LPL Financial LLC

Broker-DealerFINRA MemberEst. 1975
Total AUM
$819B
Discretionary
$818B
100% of AUM
Accounts
2,850,994
Employees
41,879
Advisory reps
33,281
Brokerage reps
32,010

Firm details

Headquarters
Fort Mill, South Carolina
CRD number
6413
Registered since
August 25, 1975
Website
www.lpl.com
Fee structure
Percentage of AUM, Hourly Charges, Fixed Fees
Client types
  • HNWI67.48%
  • Individuals28.26%
  • Corporations / Businesses1.72%
  • Pension & Profit Sharing Plans1.62%
  • Charitable Organizations0.93%
Services
Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsEducational Seminars / Workshops

Firm profile

FINTRX

Overview

LPL Financial LLC operates as a large independent broker-dealer and qualified custodian with a broad advisory platform serving individuals, families, small businesses and institutions. Organized as an LLC and SEC-registered since 1975, LPL combines brokerage services and financial product distribution with fee-based advisory work including financial planning, portfolio management and educational seminars. The firm identifies as an active ESG investor and offers a mix of fee structures (percentage of AUM, hourly and fixed fees) alongside traditional brokerage and annuity distribution channels. LPL was recognized on Barron’s Top 100 RIA Firms list in 2025.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Public Funds/Mutual Funds 77%, Exchange Traded Equities 16%, Cash & Cash Equivalents 3%, US Government Bonds 1%, Non-Investment Grade Corp Bonds 1%, Private Funds 1%, Other 1%77%
  • Public Funds/Mutual Funds77%
  • Exchange Traded Equities16%
  • Cash & Cash Equivalents3%
  • US Government Bonds1%
  • Non-Investment Grade Corp Bonds1%

Owners & executives

3 of 931
  • Ali Mozaffar

    Ali Mozaffar

    CEO & Chief Investment OfficerCRD 5647523

  • Wilburn Hudson

    Wilburn Hudson

    Chief Executive OfficerCRD 5664011

  • Justin Burgess

    Justin Burgess

    Partner, CIOCRD 5699444

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Contacts

3 of 32349
  • Fredrick Alexander

    Fredrick Alexander

    Wealth AdvisorCRD 5639065

  • William Wang

    Registered RepresentativeCRD 5639571

  • Jeffrey Campbell

    Jeffrey Campbell

    Wealth Advisor, Co-FounderCRD 5639606

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Wealth teams

FINTRX

Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

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ETF holdings

1 of 5,413

Active vs passive

$837B in ETFs

Passive

73%

$607B

Active

20%

$230B

ETFProviderStyleCategoryValueShares% of portfolio
ISHARES CORE S&P 500 ETF (IVV)BlackRockPassiveLarge Blend$11.1B14,782,6091.32%
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Location

Primary office

Fort Mill, SC

York

Location

Fort Mill, SC

Headquartered in Fort Mill, SC, anchoring the Charlotte-Concord, NC-SC metro in the South.

Metro area
Charlotte-Concord, NC-SC
Region
South
County
York
Address
1055 Lpl Way
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth