | Group Managing Director | Sell | 308 | $357.36 | $110K | 6K |
| 2026-08-20 | Gates Greg | Group Managing Director | Sell | 4K | $355.38 | $1.5M | 24K |
| 2026-08-20 | Gates Greg | Group Managing Director | Exercise or conversion | 7K | $77.53 | $557K | 28K |
| 2026-08-03 | Putnam James S | Director | Gift | 2K | $0.00 | $0 | 135K |
| 2026-07-31 | Enyedi Matthew | Group Managing Director | Sell | 1 | $355.51 | $356 | 13K |
| 2026-07-31 | Enyedi Matthew | Group Managing Director | Sell | 51 | $354.52 | $18K | 13K |
| 2026-07-31 | Enyedi Matthew | Group Managing Director | Sell | 296 | $353.37 | $105K | 13K |
| 2026-07-31 | Enyedi Matthew | Group Managing Director | Sell | 463 | $352.77 | $163K | 13K |
| 2026-07-31 | Enyedi Matthew | Group Managing Director | Sell | 189 | $351.06 | $66K | 14K |
| 2026-06-17 | Jambusaria Aneri | Group Managing Director | Sell | 308 | $306.00 | $94K | 6K |
| 2026-06-12 | Cohen Marc Eliot | Group Managing Director | Tax withholding | 44 | $295.66 | $13K | 4K |
| 2026-06-12 | Gates Greg | Group Managing Director | Tax withholding | 232 | $295.66 | $69K | 21K |
| 2026-06-04 | Thomas Corey E. | Director | Grant | 7 | $0.00 | $0 | 15K |
| 2026-06-04 | SCHIFTER RICHARD P | Director | Grant | 19 | $0.00 | $0 | 39K |
| 2026-06-04 | Putnam James S | Director | Grant | 10 | $0.00 | $0 | 137K |
| 2026-06-04 | Mnookin Allison | Director | Grant | 3 | $0.00 | $0 | 12K |
| 2026-06-04 | Glavin William Francis Jr | Director | Grant | 15 | $0.00 | $0 | 24K |
| 2026-06-04 | EBERHART PAULETT | Director | Grant | 5 | $0.00 | $0 | 18K |
| 2026-06-04 | BERNARD EDWARD C | Director | Grant | 4 | $0.00 | $0 | 16K |
| 2026-05-15 | Thomas Corey E. | Director | Grant | 348 | $0.00 | $0 | 15K |
| 2026-05-15 | Thomas Corey E. | Director | Grant | 712 | $0.00 | $0 | 15K |
| 2026-05-15 | SCHIFTER RICHARD P | Director | Grant | 348 | $0.00 | $0 | 39K |
| 2026-05-15 | SCHIFTER RICHARD P | Director | Grant | 712 | $0.00 | $0 | 39K |
| 2026-05-15 | Putnam James S | Director | Grant | 712 | $0.00 | $0 | 137K |
| 2026-05-15 | MULCAHY ANNE M | Director | Grant | 348 | $0.00 | $0 | 37K |
| 2026-05-15 | MULCAHY ANNE M | Director | Grant | 712 | $0.00 | $0 | 37K |
| 2026-05-15 | Mnookin Allison | Director | Grant | 712 | $0.00 | $0 | 12K |
| 2026-05-15 | Ko Albert J | Director | Grant | 712 | $0.00 | $0 | 3K |
| 2026-05-15 | Khanna Somesh | Director | Grant | 712 | $0.00 | $0 | 851 |
| 2026-05-15 | Glavin William Francis Jr | Director | Grant | 712 | $0.00 | $0 | 24K |
| 2026-05-15 | EBERHART PAULETT | Director | Grant | 712 | $0.00 | $0 | 18K |
| 2026-05-15 | BERNARD EDWARD C | Director | Grant | 348 | $0.00 | $0 | 16K |
| 2026-05-15 | BERNARD EDWARD C | Director | Grant | 712 | $0.00 | $0 | 16K |
| 2026-05-07 | Putnam James S | Director | Gift | 100 | $0.00 | $0 | 137K |
