Seattle wealth team overseeing $815M moves to LPL Financial
LPL Financial announced that Emerald Wealth Management, a Seattle-based team managing approximately $815 million in client assets, has joined its broker-dealer and RIA platform from Northwestern Mutual. Emerald Wealth, led by Darren Trautmann and Brendan Foor, specializes in serving tech professionals and pre-retirees with a comprehensive financial planning approach. The team chose LPL for its open-architecture technology, back-office capabilities, and efficiency, aiming to enhance client service and support their long-term growth.
LPL clients pull $3.6B from cash, log $12.9B in net buying
LPL Financial announced its April 2026 activity report, revealing total client assets reached $2.48 trillion, a 6.1% increase from March and 38.6% year-over-year. Despite a $3.6 billion decrease in client cash balances, the company reported $12.9 billion in net buying during April, indicating continued client investment. Organic net new assets were $3.1 billion, contributing to a 1.6% annualized growth rate.
LPL Financial (NASDAQ:LPLA) Reaches New 52-Week Low - Here's What Happened
LPL Financial (NASDAQ:LPLA) shares recently hit a new 52-week low, trading as low as $280.40, despite analysts maintaining a "Moderate Buy" rating with an average target price of $398.86. The company reported better-than-expected EPS of $5.60 for its latest quarter and announced a $0.30 quarterly dividend. Institutional ownership remains high at 95.66%, though insiders have recently sold shares.
LPL Financial slips 3% as investors brace for April monthly metrics and watch asset-growth signals
LPL Financial (LPLA) saw its stock drop by 3.0% as investors anticipated the release of April 2026 monthly metrics. The market is particularly sensitive to organic growth signals and asset levels, especially after recent Q1 results and a reported cybersecurity incident that could impact sentiment. Insider trading data shows significant sales by executives, while institutional investors have mixed positions.
About $870M retirement-planning team True Compass Advisors moves to LPL
LPL Financial announced that True Compass Advisors, a team previously affiliated with Kestra managing approximately $870 million in assets, has joined its broker-dealer and RIA platforms. Led by Jared White, the Southbury, Connecticut-based firm focuses on relationship-driven comprehensive financial planning for professionals approaching retirement. True Compass Advisors chose LPL for its technology, independence, and specialized resources, with White noting a renewed focus on growth and advanced planning capabilities.
Emerald Wealth Management Joins LPL Financial to Enhance Client-Centric Wealth Management Services
Emerald Wealth Management, an advisory team serving approximately $815 million in assets, has joined LPL Financial's broker-dealer and RIA platform. Led by Darren Trautmann and Brendan Foor, the Seattle-based firm emphasizes a holistic, client-centered approach, serving as a "household CFO." The move to LPL Financial is attributed to its superior technology and support services, aiming to enhance client experience and facilitate practice growth.
LPL Financial Holdings stock (US50212V1008): earnings growth and advisor momentum draw investor focu
LPL Financial Holdings (LPLA) has gained investor attention due to recently reported double-digit revenue growth and expansion of its advisor base. The company operates as a major independent broker-dealer and registered investment advisor platform in the US, primarily generating revenue from advisory and brokerage fees tied to client assets. Key drivers include asset-based revenues, advisor recruitment, and investments in technology, making the stock sensitive to market performance and interest rates.
LPL Financial Earnings Call Highlights Profits, Growth
LPL Financial's Q1 earnings call revealed record profits, strong organic growth, and stringent cost control, despite market volatility. The company highlighted robust recruiting, high adviser retention, and a healthy balance sheet, allowing for investments in technology and AI initiatives. While facing challenges such as market-driven asset declines and integration complexities with Commonwealth, LPL reaffirmed its long-term growth targets and commitment to capital returns.
Inside the $1B retirement advisory team serving The Villages
LPL Financial announced that Cebert Wealth Advisors, a team managing approximately $1 billion in assets and serving over 1,700 clients primarily in The Villages, Florida, has joined its broker-dealer and RIA platforms. Led by Dale Cebert, the team chose LPL for its independent model, research capabilities, and technology to enhance client services, focusing on retirees and pre-retirees. This move further expands LPL's network, which now supports over 32,000 financial advisors and approximately $2.3 trillion in assets.
