LPL FINANCIAL
313 known aliases resolved via the canonical alias map
Market position · 2024
Plans served1,477-69 YoYRank #19 of mapped providers
Assets under administration$96.2B0.1%Market share · rank #140
Fees received$47MMedian $24,419/planSum across Schedule C direct + indirect
Net wins YoY-62316 won · 378 lostPlan-level switch detection
Plans served · 5-year trajectory
Market-share plans percent annotated. Bar height is raw plan count.
Customer-base shape
What does a typical LPL FINANCIAL plan look like?
Service mix · median fees per plan
Count of plans where LPL FINANCIAL ships each service code, and the median compensation they report under it.
| Service | Plans | Median fees | Distribution |
|---|---|---|---|
Shareholder servicing fees; Investment advisory (plan); Sub-transfer agency fees; Securities brokerage; Distribution (12b-1) feesCode 27 | 764 | $26,317 | |
Other services; Investment advisory (participants); Investment advisory (plan); Other insurance fees and expenses; Investment management fees paid indirectly by plan; Insurance brokerage commissions and fees; Other investment fees and expensesCode 26 | 175 | $23,606 | |
Other fees; Other commissionsCode 55 | 136 | $23,375 | |
Other services; Other feesCode 49 | 101 | $12,609 | |
Trustee (bank, trust company, or similar financial institution); Recordkeeping fees; Other fees; Direct payment from the plan; Recordkeeping and information management (computing, tabulating, data processing, etc.); Other servicesCode 15 | 87 | $22,723 | |
Other feesCode 99 | 55 | $15,153 | |
Other fees; Consulting (general)Code 16 | 53 | $30,561 | |
Shareholder servicing fees; Investment managementCode 28 | 39 | $18,939 |
Competitor overlap
Percent of LPL FINANCIAL's plans that also list each competitor on Schedule C. High numbers = co-living partners; low numbers = direct displacement targets.
Plans won in 2024
Appeared this year; did not appear last year under LPL FINANCIAL.
| Sponsor | From | Assets |
|---|---|---|
UNITED AIRLINES, INC.IL · 742099724-202 | BRINKER CAPITAL | $16.8B |
BARNES & THORNBURG LLPIN · 350900596-002 | COLUMN CAPITAL ADVISORS LLC | $754M |
MODERN TECHNOLOGY SOLUTIONS INCVA · 541670018-001 | LINCOLN NATIONAL CORPORATION | $402M |
FIRSTCASH HOLDINGS, INC.TX · 873920732-001 | ROGERS WEALTH GROUP, INC. | $212M |
BGE, INC.TX · 741817951-001 | JPMORGAN INVEST HOLDINGS LLC | $166M |
SUNTEC CONCRETE, INC.AZ · 860864047-001 | LINCOLN NATIONAL CORPORATION | $156M |
THE FINWAY GROUPIA · 421468222-010 | (new plan) | $146M |
YOUNG CONAWAY STARGATT & TAYLOR, LLPDE · 510082644-001 | FISHER INVESTMENTS | $131M |
SYRACUSE ORTHOPEDIC SPECIALISTS, PCNY · 160992982-004 | FIDELITY INVESTMENTS INSTITUTIONAL | $107M |
PLAN FIDUCIARY SERVICES, INC.FL · 273523833-004 | CAMBRIDGE INVESTMENT RESEARCH | $97M |
Plans lost in 2024
Appeared last year under LPL FINANCIAL; not this year.
| Sponsor | To | Assets |
|---|---|---|
GLOBALFOUNDRIES U.S. INC.CA · 263122131-001 | MOSS ADAMS LLP | $1.1B |
POLARIS INDUSTRIES INC.MN · 411857431-001 | ERNST & YOUNG LLP | $1.0B |
VF CORPORATIONNC · 231180120-002 | FIDELITY INVESTMENTS INSTITUTIONAL | $987M |
PACTIV EVERGREEN SERVICES INC.IL · 270147082-004 | FIDELITY INVESTMENTS INSTITUTIONAL | $981M |
KNIGHT-SWIFT TRANSPORTATION HOLDINGS INC.AZ · 205589597-003 | LBMC, PC | $789M |
REYNOLDS CONSUMER PRODUCTS LLCIL · 770710443-010 | MMA SECURITIES LLC | $557M |
GLACIER BANCORP, INC.MT · 810519541-002 | CAPFINANCIAL PARTNERS LLC | $485M |
GRAHAM PACKAGING COMPANY, L.P.PA · 232786688-011 | MMA SECURITIES LLC | $419M |
IDEMIA IDENTITY AND SECURITYVA · 043320515-001 | T ROWE PRICE RPS INC | $379M |
ITG BRANDS, LLCNC · 942994213-001 | FINANCIAL ENGINES | $368M |
Top plans by assets
Searchable full list lands with the commercial layer.