| 2026-04-15 | Audette Matthew J | President and CFO | Sell | 106 | $332.27 | $35K | 20K |
| 2026-04-15 | Audette Matthew J | President and CFO | Sell | 595 | $331.09 | $197K | 20K |
| 2026-04-15 | Audette Matthew J | President and CFO | Sell | 189 | $328.34 | $62K | 21K |
| 2026-04-15 | Audette Matthew J | President and CFO | Sell | 220 | $327.45 | $72K | 21K |
| 2026-04-14 | Audette Matthew J | President and CFO | Sell | 139 | $326.16 | $45K | 21K |
| 2026-04-14 | Audette Matthew J | President and CFO | Sell | 330 | $325.00 | $107K | 21K |
| 2026-03-24 | Thomas Corey E. | Director | Grant | 7 | $0.00 | $0 | 14K |
| 2026-03-24 | SCHIFTER RICHARD P | Director | Grant | 19 | $0.00 | $0 | 38K |
| 2026-03-24 | Putnam James S | Director | Grant | 10 | $0.00 | $0 | 137K |
| 2026-03-24 | Mnookin Allison | Director | Grant | 3 | $0.00 | $0 | 11K |
| 2026-03-24 | Glavin William Francis Jr | Director | Grant | 15 | $0.00 | $0 | 23K |
| 2026-03-24 | EBERHART PAULETT | Director | Grant | 5 | $0.00 | $0 | 17K |
| 2026-03-24 | BERNARD EDWARD C | Director | Grant | 4 | $0.00 | $0 | 15K |
| 2026-03-10 | Cohen Marc Eliot | Group Managing Director | Sell | 1K | $309.72 | $337K | 4K |
| 2026-03-10 | Cohen Marc Eliot | Group Managing Director | Sell | 1K | $309.72 | $337K | 4K |
| 2026-03-09 | Cohen Marc Eliot | Group Managing Director | Sell | 2K | $308.75 | $683K | 5K |
| 2026-03-09 | Cohen Marc Eliot | Group Managing Director | Exercise or conversion | 2K | $77.53 | $171K | 8K |
| 2026-03-02 | Jambusaria Aneri | Group Managing Director | Sell | 308 | $306.00 | $94K | 7K |
| 2026-02-26 | Enyedi Matthew | Group Managing Director | Sell | 183 | $322.72 | $59K | 14K |
| 2026-02-26 | Enyedi Matthew | Group Managing Director | Sell | 169 | $321.74 | $54K | 14K |
| 2026-02-26 | Enyedi Matthew | Group Managing Director | Sell | 666 | $320.99 | $214K | 14K |
| 2026-02-26 | Enyedi Matthew | Group Managing Director | Sell | 628 | $319.38 | $201K | 15K |
| 2026-02-26 | Enyedi Matthew | Group Managing Director | Sell | 463 | $318.38 | $147K | 16K |
| 2026-02-26 | Audette Matthew J | President and CFO | Sell | 453 | $322.15 | $146K | 21K |
| 2026-02-26 | Audette Matthew J | President and CFO | Sell | 506 | $321.04 | $162K | 22K |
| 2026-02-26 | Audette Matthew J | President and CFO | Sell | 274 | $319.32 | $87K | 22K |
| 2026-02-26 | Audette Matthew J | President and CFO | Sell | 348 | $318.51 | $111K | 23K |
| 2026-02-25 | Steinmeier Richard | Chief Executive Officer | Grant | 11K | $0.00 | $0 | 19K |
| 2026-02-25 | Steinmeier Richard | Chief Executive Officer | Tax withholding | 3K | $318.47 | $834K | 9K |
| 2026-02-25 | Steinmeier Richard | Chief Executive Officer | Grant | 2K | $0.00 | $0 | 12K |
| 2026-02-25 | Reeping Katharine | Principal Accounting Officer | Grant | 373 | $0.00 | $0 | 2K |