LPL Financial (LPLA) director Paulett Eberhart granted 712 deferred stock units
LPL Financial director Paulett Eberhart was granted 712 deferred stock units under the company's 2021 Omnibus Equity Incentive Plan. These units, which were awarded at no cash price, are scheduled to vest in full on May 20, 2027, and are subject to a deferral election under the Non-Employee Director Deferred Compensation Plan. Following this transaction, Eberhart directly holds 17,755 shares of LPL Financial common stock.
LPL Financial (LPLA) director granted 712 restricted shares vesting 2027
LPL Financial Holdings Inc. director Albert J. Ko was granted 712 shares of restricted common stock at no cost, which are set to vest on May 20, 2027. This grant was made under the company's 2021 Omnibus Equity Incentive Plan. Following this transaction, Ko now directly holds 3,299 shares of LPL Financial common stock.
LPL Financial (LPLA) director granted 712 deferred stock units vesting in 2027
LPL Financial director James S. Putnam was granted 712 deferred stock units under the company's 2021 Omnibus Equity Incentive Plan. These units, which were part of his annual director retainer and valued at $0.00 per share, are scheduled to vest in full on May 20, 2027. Following this grant, Mr. Putnam directly holds 137,280.5 shares of LPL Financial common stock.
Director at LPL Financial (LPLA) receives deferred stock unit awards
Thomas Corey E., an LPL Financial Holdings Inc. director, was granted deferred stock unit awards totaling 348 and 712 units on May 15, 2026, at no cash cost. These awards are part of his non-employee director annual retainer and were issued under the company's 2021 Omnibus Equity Incentive Plan. While one grant vests on May 20, 2027, and the other is fully vested, both are subject to deferral elections under the Non-Employee Director Deferred Compensation Plan.
LPL Financial (LPLA) director Schifter awarded 1,060 stock units and reports trust holdings
Richard P. Schifter, a director at LPL Financial Holdings Inc. (LPLA), has reported the acquisition of 1,060 stock units as part of his equity-based compensation under the 2021 Omnibus Equity Incentive Plan. One grant of 712 units is set to vest on May 20, 2027, while another grant of 348 units is already fully vested, both subject to deferral elections. Additionally, the filing details his indirect holdings of 440 shares in each of 11 grandchildren's trusts, for which he serves as co-trustee, while remaining the beneficial owner.
Director at LPL Financial (LPLA) receives 1,060 stock units as awards
Edward C. Bernard, a director at LPL Financial (LPLA), reported receiving 1,060 deferred stock units as equity awards on May 15, 2026. These units were granted under the company's 2021 Omnibus Equity Incentive Plan and are subject to deferral elections under the Non-Employee Director Deferred Compensation Plan. One portion of the award (712 units) vests on May 20, 2027, while the other portion (348 units) is already fully vested.
LPL Financial (LPLA) director granted 712 deferred stock units as board pay
Allison Mnookin, a director at LPL Financial Holdings Inc. (LPLA), was granted 712 deferred stock units as part of her board compensation. These units, granted under the company’s 2021 Omnibus Equity Incentive Plan, are scheduled to vest in full on May 20, 2027, and reflect a deferral of the equity portion of her annual non-employee director retainer. Following this grant, Mnookin directly holds 11,758 shares of common stock.
Director at LPL Financial (NASDAQ: LPLA) receives restricted stock awards
LPL Financial Holdings Inc. director Anne M. Mulcahy was awarded 348 restricted stock shares under the company's 2021 Omnibus Equity Incentive Plan and an additional 712 shares in lieu of her annual cash retainer. These shares were granted as part of her non-employee director compensation and have no purchase price, with the restricted stock vesting fully on May 20, 2027. Following these awards, Mulcahy directly holds over 37,000 shares of LPL Financial common stock.
Director William Glavin Jr gets 712 restricted LPL Financial (LPLA) shares under equity plan
LPL Financial director William Glavin Jr. was granted 712 restricted shares under the company's 2021 Omnibus Equity Incentive Plan. These shares, part of his equity compensation, are scheduled to vest in full on May 20, 2027. Following this grant, Glavin directly holds 24,049 shares and indirectly holds 2,775 shares through his spouse’s trust.
