LPL Financial Holdings Inc. (LPLA)
$370.69+$9.47 (+2.62%) Today
Matthew J. Audette - OfficerLPL Financial is the largest US independent broker/dealer, with more than 32,000 financial advisors, roughly 11 million customer accounts, and roughly $2.4 trillion in client assets under management or advisory affiliated with its platform at the end of 2025. The firm earns the bulk of its profit from interest income earned on client cash balances and from advisory fees, commissions, and asset-based fees. LPL specializes in providing turnkey wealth management services for affiliated independent advisors, but maintains a diverse array of affiliation modalities, running the gamut from more traditional employee models to a pure RIA custody approach. It earns tuck-in revenue from recordkeeping fees and the provision of software tools and services to its advisor base.
| Form 4 transaction type | Transactions | Shares | Total value |
|---|---|---|---|
| Open-market sale | 7 | 5,427 | $1.91M |
| Grant or award | 7 | 63 | |
| Option exercise | 2 | 14,378 | |
| Tax withholding / forfeiture | 2 | 276 | |
| Bona-fide gift | 1 | 2,000 |
Dollar totals are shown for open-market purchases and sales only. Grants, option exercises, gifts and tax withholding are reported by share count because they are not trades at a market price.
85 Form 4 filings on record, the earliest from Dec 4, 2024, newest first. Filing history page 2 of 3.
| Date | Insider | Transaction | Security | Shares | Price | Value |
|---|---|---|---|---|---|---|
 Paulett Eberhart - Director | Grant or award | Common Stock | 5 | $0.00 | - | |
 Edward C. Bernard - Director | Grant or award | Common Stock | 4 | $0.00 | - | |
 Marc Eliot Cohen - Officer | Option exercise | Common Stock | 2,212 | $77.53 | $171K | |
| Marc Eliot Cohen - Officer | Open-market sale | Common Stock | 2,212 | $308.75 | $683K | |
| Marc Eliot Cohen - Officer | Open-market sale | Common Stock | 1,088 | $309.72 | $337K | |
| Marc Eliot Cohen - Officer | Option exercise | Stock Option (Right to Buy) | 2,212 | $0.00 | - | |
| Aneri Jambusaria - Officer | Open-market sale | Common Stock | 308 | $306.00 | $94K | |
| Richard Steinmeier - Officer | Tax withholding / forfeiture | Common Stock | 2,619 | $318.47 | $834K | |
| Richard Steinmeier - Officer | Grant or award | Common Stock | 2,255 | $0.00 | - | |
| Richard Steinmeier - Officer | Grant or award | Common Stock | 10,526 | $0.00 | - | |
 Katharine Reeping - Officer | Tax withholding / forfeiture | Common Stock | 212 | $318.47 | $68K | |
| Katharine Reeping - Officer | Grant or award | Common Stock | 81 | $0.00 | - | |
| Katharine Reeping - Officer | Grant or award | Common Stock | 373 | $0.00 | - | |
 Matthew Morningstar - Officer | Grant or award | Common Stock | 1,122 | $0.00 | - | |
| Aneri Jambusaria - Officer | Tax withholding / forfeiture | Common Stock | 715 | $318.47 | $228K | |
| Aneri Jambusaria - Officer | Grant or award | Common Stock | 942 | $0.00 | - | |
| Aneri Jambusaria - Officer | Grant or award | Common Stock | 1,302 | $0.00 | - | |
| Greg Gates - Officer | Tax withholding / forfeiture | Common Stock | 1,293 | $318.47 | $412K | |
| Greg Gates - Officer | Grant or award | Common Stock | 1,856 | $0.00 | - | |
| Greg Gates - Officer | Grant or award | Common Stock | 2,774 | $0.00 | - | |
| Greg Gates - Officer | Grant or award | Common Stock | 2,807 | $0.00 | - | |