| 2026-02-25 | Reeping Katharine | Principal Accounting Officer | Tax withholding | 212 | $318.47 | $68K | 2K |
| 2026-02-25 | Reeping Katharine | Principal Accounting Officer | Grant | 81 | $0.00 | $0 | 2K |
| 2026-02-25 | Morningstar Matthew | Group Managing Director | Grant | 1K | $0.00 | $0 | 3K |
| 2026-02-25 | Jambusaria Aneri | Group Managing Director | Grant | 1K | $0.00 | $0 | 7K |
| 2026-02-25 | Jambusaria Aneri | Group Managing Director | Tax withholding | 715 | $318.47 | $228K | 6K |
| 2026-02-25 | Jambusaria Aneri | Group Managing Director | Grant | 942 | $0.00 | $0 | 6K |
| 2026-02-25 | Gates Greg | Group Managing Director | Grant | 3K | $0.00 | $0 | 21K |
| 2026-02-25 | Gates Greg | Group Managing Director | Grant | 3K | $0.00 | $0 | 18K |
| 2026-02-25 | Gates Greg | Group Managing Director | Tax withholding | 1K | $318.47 | $412K | 15K |
| 2026-02-25 | Gates Greg | Group Managing Director | Grant | 2K | $0.00 | $0 | 16K |
| 2026-02-25 | Field Emily | Group Managing Director | Grant | 1K | $0.00 | $0 | 2K |
| 2026-02-25 | Enyedi Matthew | Group Managing Director | Grant | 2K | $0.00 | $0 | 16K |
| 2026-02-25 | Enyedi Matthew | Group Managing Director | Tax withholding | 1K | $318.47 | $425K | 14K |
| 2026-02-25 | Enyedi Matthew | Group Managing Director | Grant | 2K | $0.00 | $0 | 15K |
| 2026-02-25 | Cohen Marc Eliot | Group Managing Director | Grant | 1K | $0.00 | $0 | 5K |
| 2026-02-25 | Cohen Marc Eliot | Group Managing Director | Tax withholding | 483 | $318.47 | $154K | 4K |
| 2026-02-25 | Cohen Marc Eliot | Group Managing Director | Grant | 537 | $0.00 | $0 | 5K |
| 2026-02-25 | Audette Matthew J | President and CFO | Grant | 7K | $0.00 | $0 | 23K |
| 2026-02-25 | Audette Matthew J | President and CFO | Tax withholding | 2K | $318.47 | $749K | 16K |
| 2026-02-25 | Audette Matthew J | President and CFO | Grant | 2K | $0.00 | $0 | 19K |
| 2026-02-02 | Khanna Somesh | Director | Grant | 139 | $0.00 | $0 | 139 |
| 2025-12-31 | SCHIFTER RICHARD P | Director | Gift | 1K | $0.00 | $0 | 38K |
| 2025-12-31 | SCHIFTER RICHARD P | Director | Gift | 1K | $0.00 | $0 | 38K |
| 2025-12-09 | Morningstar Matthew | Group Managing Director | Grant | 2K | $0.00 | $0 | 2K |
| 2025-12-05 | Steinmeier Richard | Chief Executive Officer | Gift | 275 | $0.00 | $0 | 17K |
| 2025-12-05 | Steinmeier Richard | Chief Executive Officer | Sell | 274 | $373.20 | $102K | 9K |
Form 4 filings are due within two business days of the trade. Insiders sell for many reasons that say nothing about the company; open-market buys are rarer.
Planned sales (Form 144)
Newest first. JSON17 Form 144 notices on file for LPLA worth $7.9M at the prices reported; 3 in the last 90 days worth $1.7M. Latest: Reeping Katharine filed on 2026-09-11 to sell 440 shares ($153K) from 2026-09-11.