High-net-worth advisor team with $635M in assets joins LPL Strategic Wealth
LPL Financial announced that Davis Executive Wealth, a Norwell, MA-based team serving high-net-worth and ultra-high-net-worth clients with approximately $635 million in advisory assets, has joined its LPL Strategic Wealth supported independence model. The team, led by Timothy Davis, chose LPL Strategic Wealth for its enhanced service model designed for complex clients, offering dedicated support and resources while preserving entrepreneurial flexibility. This move further highlights LPL's strategy of recruiting sizable advisory teams, following several similar announcements and awards recognition.
Cetera Welcomes Back Financial Advisor Mark Gavrilov Who Returns to Cetera Less Than 30 Days After Transferring to LPL
Cetera Financial Group announced the return of financial advisor Mark Gavrilov and his Brooklyn, NY-based Gavrilov Wealth Management practice, less than a month after he transferred to LPL. Gavrilov, who oversees approximately $217 million in Assets Under Administration (AUA), stated that his brief departure provided a fresh perspective, ultimately reaffirming Cetera's superior technology, service, and personalized advisor support. LeAnn Rummel, President and CEO of Cetera Investment Services, welcomed him back, acknowledging that compelling transition offers can sometimes lead advisors to explore other options.
Valerie Hoyle from Oregon’s 4th district sells LPL Financial Holdings stocks
Representative Valerie Hoyle of Oregon's 4th congressional district sold her shares in LPL Financial Holdings Inc. on April 2, 2025, valued between $1,001 and $15,000, from her Fidelity Rollover IRA. This transaction was an inadvertent omission from a previous report filed on September 12, 2025, and marks the sale of all stocks held by Hoyle and her spouse in 2025. LPL Financial Holdings is a major independent broker-dealer, and its business operations or financial health are not necessarily reflected by this sale.
Oregon Rep. Val Hoyle Sold Up to $15K Worth of LPL Finl Hldgs Stock
Oregon Representative Val Hoyle sold LPL Finl Hldgs (NASDAQ: LPLA) stock worth between $1,001 and $15,000 on April 2, 2025. This transaction was disclosed in a May 15, 2026 report. Hoyle has engaged in 393 trades totaling over $554 thousand in the last three years, with significant trades in NVIDIA and Microsoft.
Northwestern Mutual Wealth Management Co. Raises Position in LPL Financial Holdings Inc. $LPLA
Northwestern Mutual Wealth Management Co. significantly increased its stake in LPL Financial Holdings Inc. by 56.6% in the fourth quarter, reaching 158,783 shares valued at approximately $56.7 million. This move comes as LPL Financial reported stronger-than-expected earnings of $5.60 per share, although revenue was just under analyst estimates. The company has also declared a quarterly dividend of $0.30 per share, and analysts maintain a "Moderate Buy" rating with an average price target of $398.86.
LPL Financial Holdings stock (US50212V1008): earnings momentum and rate outlook in focus
LPL Financial Holdings, a major independent broker-dealer, has shown solid recent earnings with its stock price influenced by interest rate expectations. The company's business model relies on advisory and brokerage fees, alongside interest income from client cash balances, making its performance sensitive to market levels, advisor recruiting trends, and interest rate environments. Recent volatility reflects investor reassessments of both fee-based growth and cash-sweep yields, as detailed in its latest financial reports and earnings calls.
LPL Financial Updates Governance Bylaws and Shareholder Approvals
LPL Financial has adopted new bylaws to align with Delaware corporate law, tightening procedures for director qualifications, shareholder nominations, and meeting conduct, and adding emergency governance provisions. Shareholders re-elected directors, ratified Deloitte & Touche LLP as auditor, approved executive compensation, and passed charter amendments primarily focused on simplifying voting standards and protecting officers. TipRanks' AI Analyst, Spark, rates LPLA as Neutral due to deteriorated cash generation and leverage, despite revenue growth and strong operating performance.