| Emily Field - Officer | Grant or award | Common Stock | 1,122 | $0.00 | - | |
| Matthew Enyedi - Officer | Tax withholding / forfeiture | Common Stock | 1,333 | $318.47 | $425K | |
| Matthew Enyedi - Officer | Grant or award | Common Stock | 1,799 | $0.00 | - | |
| Matthew Enyedi - Officer | Grant or award | Common Stock | 2,176 | $0.00 | - | |
| Matthew Enyedi - Officer | Open-market sale | Common Stock | 463 | $318.38 | $147K | |
| Matthew Enyedi - Officer | Open-market sale | Common Stock | 628 | $319.38 | $201K | |
| Matthew Enyedi - Officer | Open-market sale | Common Stock | 666 | $320.99 | $214K | |
| Matthew Enyedi - Officer | Open-market sale | Common Stock | 169 | $321.74 | $54K | |
| Matthew Enyedi - Officer | Open-market sale | Common Stock | 183 | $322.72 | $59K | |
| Marc Eliot Cohen - Officer | Tax withholding / forfeiture | Common Stock | 483 | $318.47 | $154K | |
| Marc Eliot Cohen - Officer | Grant or award | Common Stock | 537 | $0.00 | - | |
| Marc Eliot Cohen - Officer | Grant or award | Common Stock | 1,403 | $0.00 | - | |
| Matthew J. Audette - Officer | Tax withholding / forfeiture | Common Stock | 2,351 | $318.47 | $749K | |
| Matthew J. Audette - Officer | Grant or award | Common Stock | 2,152 | $0.00 | - | |
| Matthew J. Audette - Officer | Grant or award | Common Stock | 6,624 | $0.00 | - | |
| Matthew J. Audette - Officer | Open-market sale | Common Stock | 348 | $318.51 | $111K | |
| Matthew J. Audette - Officer | Open-market sale | Common Stock | 274 | $319.32 | $87K | |
| Matthew J. Audette - Officer | Open-market sale | Common Stock | 506 | $321.04 | $162K | |
| Matthew J. Audette - Officer | Open-market sale | Common Stock | 453 | $322.15 | $146K | |
| Somesh Khanna - Director | Grant or award | Common Stock | 139 | $0.00 | - | |
 Corey E. Thomas - Director | Grant or award | Common Stock | 4 | $0.00 | - | |
| Paulett Eberhart - Director | Grant or award | Common Stock | 4 | $0.00 | - | |
| Edward C. Bernard - Director | Grant or award | Common Stock | 3 | $0.00 | - | |
 Richard P. Schifter - Director | Grant or award | Common Stock | 14 | $0.00 | - | |
 William Francis Glavin Jr. - Director | Grant or award | Common Stock | 10 | $0.00 | - | |
| Aneri Jambusaria - Officer | Open-market sale | Common Stock | 80 | $352.48 | $28K | |
 Allison Mnookin - Director | Grant or award | Common Stock | 2 | $0.00 | - | |
| James S. Putnam - Director | Grant or award | Common Stock | 7 | $0.00 | - | |
| Greg Gates - Officer | Open-market sale | Common Stock | 205 | $374.00 | $77K | |
| Greg Gates - Officer | Open-market sale | Common Stock | 230 | $374.86 | $86K | |
| Greg Gates - Officer | Open-market sale | Common Stock | 267 | $375.80 | $100K | |
| Greg Gates - Officer | Open-market sale | Common Stock | 293 | $377.01 | $110K | |
| Greg Gates - Officer | Open-market sale | Common Stock | 234 | $378.24 | $89K | |
| Greg Gates - Officer | Open-market sale | Common Stock | 169 | $379.58 | $64K | |
| Greg Gates - Officer | Open-market sale | Common Stock | 39 | $380.12 | $15K | |
| Greg Gates - Officer | Open-market sale | Common Stock | 63 | $372.62 | $23K | |
| Greg Gates - Officer | Open-market sale | Common Stock | 141 | $312.15 | $44K | |
| Greg Gates - Officer | Open-market sale | Common Stock | 266 | $313.20 | $83K | |
| Greg Gates - Officer | Open-market sale | Common Stock | 109 | $314.04 | $34K | |
