UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34963 LPL Financial Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 20-3717839 (State or other jur ...

财务数据和关键指标变化 - 总资产增加至1.2万亿美元,主要得益于持续的有机增长和股市上涨 [11] - 第二季度有机净新资产为220亿美元,年化增长率为7.4%,调整季节性因素后约为8% [12] - 过去12个月有机净新资产为840亿美元,年化增长率约为8% [12] 各条业务线数据和关键指标变化 - 第二季度招募资产为190亿美元,创历史新高(不包括大型企业接入期间) [12][19] - 传统独立市场的招募资产达到创纪录的约140亿美元,新的加盟模式也贡献了约40亿美元 [19][20] - 资产留存率在第二季度和过去12个月均保持在约99%的高水平 [14] 各个市场数据和关键指标变化 - 公司正在积极拓展银行和信贷联盟等传统企业市场,并取得良好进展 [22] - 公司最近接入了Bank of the West,并计划在8月接入Commerce Bank [22] - 公司在企业市场的整体势头良好,管线也在不断增强 [22] 公司战略和发展方向及行业竞争 - 公司的长期愿景是成为顾问中介市场的领导者,通过提供差异化的能力和解决方案来帮助顾问和企业 [15][16] - 公司正在通过"水平扩张"和"垂直整合"两大策略来实现这一愿景 [17] - 水平扩张包括增加顾问和企业的加盟模式,以覆盖整个300,000名顾问的市场 [17][18][19][20] - 垂直整合包括提供更全面的能力和解决方案,帮助顾问提升业务表现和运营效率 [23][25][26][27][28][29] 管理层对经营环境和未来前景的评论 - 公司对未来保持乐观,认为有机增长势头良好,并将持续保持 [30] - 公司将继续投资于顾问价值主张,以帮助顾问在市场上进一步差异化和获胜 [30] 问答环节重要的提问和回答 问题1 **Alex Blostein 提问** 询问公司在各种加盟模式下的有机增长情况,以及对未来增长的预期 [57][58][59][60][61][62][63] **Dan Arnold 回答** - 第二季度有机增长约为8%,未来几个季度有望保持这一水平 - 传统独立市场和新加盟模式都表现出良好的招募势头和低流失率 - 公司对未来几个季度的有机增长保持乐观 [58][59][60][61][62][63] 问题2 **Matthew Audette 回答** - 公司目标维持在50%-75%的固定利率存款占比区间,目前处于60%的中间水平 [64][65] - 7月份客户现金余额有所下降,但降幅较前几个月大幅放缓 [67] - 7月份有机增长率预计在6%-6.5%左右,加上Bank of the West的接入,整体有机增长率将达到11% [70] 问题3 **Devin Ryan 提问** 询问公司在企业客户市场的竞争优势和发展情况 [76][77][78][79][80][81] **Dan Arnold 回答** - 随着公司为企业客户提供的解决方案产生积极成果,企业客户的对话重点已从产品能力转向如何帮助他们实现业务增长 - 公司简化了大型企业的接入流程,这进一步提升了模式的吸引力 - 公司在企业客户市场的管线不断增强,未来将是公司有机增长的重要贡献者 [77][78][79][80][81]

╗LPL Financial LPL FINANCIAL HOLDINGS INC. Q2 2023 INVESTOR PRESENTATION July 27, 2023 LPL Financial Member FINRA/SIPC 1 LPL Financial Member FINRA/SIPC Notice to Investors: Safe Harbor Statement Statements in this presentation regarding LPL Financial Holdings Inc.'s (together with its subsidiaries, the "Company") future financial and operating results, growth, priorities, business strategies, capabilities, and outlook, including forecasts and statements relating to the Company's future advisory and brokera ...

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34963 LPL Financial Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 20-3717839 (State or other ju ...

LPL Financial Holdings Inc. (NASDAQ:LPLA) Q1 2023 Earnings Conference Call April 27, 2023 5:00 PM ET Company Participants Dan Arnold - CEO Matthew Audette - CFO Conference Call Participants Steven Chubak - Wolfe Research Alexander Blostein - Goldman Sachs Jeff Schmitt - William Blair Kyle Voigt - KBW Michael Cyprus - Morgan Stanley Brennan Hawken - UBS Craig Siegenthaler - Bank of America Michael Cho - JPMorgan Bill Katz - Credit Suisse Operator Good afternoon, and thank you for joining the First Quarter 20 ...

| --- | --- | --- | --- | |-------|----------------|------------------------------|-----------------------------------------------------------------------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | LPL FINANCIAL HOLDINGS INC. | | | | April 27, 2023 | Q1 2023 EARNINGS KEY METRICS | | | | | | | | | | | LPL Financial Member FINRA/SIPC 1 LPL Financial Member FINRA/SIPC | Notice to Investors: Safe Harbor Statement Statements in this presentation regarding LPL Financial Holdings Inc.'s (together wit ...

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-34963 LPL Financial Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 20-3717839 (State or other jurisdiction of inc ...

LPL Financial Holdings Inc. (NASDAQ:LPLA) Q4 2022 Results Conference Call February 2, 2023 5:00 PM ET Company Participants Dan Arnold - CEO Matthew Audette - CFO Conference Call Participants Alexander Blostein - Goldman Sachs Steven Chubak - Wolfe Research Devin Ryan - JMP Securities Kyle Voigt - KBW Jeff Schmitt - William Blair Gerry O'Hara - Jefferies Operator Good afternoon, and thank you for joining the Fourth Quarter 2022 Earnings Conference Call for LPL Financial Holdings Inc. Joining the call today a ...