LPL Financial Holdings stock (US50212V1008): earnings momentum and advisory growth in focus
LPL Financial Holdings has demonstrated continued growth in client assets and advisor productivity, reinforcing its position in the US wealth management market. The company operates an independent financial advisor platform, primarily generating revenue from advisory and brokerage fees, which are influenced by market performance and interest rates. LPL's strategy involves recruiting advisors and acquiring smaller networks, while investing in technology to enhance its competitive edge.
LPL Financial Holdings Inc (LPLA) Stock Buyback: $125 Million Coming
LPL Financial Holdings Inc (LPLA) has resumed its share repurchase program, planning $125 million in buybacks in Q2 2026, following strong Q1 results with revenue up 35% YoY to $4.93 billion and adjusted EPS of $5.60. The company had paused buybacks after acquiring Commonwealth Financial Network for $2.7 billion in March 2025 but now has over $1 billion in cash and a leverage ratio of 1.86x. Analysts predict LPLA stock could rise over 30% in the next year.
LPL Financial updates bylaws and approves charter amendments at annual meeting
LPL Financial Holdings Inc. announced updates to its corporate governance following its annual meeting, including the approval of the Eighth Amended and Restated Bylaws and charter amendments. These changes align with Delaware law, clarify board authority, and remove supermajority voting requirements. Stockholders also elected eleven directors and ratified Deloitte & Touche LLP as the independent accounting firm.
LPL Financial (LPLA) shareholders approve charter changes and new bylaws
LPL Financial Holdings Inc. shareholders approved significant changes to the company's charter and bylaws at their 2026 annual meeting. These changes include the adoption of new bylaws aligning with Delaware law, the election of eleven directors, and the ratification of Deloitte & Touche LLP as auditor. Key charter amendments involved removing supermajority voting requirements, adding officer exculpation, and deleting the corporate opportunities provision, reflecting an updated governance framework.
AI wealth prototypes for investors: LPL wins two awards
LPL Financial, operating under Nasdaq: LPLA, has been honored with two Stevie Awards in the 2026 American Business Awards for its innovative artificial intelligence concepts in wealth management. The company was recognized for its prototype AccountView Next Gen web experience and AccountView Next Gen Mobile, which are AI-powered digital platforms designed for advisors and investors. These awards highlight LPL Financial's commitment to developing advanced AI tools while prioritizing governance, security, explainability, and compliance in its prototype solutions.
How LPL's AI-powered wealth apps just earned two Stevie Awards
LPL Financial (Nasdaq:LPLA) has been awarded two Stevie Awards in the 2026 American Business Awards for its innovative use of artificial intelligence in wealth management. The awards recognize LPL's AccountView Next Gen web experience for Achievement in the Use of AI and its AccountView Next Gen Mobile platform for Best Use of Generative AI Technology. These accolades highlight LPL's commitment to deploying secure, enterprise-grade AI to enhance advisor efficiency and investor experience across its platforms, which serve over 32,000 advisors and manage approximately $2.3 trillion in assets.
LPL Financial (NASDAQ: LPLA): Dodge & Cox reports 4.15M shares, 5.2% stake
Dodge & Cox has reported a 5.2% stake in LPL Financial (NASDAQ: LPLA), amounting to 4.15 million shares, as detailed in a recent Schedule 13G SEC filing. This filing indicates that Dodge & Cox beneficially owns 4,146,547 shares of common stock on behalf of its clients, with 3,905,059 shares holding sole voting power. The disclosure specifies this as a passive institutional ownership as of March 31, 2026.
Kansas advisors managing $380M for multigenerational families join LPL
LPL Financial announced that Fifteen:22 Financial Partners, a Kansas-based team managing approximately $380 million in client assets, has joined its broker-dealer and RIA platform. This team of six managing partners brings over 120 years of combined experience, focusing on multigenerational clients with a relationship-driven and values-based investing approach. The move to LPL Financial was driven by its advanced technology, modern client-facing tools, and robust operational support, aiming to enhance client service and prepare for evolving generational expectations.
LPL Financial Welcomes Fifteen:22 Financial Partners
LPL Financial announced that Fifteen:22 Financial Partners has joined its broker-dealer and Registered Investment Advisor platform. Based in Kansas, the team comprises six managing partners with over 120 years of combined industry experience, serving approximately $380 million in assets. Fifteen:22 Financial Partners chose LPL for its advanced technology, client-facing tools, and operational support, aligning with their focus on multi-generational client relationships and personalized financial guidance.