| Plan | Assets | Participants | Fees | Tenure | Flags |
|---|---|---|---|---|---|
UNITED AIRLINES, INC.IL · 742099724-202 | $16.8B | 20,168 | $59,094 | 9y | 1 |
THE CLEVELAND CLINIC FOUNDATIONOH · 340714585-002 | $9.2B | 86,817 | $27,083 | 9y | 1 |
SOUTHERN CALIFORNIA PERMANENTE MEDICAL GROUPCA · 951750445-008 | $7.9B | 12,335 | $16,577 | 2y | 1 |
CHS/COMMUNITY HEALTH SYSTEMS, INCTN · 760137985-004 | $4.8B | 88,285 | $196,731 | 8y | 2 |
BVH, INC.KS · 471888435-002 | $3.0B | 10,517 | $9,340 | 1y | 1 |
SAVANNAH RIVER NUCLEAR SOLUTIONS, LLCSC · 320255508-334 | $2.8B | 12,923 | $10,046 | 2y | 1 |
TATA AMERICA INTERNATIONAL CORPORATIONNJ · 132805758-001 | $2.4B | 60,401 | $389,997 | 6y | 1 |
PAYCHEX RETIREMENT LLCNY · 853275179-001 | $1.8B | 661,036 | $60,385 | 3y | 2 |
WASHINGTON PERMANENTE MEDICAL GROUP, P.C.WA · 911841629-001 | $1.5B | 2,378 | $33,642 | 7y | 1 |
COMFORT SYSTEMS USA, INC.TX · 760526487-001 | $1.1B | 22,732 | $18,000 | 6y | 2 |
Flag exposure
82.5%Market: 89.2%
This provider
Market baseline
Share of this provider's plans tripping any deterministic red flag this year. Lower than market baseline = better risk surface.
Aliases resolved (313)
Raw Schedule C names collapsed into LPL FINANCIAL.
- AMEGY FINANCIAL INVESTMENTS, INC
- ASSET MANAGEMENT - IPA LPL
- ASSET MANAGEMENT IPA LPL
- ASSET MANAGEMENT-IPA LPL
- ASSET MANAGEMENT-IPA, LPL
- BRAND,/LPL
- BROWN,/LPL
- CLEARPOINT FINANCIAL
- COMMUNITY INV. SVCS/LPL FINANCIAL
- COMPASS/LPL FINANCIAL
- CORVIS CAPITAL LLC-LPL FINANCIAL
- FAIM FBO CLEARPOINT FINANCIAL
- FINANCIAL ADVOCATES ADVISORY SERVIC
- FINANCIAL ADVOCATES INV MGMT
- FINANCIAL ADVOCATES INV MGMT LLC
- FINANCIAL ADVOCATES INVEST
- FINANCIAL ADVOCATES INVEST MANAGE
- FINANCIAL ADVOCATES INVEST MGMT
- FINANCIAL ADVOCATES INVEST MGMT LLC
- FINANCIAL ADVOCATES INVEST. MGMT
- FINANCIAL ADVOCATES INVESTMENT
- FINANCIAL ADVOCATES INVESTMENT ,
- FINANCIAL ADVOCATES INVESTMENT MAN
- FINANCIAL ADVOCATES INVESTMENT MAN.
- FINANCIAL ADVOCATES INVESTMENT MANA
Book composition by plan size
Bars stack to total plans served; segments use the same asset cutoffs as the /retirement size filter. Up-and-to-the-right on the bigger segments = moving up-market.
Under $5M$5-50M$50-250M$250M-1B$1B+
Compliance posture vs market
Per-flag share for LPL FINANCIAL's book against the same flag's overall prevalence across all filings. Negative delta = under-indexed (cleaner book); positive = elevated risk surface.
| Flag | Plans flagged | Provider % | Market % | Delta |
|---|---|---|---|---|
| Recently terminated | 37 | 2.51% | 7.76% | -5.26 pp |
| Fidelity bond gap | 63 | 4.27% | 26.94% | -22.68 pp |
| Late contributions | 354 | 23.97% | 1.71% | +22.25 pp |
| Failed to provide benefit | 14 | 0.95% | 0.14% | +0.81 pp |
| Corrective distributions | 347 | 23.49% | 1.76% | +21.73 pp |
| Loss discovered | 0 | 0.00% | 0.00% | -0.00 pp |
New-plan formation share
Share of plans filing for the first time each year that landed with LPL FINANCIAL. Compare to the incumbent market share (2.2%) - higher = winning new business, lower = coasting on existing relationships.
0.0%-2.2 pp vs incumbent
Geographic penetration index
(Provider plans in state / state plans) divided by the provider's overall share of the market. Index 1.00 = average; > 1 = over-indexed (winning more than their fair share); < 1 = under-indexed (white space).