| 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: to result in assets per advisor growing over time. Business services and planning and advice services are a source of … |
| 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… |
| MTB-PH |
MTB-PH |
72%
|
Reciprocal relationship from MTB-PH graph: Reciprocal relationship from LPLA graph: Reciprocal relationship from MTB-PH graph: Reciprocal relationship from LPLA graph: Reciprocal relationship from MT… |
| 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-FINANCIAL-LLC |
LPL-FINANCIAL-LLC |
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… |
| LPL-FINANCIAL-LPL-ENTERPRISE-THE-PRIVATE-TRUST-C |
LPL-FINANCIAL-LPL-ENTERPRISE-THE-PRIVATE-TRUST-C |
62%
|
riginating from trading or clearing operations as well as any exchange membership fees. These fees fluctuate largely in line with the volume of sales and trading activity. Brokerage, clearing and exc… |
| 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 … |