| Filed | Seller | Shares | Market value | Of outstanding | Sale from | Broker |
|---|---|---|---|---|---|---|
| 2026-09-11 | Reeping KatharineOfficer | 440 | $153K | 0.001% | 2026-09-11 | Fidelity Brokerage Services LLC |
| 2026-08-27 | Jambusaria AneriOfficer | 308 | $110K | 0.000% | 2026-08-27 | Fidelity Brokerage Services LLC |
| 2026-08-20 | Gates GregOfficer | 4K | $1.5M | 0.005% | 2026-08-20 | Fidelity Brokerage Services LLC |
| 2026-07-31 | Enyedi MatthewOfficer | 1K | $353K | 0.001% | 2026-07-31 | Fidelity Brokerage Services LLC |
| 2026-06-17 | Jambusaria AneriOfficer | 308 | $94K | 0.000% | 2026-06-17 | Fidelity Brokerage Services LLC |
| 2026-04-15 | Audette Matthew JOfficer | 1K | $366K | 0.001% | 2026-04-15 | Fidelity Brokerage Services LLC |
| 2026-04-14 | Audette Matthew JOfficer | 469 | $153K | 0.001% | 2026-04-14 | Fidelity Brokerage Services LLC |
| 2026-03-10 | Cohen Marc EliotOfficer | 1K | $337K | 0.001% | 2026-03-10 | Fidelity Brokerage Services LLC |
| 2026-03-09 | Cohen Marc EliotOfficer | 2K | $683K | 0.003% | 2026-03-09 | Fidelity Brokerage Services LLC |
| 2026-03-02 | Jambusaria AneriOfficer | 308 | $94K | 0.000% | 2026-03-02 | Fidelity Brokerage Services LLC |
| 2026-02-26 | Enyedi MatthewOfficer | 2K | $675K | 0.003% | 2026-02-26 | Fidelity Brokerage Services LLC |
| 2026-02-26 | Audette Matthew JOfficer | 2K | $507K | 0.002% | 2026-02-26 | Fidelity Brokerage Services LLC |
| 2025-12-05 | Steinmeier RichardOfficer, Director | 5K | $1.9M | 0.006% | 2025-12-05 | Fidelity Brokerage Services LLC |
| 2025-12-05 | Gates GregOfficer | 750 | $275K | 0.001% | 2025-12-05 | Fidelity Brokerage Services LLC |
| 2025-12-01 | Jambusaria AneriOfficer | 80 | $28K | 0.000% | 2025-12-01 | Fidelity Brokerage Services LLC |
| 2025-11-05 | Gates GregOfficer | 2K | $565K | 0.002% | 2025-11-05 | Fidelity Brokerage Services LLC |
| 2025-10-06 | Gates GregOfficer | 750 | $236K | 0.001% | 2025-10-06 | Fidelity Brokerage Services LLC |
Large holders (13D and 13G)
One row per reporting person with its latest filing, newest first. JSON4 holders report 5% or more of LPLA in their latest filing, all on Schedule 13G (passive). The largest reported stake is Vanguard Capital Management at 5.4% of the class (4,300,570 shares), filed 2026-04-30 for an event on 2026-03-31.
| Filed | Form | Holder | Shares | Of class | Event |
|---|---|---|---|---|---|
| 2026-08-13 | 13G | JANUS HENDERSON GROUP Ltd.parent holding company | 4.2M | 5.3% | 2026-06-30 |
| 2026-08-04 | 13G | Boston Partnersinvestment adviser | 4.0M | 5.0% | 2026-06-30 |
| 2026-05-14 | 13G | Dodge & Coxinvestment adviser | 4.1M | 5.2% | 2026-03-31 |
| 2026-04-30 | 13G | Vanguard Capital Managementinvestment adviser | 4.3M | 5.4% | 2026-03-31 |
| 2026-03-27 | 13G/Ano. 12 | The Vanguard Groupinvestment adviser | 0 | 0.0% | 2026-03-13 |
13F holders
Tracked managers holding LPLA at their latest 13F. JSON7 of the 30 tracked managers held LPLA at their latest 13F, $779.7M in total at quarter-end prices. Lone Pine Capital is the largest at $343.4M (2.1% of its portfolio) as of 2026-06-30. Over the prior quarter 4 added shares and 3 cut.
| Fund | Quarter | Shares | Value | Of portfolio | Change in shares |
|---|---|---|---|---|---|
| Lone Pine Capital | 2026-06-30 | 1.2M | $343.4M | 2.10% | -831K |
| Citadel Advisors | 2026-06-30 | 643K | $181.1M | 0.02% | -281K |
| Point72 Asset Management | 2026-06-30 | 507K | $142.9M | 0.16% | +457K |
| Millennium Management | 2026-06-30 | 206K | $58.1M | 0.02% | -684K |
| Renaissance Technologies | 2026-06-30 | 152K | $42.7M | 0.06% | +31K |
| AQR Capital Management | 2026-06-30 | 35K | $9.7M | 0.00% | +2K |
| Bridgewater Associates | 2026-06-30 | 7K | $1.9M | 0.01% | new |
Only the 30 tracked managers on the funds hub; a 13F reports long positions in US listed stock at quarter end, 45 days late, and says nothing about shorts or positions sold since.