Du Lac Wealth Services Joins Osaic from LPL Financial with $200 Million in Client Assets
Du Lac Wealth Services, a North Carolina-based advisory firm led by James Mertens, CFA, has transitioned from LPL Financial to Osaic, bringing approximately $200 million in client assets. The firm chose Osaic for its service-first culture, growth resources, and advisor-centric model, which aligns with their disciplined acquisition strategy focused on client continuity during advisor retirements.
Rep. Gilbert Ray Cisneros, Jr. Buys LPL Financial Holdings Inc. (NASDAQ:LPLA) Shares
Rep. Gilbert Ray Cisneros, Jr. (Democrat-California) recently purchased between $1,001 and $15,000 worth of LPL Financial Holdings Inc. (NASDAQ:LPLA) shares. This transaction, dated April 6th, was part of several trades made by the Representative, despite LPL Financial's stock trading below its 50-day and 200-day moving averages. The company recently reported better-than-expected quarterly earnings but slightly missed revenue forecasts, and analysts currently rate the stock as a "Moderate Buy."
Mitsubishi UFJ Asset Management Co. Ltd. Has $28.20 Million Position in LPL Financial Holdings Inc. $LPLA
Mitsubishi UFJ Asset Management Co. Ltd. increased its stake in LPL Financial Holdings Inc. by 7.1% in the fourth quarter, now holding 77,992 shares valued at approximately $28.2 million. This comes as LPL Financial reported better-than-expected earnings but slightly missed revenue estimates, and declared a quarterly dividend of $0.30 per share. Analysts currently rate the stock a Moderate Buy, with a consensus price target of $398.86.
5,261 Shares in LPL Financial Holdings Inc. $LPLA Acquired by Generali Asset Management SPA SGR
Generali Asset Management SPA SGR recently acquired 5,261 shares of LPL Financial Holdings Inc. (NASDAQ:LPLA) for approximately $1.88 million. This comes as LPL Financial reported better-than-expected Q4 earnings with $5.60 EPS, surpassing the $5.49 consensus. The company currently holds a "Moderate Buy" consensus rating from analysts, with a target price of $398.86.
LPL Financial (LPLA) director James Putnam makes charitable gift of shares
LPL Financial Holdings Inc. director James S. Putnam made a charitable gift of 100 shares of the company's common stock on May 7, 2026. This transaction, categorized as a bona fide gift with no sale proceeds, leaves Putnam with 136,568.5 shares directly owned. The gift is considered very small relative to his remaining holdings.
Swedbank AB Lowers Stock Holdings in LPL Financial Holdings Inc. $LPLA
Swedbank AB reduced its stake in LPL Financial Holdings Inc. by 9.9% in the fourth quarter of the previous year, now owning 72,487 shares valued at $25.9 million. Despite Swedbank's reduction, several other major institutions significantly increased their holdings, leading to institutional investors owning 95.66% of LPL stock. The company recently beat Q4 EPS estimates, reported strong revenue growth, and announced a quarterly dividend, while analysts maintain a "Moderate Buy" consensus rating.
LPL Welcomes Paxara Wealth Partners to Linsco
LPL Financial announced that financial advisors Conley Thornhill, CFP®, CIMA®, Doug Rathbun, and Nikki Rathbun have joined Linsco by LPL Financial to establish Paxara Wealth Partners. The team reported serving approximately $330 million in advisory, brokerage, and retirement plan assets and previously came from UBS. Based in Winter Haven, Fla., Paxara Wealth Partners serves a national client base and chose LPL for its advanced technology, independence, and extensive resources.
Analysts Have Made A Financial Statement On LPL Financial Holdings Inc.'s (NASDAQ:LPLA) First-Quarter Report
LPL Financial Holdings Inc.'s shares fell 2.8% after its first-quarter report, though revenues and EPS were in line with analyst estimates. Analysts maintained their revenue and earnings forecasts for 2026, with revenue projected to reach US$20.5 billion and EPS to US$18.92, indicating no significant change in the company's prospects. The consensus price target remained steady at US$417, suggesting the company met expectations without altering future outlooks.
