| MTB |
M&T Bank Corporation |
72%
|
to result in assets per advisor growing over time. Business services and planning and advice services are a source of organic growth as a larger share of advisors adopts these service solutions. Attr… |
| MTB |
M&T Bank Corporation |
72%
|
Reciprocal relationship from MTB graph: Reciprocal relationship from LPLA graph: Reciprocal relationship from MTB graph: Reciprocal relationship from LPLA graph: to result in assets per advisor growi… |
| MTB-PH |
MTB-PH |
72%
|
Reciprocal relationship from MTB-PH graph: Reciprocal relationship from LPLA graph: to result in assets per advisor growing over time. Business services and planning and advice services are a source … |
| MTB-PH |
MTB-PH |
72%
|
to result in assets per advisor growing over time. Business services and planning and advice services are a source of organic growth as a larger share of advisors adopts these service solutions. Attr… |
| PRU |
Prudential Financial, Inc. |
72%
|
Reciprocal relationship from PRU graph: Reciprocal relationship from LPLA graph: Reciprocal relationship from PRU graph: Reciprocal relationship from LPLA graph: Reciprocal relationship from PRU grap… |
| PRU |
Prudential Financial, Inc. |
72%
|
effectively; • whether retail investors served by newly-recruited advisors choose to move their respective assets to new accounts at the Company; ii Table of Contents • difficulties and delays in onb… |
| ATRIA-WEALTH-SOLUTIONS-INC |
ATRIA-WEALTH-SOLUTIONS-INC |
62%
|
duct shelf introducing broker-dealer and registered investment advisor that supports a portion of the Company’s institutional businesses, providing brokerage and investment advisory services to the c… |
| AW-SUBSIDIARY-INC |
AW-SUBSIDIARY-INC |
62%
|
he conversion of assets from these acquired broker-dealers and investment advisors in 2025. • AW Subsidiary, Inc. is a holding company for AdvisoryWorld and Blaze Portfolio Systems LLC (“Blaze”). Adv… |
| BANK-HOLDING-COMPANY |
BANK-HOLDING-COMPANY |
62%
|
nstitute proceedings and impose sanctions for violations of the Advisers Act and associated regulations. Investment advisers also are subject to certain state securities laws and regulations. Failure… |
| BLAZE-PORTFOLIO-SYSTEMS-LLC |
BLAZE-PORTFOLIO-SYSTEMS-LLC |
62%
|
he conversion of assets from these acquired broker-dealers and investment advisors in 2025. • AW Subsidiary, Inc. is a holding company for AdvisoryWorld and Blaze Portfolio Systems LLC (“Blaze”). Adv… |
| FLORIDA-LLC |
FLORIDA-LLC |
62%
|
ing trading and portfolio rebalancing platform. • The Private Trust Company, N.A. (“PTC”) provides trust administration, investment management oversight and Individual Retirement Account (“IRA”) cust… |
| LPL-ENTERPRISE-LLC |
LPL-ENTERPRISE-LLC |
62%
|
sy for advisors to do what is best for their clients. We believe that we are the only company that offers the unique combination of an integrated technology platform, comprehensive self-clearing serv… |
| LPL-HOLDINGS-INC |
LPL-HOLDINGS-INC |
62%
|
on our uncommitted lines of credit at LPL Financial or one of our revolving credit facilities. Our broker-dealer subsidiaries are subject to the SEC’s Uniform Net Capital Rule (Rule 15c3-1 under the … |
| LPL-INSURANCE-ASSOCIATES-INC |
LPL-INSURANCE-ASSOCIATES-INC |
62%
|
duct shelf introducing broker-dealer and registered investment advisor that supports a portion of the Company’s institutional businesses, providing brokerage and investment advisory services to the c… |
| OBLIGOR-GROUP |
OBLIGOR-GROUP |
62%
|
on our uncommitted lines of credit at LPL Financial or one of our revolving credit facilities. Our broker-dealer subsidiaries are subject to the SEC’s Uniform Net Capital Rule (Rule 15c3-1 under the … |
| PARENT-COMPANY-LIQUIDITY-LPL-HOLDINGS-INC |
PARENT-COMPANY-LIQUIDITY-LPL-HOLDINGS-INC |
62%
|
et within the notes to the consolidated financial statements for further detail. Brokerage, Clearing and Exchange Brokerage, clearing and exchange expense includes expenses originating from trading o… |
| PL-HOLDINGS-INC |
PL-HOLDINGS-INC |
62%
|
PL Holdings, Inc. (“LPLH” or “Parent”) is an intermediate holding company and directly or indirectly owns 100 % of the issued and outstanding common equity interests of all of LPLFH’s indirect subsid… |
| PTC-FIDUCIARY-TRUST-COMPANY |
PTC-FIDUCIARY-TRUST-COMPANY |
62%
|
nstitute proceedings and impose sanctions for violations of the Advisers Act and associated regulations. Investment advisers also are subject to certain state securities laws and regulations. Failure… |
| PTC-HOLDINGS-INC |
PTC-HOLDINGS-INC |
62%
|
nstitute proceedings and impose sanctions for violations of the Advisers Act and associated regulations. Investment advisers also are subject to certain state securities laws and regulations. Failure… |
| PTC-PTC-HOLDINGS-INC |
PTC-PTC-HOLDINGS-INC |
62%
|
nstitute proceedings and impose sanctions for violations of the Advisers Act and associated regulations. Investment advisers also are subject to certain state securities laws and regulations. Failure… |
| REFINITIV-US-LLC |
REFINITIV-US-LLC |
62%
|
ant reputational harm and could have a material adverse effect on our ability to recruit or retain financial advisors or institutions, or our results of operations, cash flows or financial condition.… |
| SECURITIES-INVESTOR-PROTECTION-CORPORATION |
SECURITIES-INVESTOR-PROTECTION-CORPORATION |
62%
|
our Credit Agreement are not restricted by that agreement. To the extent new debt or other obligations are added to our currently anticipated debt levels, the substantial indebtedness risks described… |
| SUPPLEMENTAL-GUARANTOR-FINANCIAL-INFORMATION-LPL |
SUPPLEMENTAL-GUARANTOR-FINANCIAL-INFORMATION-LPL |
62%
|
awn on our uncommitted lines of credit at LPL Financial or one of our revolving credit facilities. Our broker-dealer subsidiaries are subject to the SEC’s Uniform Net Capital Rule (Rule 15c3-1 under … |