Financials
SEC XBRL, as filed. JSONIn Q3 FY 2026 (quarter ended 2026-09-30) LPL Financial Holdings reported revenue of $5.34B, up 17.4% from the same quarter a year earlier, and net income of $356.6M (4.52 diluted EPS). In FY 2025 it generated -$411.4M of operating cash flow and spent $100.0M on buybacks and $94.4M on dividends. As of 2026-09-30, cash was $1.06B against $7.80B of debt.
- Cash
- $1.06B
- Debt
- $7.80B
- Equity
- $5.81B
- Total assets
- $19.87B
- Shares outstanding
- 77,868,413
Quarterly, last 8 quarters
| Quarter | Period end | Revenue | Net income | Margin | Diluted EPS |
|---|---|---|---|---|---|
| Q3 FY 2026 | 2026-09-30 | $5.34B | $356.6M | 6.7% | 4.52 |
| Q2 FY 2026 | 2026-06-30 | $5.19B | $379.3M | 7.3% | 4.74 |
| Q1 FY 2026 | 2026-03-31 | $4.94B | $356.4M | 7.2% | 4.43 |
| Q4 FY 2025derived | 2025-12-31 | $4.93B | $300.7M | 6.1% | n/a |
| Q3 FY 2025 | 2025-09-30 | $4.55B | -$29.5M | -0.6% | -0.37 |
| Q2 FY 2025 | 2025-06-30 | $3.84B | $273.2M | 7.1% | 3.40 |
| Q1 FY 2025 | 2025-03-31 | $3.67B | $318.6M | 8.7% | 4.24 |
| Q4 FY 2024derived | 2024-12-31 | $3.51B | $270.7M | 7.7% | n/a |
Fiscal years, with buybacks and dividends
| Fiscal year | Ends | Revenue | Net income | Operating cash flow | Capex | Buybacks | Dividends |
|---|---|---|---|---|---|---|---|
| FY 2025 | 2025-12-31 | $16.99B | $863.0M | -$411.4M | $570.4M | $100.0M | $94.4M |
| FY 2024 | 2024-12-31 | $12.39B | $1.06B | $277.6M | $562.5M | $170.1M | $89.7M |
| FY 2023 | 2023-12-31 | $10.05B | $1.07B | $512.6M | $403.3M | $1.10B | $92.2M |
| FY 2022 | 2022-12-31 | $8.60B | $845.7M | $1.95B | $306.6M | $325.0M | $79.8M |
| FY 2021 | 2021-12-31 | $7.72B | $459.9M | $453.1M | $216.0M | $90.0M | $80.1M |
Quarters are the three-month figures the company reports; a fourth quarter marked derived is the fiscal year less the three reported quarters, since companies report it only inside the 10-K. Fiscal years are the annual figures. Buybacks are the cash the company paid to repurchase its common stock in the year, not the amount authorized. Balance sheet lines are as of 2026-09-30; shares outstanding as of 2026-10-27 from the cover page.
What this page is
LPL Financial Holdings in the regulatory record
Regulators publish company data in separate files that never sit next to each other: FINRA's twice-monthly short interest, its daily short sale volume, the SEC's fails-to-deliver counts, and each insider's Form 4. A company page puts those series for one ticker on one URL, with planned sales, large holders, 13F holders and financials beside them, so the short position, the daily flow, the settlement fails and what insiders are doing can be read together.
Each section has its own history table, a one-line summary of the latest figures and its own JSON and CSV links, and says when its source last updated.
This page follows LPL Financial Holdings (LPLA), SEC CIK 1397911, listed on Nasdaq, classified by the SEC as security & commodity brokers, dealers, exchanges & services. The cross-market tables live on the short interest and insider transactions hubs.