Paxara Wealth Partners, a $330M Advisor Team from UBS, Joins LPL's Linsco
LPL Financial announced that the Paxara Wealth Partners team, comprising advisors Conley Thornhill, Doug Rathbun, Nikki Rathbun, and others, has launched on Linsco by LPL. This team brings approximately $330 million in advisory, brokerage, and retirement plan assets from UBS. Paxara, based in Winter Haven, Florida, chose LPL for its advanced technology, advisor independence, and broad resources to better serve its national client base.
Analysts Have Made A Financial Statement On LPL Financial Holdings Inc.'s (NASDAQ:LPLA) First-Quarter Report
LPL Financial Holdings Inc. (NASDAQ:LPLA) reported first-quarter results with revenues and EPS largely in line with analyst estimates, causing a slight dip in share price. Analysts have maintained their revenue and earnings forecasts for 2026, suggesting no significant change in the company's prospects. LPL Financial is expected to continue its historical revenue growth trends, outperforming the broader industry.
LPL Financial Holdings Inc. (NASDAQ:LPLA) Given Average Rating of "Moderate Buy" by Brokerages
LPL Financial Holdings Inc. (NASDAQ:LPLA) has received an average recommendation of "Moderate Buy" from fifteen analysts, with a mean 12-month price target of approximately $398.86. The company recently beat EPS estimates but slightly missed on revenue, while also announcing a quarterly dividend of $0.30. Insider activity included sales totaling $2.72 million from the CFO and a director, though institutional investors have generally increased their stakes.
Capital Investment Services Joins LPL Financial, Expanding Wealth Management Capabilities
Capital Investment Services, comprising Bobby Lumpkin, Cindy Little, and Allina Bell, has moved from Raymond James to LPL Financial, bringing approximately $775 million in assets. The team cited LPL's flexibility, independence, advanced technology, and cultural alignment with their client-first philosophy as key reasons for the switch. LPL Financial's Chief Growth Officer, Marc Cohen, expressed enthusiasm for the new partnership, highlighting LPL's commitment to empowering advisors for personalized client advice.
Capital Investment Services Joins LPL Financial, Expanding Wealth Management Capabilities
Capital Investment Services, comprising financial advisors Bobby Lumpkin, Cindy Little, and Allina Bell, has moved to LPL Financial's platform, bringing approximately $775 million in assets. The LaGrange, Georgia-based team, known for its client-first philosophy and strong client relationships, chose LPL for its flexibility, independence, and supportive culture. This move is expected to enhance LPL Financial's asset management capabilities and highlights Lumpkin's recognition on the Forbes Best-in-State Wealth Advisors list for three consecutive years.
Georgia advisory team with $775M leaves Raymond James for LPL
LPL Financial announced that its broker-dealer and RIA platform has been joined by advisors Bobby Lumpkin, Cindy Little, and Allina Bell of Capital Investment Services. This team, based in LaGrange, Georgia, previously with Raymond James, brings approximately $775 million in advisory, brokerage, and retirement plan assets to LPL. The move further expands LPL's advisor network and asset base, continuing a trend of recent affiliations.
Earnings Flash (LPLA) LPL Financial Holdings Inc. Reports Q1 Revenue $4.94B, vs. FactSet Est of $4.98B
LPL Financial Holdings Inc. reported its first-quarter revenue of $4.94 billion, falling short of FactSet's estimated $4.98 billion. This financial update provides key figures for investors and analysts tracking the company's performance. The broader article also mentions recent analyst ratings and other corporate news related to LPL Financial.
Earnings Flash (LPLA) LPL Financial Holdings Inc. Posts Q1 Adjusted EPS $5.60 per Share, vs. FactSet Est of $5.48
LPL Financial Holdings Inc. (LPLA) reported its Q1 adjusted EPS of $5.60 per share, surpassing the FactSet estimate of $5.48. The company's revenue for the quarter was $4.94 billion, falling short of FactSet's estimate of $4.98 billion. This report provides key financial figures for the first quarter of 2026, highlighting earnings performance against analyst expectations.