| Greg Gates - Officer | Open-market sale | Common Stock | 132 | $315.09 | $42K | |
| Greg Gates - Officer | Open-market sale | Common Stock | 102 | $320.27 | $33K | |
| Katharine Reeping - Officer | Tax withholding / forfeiture | Common Stock | 56 | $339.97 | $19K | |
| Greg Gates - Officer | Open-market sale | Common Stock | 91 | $329.17 | $30K | |
| Greg Gates - Officer | Open-market sale | Common Stock | 11 | $330.12 | $4K | |
| Greg Gates - Officer | Open-market sale | Common Stock | 79 | $331.83 | $26K | |
| Greg Gates - Officer | Open-market sale | Common Stock | 326 | $332.90 | $109K | |
| Greg Gates - Officer | Open-market sale | Common Stock | 28 | $334.53 | $9K | |
| Greg Gates - Officer | Open-market sale | Common Stock | 72 | $335.84 | $24K | |
| Greg Gates - Officer | Open-market sale | Common Stock | 128 | $337.13 | $43K | |
| Greg Gates - Officer | Open-market sale | Common Stock | 25 | $337.58 | $8K | |
| Greg Gates - Officer | Open-market sale | Common Stock | 121 | $340.01 | $41K | |
| Greg Gates - Officer | Open-market sale | Common Stock | 190 | $340.83 | $65K | |
| Greg Gates - Officer | Open-market sale | Common Stock | 79 | $341.89 | $27K | |
| Greg Gates - Officer | Open-market sale | Common Stock | 47 | $342.88 | $16K | |
| Greg Gates - Officer | Open-market sale | Common Stock | 150 | $343.98 | $52K | |
| Greg Gates - Officer | Open-market sale | Common Stock | 3 | $344.67 | $1K | |
| Greg Gates - Officer | Open-market sale | Common Stock | 1 | $345.44 | $345 | |
| Greg Gates - Officer | Open-market sale | Common Stock | 106 | $347.46 | $37K | |
| Greg Gates - Officer | Open-market sale | Common Stock | 11 | $348.04 | $4K | |
| Greg Gates - Officer | Open-market sale | Common Stock | 32 | $349.60 | $11K | |
| Emily Field - Officer | Grant or award | Common Stock | 817 | $0.00 | - | |
| Aneri Jambusaria - Officer | Open-market sale | Common Stock | 80 | $361.25 | $29K | |
| Richard P. Schifter - Director | Grant or award | Common Stock | 14 | $0.00 | - | |
| Allison Mnookin - Director | Grant or award | Common Stock | 2 | $0.00 | - |
A Form 144 is notice of an INTENDED sale, not a completed one. It often precedes the Form 4 that reports the trade actually happening.
| Filed | Filer | Relationship | Shares | Market value | Notice |
|---|---|---|---|---|---|
| Jambusaria Aneri | Officer | 308 | $110K | View on EDGAR | |
| Gates Greg | Officer | 4,119 | $1.46M | View on EDGAR | |
| - | - | - | - | View on EDGAR |
LPL Financial Holdings Inc. (LPLA) had 13 insider filings in the last 90 days, with the most recent on 2026-08-21. The full record for LPLA runs to 85 Form 4 filings, the earliest from 2024-12-04. InsiderAlpha tracks every Form 4, Form 144, and 8-K filing in real time.
No insider purchases of LPLA were filed in the last 90 days.
7 insider sales of LPLA were filed in the last 90 days, totaling $1.91M.
This page tracks LPLA Form 4 insider transactions, Form 144 sale notices, and 8-K material event disclosures in one timeline. Annual 10-K and quarterly 10-Q reports live on the company's SEC EDGAR page.
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Every Form 4 below links to the original document on SEC EDGAR, so the numbers on this page can be checked against the filing they came from.
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