Source and updates
- Short interest
- FINRA consolidated short interestSource: FINRA.Twice a month, about eight business days after settlement. Latest 2026-10-15.JSON and CSV
- Daily short volume
- FINRA Reg SHO daily filesSource: FINRA.Every trading day, the morning after FINRA posts it. Latest 2026-11-03.JSON and CSV
- Fails to deliver
- SEC fails-to-deliver dataSource: SEC.Twice a month, a few weeks after the half month ends. Latest 2026-10-14.JSON and CSV
- Planned sales
- SEC EDGAR Form 144Source: SEC.New notices appear shortly after the SEC posts them; a notice is filed on or before the sale. Latest 2026-09-11.JSON and CSV
- Large holders
- SEC EDGAR Schedule 13D and 13GSource: SEC.New filings appear shortly after the SEC posts them. A 13D is due within five business days of crossing 5%; a 13G follows the passive schedule. Latest 2026-08-13.JSON and CSV
- 13F holders
- SEC EDGAR Form 13F-HRSource: SEC.Quarterly, filed within 45 days of quarter end; 30 tracked managers. Latest 2026-06-30.JSON and CSV
- Financials
- SEC EDGAR 10-K and 10-Q filingsSource: SEC.Weekly; values are as filed in the 10-Q and 10-K. Latest 2026-09-30.JSON and CSV
- Earnings dates
- SEC EDGAR 8-K filings (Item 2.02)Source: SEC.Twice a day. Reported dates come from the company's 8-K filings; the next date is marked as an estimate until the 8-K arrives. Latest 2026-10-27.JSON and CSV
- Insider trades
- SEC EDGAR Form 4Source: SEC.New filings appear shortly after the SEC posts them; they're due two business days after the trade. Latest 2026-09-11.JSON and CSV
- Company record
- EDGAR filing index for CIK 1397911Ticker, name and exchange from the SEC's company list, refreshed weekly.
- Rate limits
- 10 requests a minute without a key, 30 with a free key from a free account.
How to read it
- Read the position against the flow: rising short interest with a high daily short share is new shorting; rising short interest with a normal short share is old shorts holding on.
- Insider buys next to a large short position are rare and stand out; insider sells next to one are common and mean little.
- Fails to deliver matter relative to the float, not in absolute shares; a million failed shares in a mega cap is noise.
Analysis of what the data shows, not advice. XOOMAR does not recommend buying, selling or holding anything.
Other companies the SEC classifies as security & commodity brokers, dealers, exchanges & services
Other company pages
Datasets
Frequently Asked Questions
How much of LPLA is sold short?
2,181,600 shares were held short at the 2026-10-15 settlement, 2.8 days of average volume. FINRA publishes the next count about eight business days after the 15th and the last business day of the month.
What is LPLA's daily short volume?
On 2026-11-03, 247,281 of the 448,159 LPLA shares reported to FINRA were sold short, 55.2% of the day's reported volume. Short volume is a flow for one day, not a position.
Does LPLA have fails to deliver?
The SEC's latest file shows 14,741 LPLA shares failed to deliver at settlement 2026-10-14. Fails are reported per settlement date and published twice a month with a lag.
Are LPLA insiders buying or selling?
Insiders at LPLA reported 3 open-market sells worth $1.7M in the last 90 days and no open-market buys. Latest filing: Reeping Katharine (Principal Accounting Officer) on 2026-09-11.
Have LPLA insiders filed to sell?
17 Form 144 notices on file for LPLA worth $7.9M at the prices reported; 3 in the last 90 days worth $1.7M. Latest: Reeping Katharine filed on 2026-09-11 to sell 440 shares ($153K) from 2026-09-11.
Who owns 5% or more of LPLA?
4 holders report 5% or more of LPLA in their latest filing, all on Schedule 13G (passive). The largest reported stake is Vanguard Capital Management at 5.4% of the class (4,300,570 shares), filed 2026-04-30 for an event on 2026-03-31.
What did LPLA report last quarter?
In Q3 FY 2026 (quarter ended 2026-09-30) LPL Financial Holdings reported revenue of $5.34B, up 17.4% from the same quarter a year earlier, and net income of $356.6M (4.52 diluted EPS). In FY 2025 it generated -$411.4M of operating cash flow and spent $100.0M on buybacks and $94.4M on dividends. As of 2026-09-30, cash was $1.06B against $7.80B of debt.
Which tracked 13F managers own LPLA?
7 of the 30 tracked 13F managers held LPLA shares at their latest filing, $779.7M in all. The largest: Lone Pine Capital (1.2M shares, $343.4M), Ken Griffin's Citadel Advisors (643K shares, $181.1M), Steve Cohen's Point72 Asset Management (507K shares, $142.9M), Izzy Englander's Millennium Management (206K shares, $58.1M), Renaissance Technologies (152K shares, $42.7M), Cliff Asness's AQR Capital Management (35K shares, $9.7M). The table above lists all 7.
Data on this page is provided for informational purposes only and is not financial advice. See our editorial policy.