SEC Form 4 · Updated Daily
LPLA
— LPL FINANCIAL HOLDINGS INC. OwnershipInsider and institutional ownership derived from SEC Form 4 filings. Click any owner to see their holdings across every company they’ve filed on, and how their position has changed over time.
Current Reporting Owners
| Owner | Role | Shares Owned | As Of | Last Activity |
|---|---|---|---|---|
| TPG Advisors IV, Inc. | 10%+ Owner | 34,210,185.1 | 2009-04-24 | — |
| COULTER JAMES G | 10%+ Owner | 8,794,282 | 2015-12-10 | S |
| BONDERMAN DAVID | Reporting Owner | 8,794,282 | 2015-12-10 | S |
| TPG Group Holdings (SBS) Advisors, Inc. | Reporting Owner | 8,794,282 | 2015-12-10 | S |
| Dwyer William E III | Officer | 1,076,388 | 2012-05-07 | M |
| Stearns Esther M | Officer | 900,934 | 2012-02-22 | M |
| Brown Stephanie L | Officer | 545,787.8 | 2013-02-22 | A |
| Hellman Marco | Director | 492,390 | 2018-03-06 | S |
| Thorpe Allen R | Director | 433,003 | 2013-08-15 | J |
| Eaton Jonathan | Officer | 199,109 | 2012-04-30 | S |
| Arnold Dan H. | Director · Officer | 148,284.94 | 2024-06-14 | M |
| Putnam James S | Director | 135,297.5 | 2026-08-28 | A |
| Casady Mark S | Director | 132,957 | 2017-03-02 | M |
| RIEPE JAMES S | Director | 95,258 | 2020-03-31 | A |
| BOYCE RICHARD W | Director | 59,989.9 | 2015-05-18 | A |
| Moore Robert J. | Officer | 56,668 | 2015-02-24 | F |
| White George Burton | Officer | 54,542 | 2022-02-25 | A |
| Brennan John Joseph | Director | 45,883 | 2017-03-24 | A |
| Bergers David P. | Officer | 43,382 | 2017-03-13 | A |
| Gooley Thomas | Officer | 42,685 | 2019-03-14 | M |
| SCHIFTER RICHARD P | Director | 39,191.572 | 2026-08-28 | A |
| Abood Denise M. | Officer | 39,134 | 2010-11-17 | S |
| Larsen Sallie R. | Officer | 38,684 | 2023-11-10 | M |
| MULCAHY ANNE M | Director | 37,431 | 2026-05-15 | A |
| Seese Scott | Officer | 36,700 | 2021-06-14 | M |
| Oroschakoff Michelle | Officer | 32,497.15 | 2023-02-25 | A |
| Kalbaugh John Andrew | Officer | 28,449 | 2021-02-25 | A |
| Gates Greg | Officer | 27,721 | 2026-08-20 | M |
| SEMERJIAN DAYTON | Officer | 25,441 | 2023-02-25 | A |
| Glavin William Francis Jr | Director | 24,074 | 2026-08-28 | A |
| Fetter Victor | Director | 23,279 | 2017-03-06 | F |
| Calder Tracy | Officer | 21,270 | 2019-11-25 | M |
| Audette Matthew J | Director | 21,052 | 2026-04-14 | S |
| Steinmeier Richard | Officer | 19,488 | 2026-02-25 | A |
| Morrissey William P. Jr. | Officer | 18,091 | 2018-03-13 | F |
| EBERHART PAULETT | Director | 17,764 | 2026-08-28 | A |
| DINH VIET D | Director | 17,364 | 2018-08-23 | A |
| Fandrey Edward | Officer | 16,544 | 2022-02-25 | F |
| BERNARD EDWARD C | Director | 16,262 | 2026-08-28 | A |
| Thomas Corey E. | Director | 14,912 | 2026-08-28 | A |
| Enyedi Matthew | Officer | 13,932 | 2026-07-31 | S |
| Hellman & Friedman GP LLC | 10%+ Owner · Director | 13,014 | 2013-02-22 | — |
| Hellman & Friedman LP | 10%+ Owner · Director | 13,014 | 2013-02-22 | A |
| Handelsman Sharyn | Officer | 12,871 | 2015-06-02 | M |
| Parker Ryan | Officer | 11,864 | 2016-03-06 | F |
| Mnookin Allison | Director | 11,763 | 2026-08-28 | A |
| Sethi Kabir | Officer | 11,545 | 2024-02-25 | F |
| Thomas Lux | Officer | 10,378 | 2015-05-18 | M |
| Bruton Derek | Officer | 9,402 | 2014-02-24 | A |
| Feeney Christopher | Officer | 9,000 | 2012-12-06 | M |
| STIEFLER JEFFREY E | Director | 7,767 | 2013-11-19 | A |
| Buchheister Jeffrey R. | Officer | 7,504 | 2016-02-12 | P |
| Helliker Mark | Officer | 7,001 | 2015-03-06 | A |
| Khoury Joan D | Officer | 6,817 | 2014-02-24 | A |
| Simonich Brent | Officer | 6,773 | 2023-02-25 | A |
| Brown Althea | Officer | 6,711 | 2025-02-25 | A |
| Schott Mary Frances | Officer | 6,446 | 2015-03-06 | A |
| Jambusaria Aneri | Officer | 6,107 | 2026-08-27 | S |
| Cohen Marc Eliot | Officer | 4,356 | 2026-06-12 | F |
| Morningstar Matthew | Officer | 3,415 | 2026-02-25 | A |
| Ko Albert J | Director | 3,299 | 2026-05-15 | A |
| Ragatz Erik D. | Director | 3,180 | 2011-12-01 | A |
