Data / Investment advisers / South Carolina / LPL Financial LLC
LPL Financial LLC, Fort Mill, SC: $819 billion AUM, SEC registered investment adviser
LPL Financial LLC is an SEC registered investment adviser with its main office in Fort Mill, South Carolina and reports $819 billion in regulatory assets under management in its Form ADV filed October 13, 2026. Its clients include high net worth individuals, individuals and corporations and other businesses. It is paid through a percentage of assets under management, hourly charges and fixed fees.
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- Registration
- SEC registered investment adviser
- CRD number
- 6413
- SEC file number
- 801-10970
- SEC status
- Approved, effective August 25, 1975
- Main office
- 1055 LPL Way, Fort Mill, SC 29715
- Phone
- (704) 733-3300
- Website
- lpl.com
- Regulatory AUM
- $819,117,829,825 in the Form ADV filed October 13, 2026
- Discretionary AUM
- $818,319,955,349
- Non discretionary AUM
- $797,874,476
- Accounts
- 2,850,994
- Employees
- 41,879, of which 36,280 give investment advice
- Form of organization
- Limited Liability Company
- Paid through
- a percentage of assets under management, hourly charges, fixed fees
- Other offices
- 20,864
- Form ADV Item 11 disclosures
- Reported: SEC or CFTC regulatory actions, other federal, state or foreign regulatory actions, self-regulatory organization actions
- Latest Form ADV filing
- October 13, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 671,511 | $552.71 billion |
| Individuals (other than high net worth individuals) | 1,291,397 | $231.45 billion |
| Corporations or other businesses | 8,528 | $14.06 billion |
| Pension and profit sharing plans | 10,450 | $13.29 billion |
| Charitable organizations | 5,086 | $7.59 billion |
| State or municipal government entities | 5 | $8.9 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| April 1, 2026 | $819.12 billion | March 31, 2026 |
| December 1, 2025 | $618.92 billion | November 20, 2025 |
Other advisers in South Carolina
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Greystar Investment Group, LLC | Charleston | $36.50 billion | 51 | adviserinfo.sec.gov |
| LPL Enterprise, LLC | Fort Mill | $24.94 billion | Not listed | adviserinfo.sec.gov |
| Apollon Wealth Management, LLC | Mount Pleasant | $11.56 billion | 4 | adviserinfo.sec.gov |
| Southstate Private Capital Management LLC | Columbia | $4.96 billion | Not listed | adviserinfo.sec.gov |
| Performa Limited (US), LLC | Charleston | $4.49 billion | 2 | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in South Carolina
- Advisers with Over $100 billion in AUM
- Advisers serving high net worth individuals
- Advisers serving individuals
- LPL Financial LLC on the SEC's adviser search
Updated November 7, 2026. Read from the SEC's Form ADV data files for investment advisers. Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.