| Field Emily | Officer | 1,833 | 2026-09-05 | F |
| Dadyar Sara | Officer | 1,797 | 2025-02-25 | A |
| McDermott John J. | Officer | 1,780 | 2013-02-22 | A |
| Reeping Katharine | Officer | 1,773.957 | 2026-09-11 | S |
| Goldstein Jeffrey A | Director | 1,582 | 2013-02-22 | A |
| Hellman & Friedman Investors V, L.P. | 10%+ Owner · Director | 1,331 | 2013-08-15 | J |
| Hellman & Friedman Capital Partners V, L.P. | 10%+ Owner · Director | 1,331 | 2013-08-15 | J |
| Hellman & Friedman Capital Partners V (Parallel), L.P. | 10%+ Owner · Director | 1,331 | 2013-08-15 | J |
| Hellman & Friedman Capital Associates V, L.P. | 10%+ Owner · Director | 1,331 | 2013-08-15 | J |
| Hellman & Friedman LLC | 10%+ Owner · Director | 1,331 | 2013-08-15 | J |
| Khanna Somesh | Director | 851 | 2026-05-15 | A |
| Maher Bill | Officer | 100 | 2008-12-28 | M |
Recent Filings
| Date | Owner | Activity | Shares | Price | Owned After |
|---|---|---|---|---|---|
| 2026-09-11 | Reeping Katharine | Open-market sale | 439.949 | $347.88 | 1,773.957 |
| 2026-09-05 | Field Emily | Tax withholding | 106 | $359.33 | 1,833 |
| 2026-08-28 | BERNARD EDWARD C | Grant / award | 3 | $0.00 | 16,262 |
| 2026-08-28 | EBERHART PAULETT | Grant / award | 4 | $0.00 | 17,764 |
| 2026-08-28 | Glavin William Francis Jr | Grant / award | 10 | $0.00 | 24,074 |
| 2026-08-28 | Mnookin Allison | Grant / award | 2 | $0.00 | 11,763 |
| 2026-08-28 | Putnam James S | Grant / award | 7 | $0.00 | 135,297.5 |
| 2026-08-28 | SCHIFTER RICHARD P | Grant / award | 14 | $0.00 | 39,191.572 |
| 2026-08-28 | Thomas Corey E. | Grant / award | 4 | $0.00 | 14,912 |
| 2026-08-27 | Jambusaria Aneri | Open-market sale | 308 | $357.36 | 6,107 |
| 2026-08-20 | Gates Greg | Option exercise (derivative) | 7,189 | $0.00 | 0 |
| 2026-08-20 | Gates Greg | Open-market sale | 4,119 | $355.38 | 23,602 |
| 2026-08-20 | Gates Greg | Option exercise | 7,189 | $77.53 | 27,721 |
| 2026-08-03 | Putnam James S | Gift | 2,000 | $0.00 | 135,290.5 |
| 2026-07-31 | Enyedi Matthew | Open-market sale | 1 | $355.51 | 13,121 |
| 2026-07-31 | Enyedi Matthew | Open-market sale | 51 | $354.52 | 13,122 |
| 2026-07-31 | Enyedi Matthew | Open-market sale | 296 | $353.37 | 13,173 |
| 2026-07-31 | Enyedi Matthew | Open-market sale | 463 | $352.77 | 13,469 |
| 2026-07-31 | Enyedi Matthew | Open-market sale | 189 | $351.06 | 13,932 |
| 2026-06-17 | Jambusaria Aneri | Open-market sale | 308 | $306.00 | 6,415 |
| 2026-06-12 | Cohen Marc Eliot | Tax withholding | 44 | $295.66 | 4,356 |
| 2026-06-12 | Gates Greg | Tax withholding | 232 | $295.66 | 20,532 |
| 2026-06-04 | BERNARD EDWARD C | Grant / award | 4 | $0.00 | 16,259 |
| 2026-06-04 | EBERHART PAULETT | Grant / award | 5 | $0.00 | 17,760 |
| 2026-06-04 | Glavin William Francis Jr | Grant / award | 15 | $0.00 | 24,064 |
| 2026-06-04 | Mnookin Allison | Grant / award | 3 | $0.00 | 11,761 |
| 2026-06-04 | Putnam James S | Grant / award | 10 | $0.00 | 137,290.5 |
| 2026-06-04 | SCHIFTER RICHARD P | Grant / award | 19 | $0.00 | 39,177.572 |
| 2026-06-04 | Thomas Corey E. | Grant / award | 7 | $0.00 | 14,908 |
| 2026-05-15 | BERNARD EDWARD C | Grant / award | 348 | $0.00 | 16,255 |
| 2026-05-15 | BERNARD EDWARD C | Grant / award | 712 | $0.00 | 15,907 |
| 2026-05-15 | EBERHART PAULETT | Grant / award | 712 | $0.00 | 17,755 |
| 2026-05-15 | Glavin William Francis Jr | Grant / award | 712 | $0.00 | 24,049 |
| 2026-05-15 | Khanna Somesh | Grant / award | 712 | $0.00 | 851 |
| 2026-05-15 | Ko Albert J | Grant / award | 712 | $0.00 | 3,299 |
| 2026-05-15 | Mnookin Allison | Grant / award | 712 | $0.00 | 11,758 |
| 2026-05-15 | MULCAHY ANNE M | Grant / award | 348 | $0.00 | 37,431 |
| 2026-05-15 | MULCAHY ANNE M | Grant / award | 712 | $0.00 | 37,083 |
| 2026-05-15 | Putnam James S | Grant / award | 712 | $0.00 | 137,280.5 |
| 2026-05-15 | SCHIFTER RICHARD P | Grant / award | 348 | $0.00 | 39,158.572 |
Source: SEC EDGAR Form 4 filings. For informational purposes only — not investment advice.