LPL FINANCIAL LLC · Tank Allocator Loader

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LPL FINANCIAL LLC

UUIDccdedd40-8afc-53e5-a252-c557c634888d

TypeASSET_MANAGER

Status—

Created2025-10-23 02:23:48

Updated2025-10-23 02:24:38

Available Loaders

SEC Form ADV (XLSX Metrics)

Loads advanced metrics from the monthly IAPD XLSX exports (RAUM breakdown, client mix, service flags) into the adv_metrics table.

Open
SEC Form ADV Part 1 (Bulk)

Loads Form ADV Part 1 bulk data from the local CSV snapshot. Includes headquarters info, aliases, control persons, and evidence links.

Open

Identifiers

Authority	Identifier	Display	As Of	Confidence
adv_crd	6413	6413	—	1.0
cik	0001007444	1007444	—	—
sec_file_number	801-10970	801-10970	—	—

Profile

Websitehttps://www.facebook.com/seekwealth.lpl

HQ CityFORT MILL

HQ StateSC

HQ CountryUnited States

AUM (USD)—

AUM As OfNone

ADV Metrics

Assets & Accounts

RAUM (total)618,922,975,737.0
RAUM (discretionary)618,298,600,507.0
Actionable assets430,130,131,159.0
Accounts2,369,378.0

Institutional Clients

Government AUM9,377,013.0
Pension AUM12,776,497,036.0
Charitable AUM5,401,386,664.0
HNW AUM401,595,060,280.0

As of 2025-07-15 00:00:00 • Source ia09022025.xlsx

People

Name	Title	Role	Email	Evidence
AUDETTE, MATTHEW JON	PRESIDENT AND CHIEF FINANCIAL OFFICER	OFFICER	—	{"filing_id": "2018921", "owner_id": "4003349", "source": "adv_part1", "table": "Schedule_A_B"}
ENYEDI, MATTHEW KLAUS	MANAGING DIRECTOR, NATIONAL SALES	OFFICER	—	{"filing_id": "2018921", "owner_id": "4194266", "source": "adv_part1", "table": "Schedule_A_B"}
GATES, GREGORY	MANAGING DIRECTOR, CHIEF INFORMATION OFFICER	OFFICER	—	{"filing_id": "2018921", "owner_id": "7069201", "source": "adv_part1", "table": "Schedule_A_B"}
JAMBUSARIA, ANERI	MANAGING DIRECTOR LPL SERVICES GROUP	OFFICER	—	{"filing_id": "2018921", "owner_id": "7248335", "source": "adv_part1", "table": "Schedule_A_B"}
LPL FINANCIAL HOLDINGS INC.	PARENT COMPANY	OFFICER	—	{"filing_id": "2018921", "owner_id": null, "source": "adv_part1", "table": "Schedule_A_B"}
LPL HOLDINGS, INC.	MANAGING MEMBER	OFFICER	—	{"filing_id": "2018921", "owner_id": null, "source": "adv_part1", "table": "Schedule_A_B"}
MALFITANO, STEVEN THOMAS	SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER	OFFICER	—	{"filing_id": "2018921", "owner_id": "3178848", "source": "adv_part1", "table": "Schedule_A_B"}
MCHALE, JAMES	EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER	OFFICER	—	{"filing_id": "2018921", "owner_id": "6052977", "source": "adv_part1", "table": "Schedule_A_B"}
RICKETTS, JUDITH KOHOSKIE	EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER	OFFICER	—	{"filing_id": "2018921", "owner_id": "2758924", "source": "adv_part1", "table": "Schedule_A_B"}
SIMONICH, BRENT BLAIN	EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER	OFFICER	—	{"filing_id": "2018921", "owner_id": "3254859", "source": "adv_part1", "table": "Schedule_A_B"}
STEINMEIER, RICHARD C	CHIEF EXECUTIVE OFFICER AND DIRECTOR	OFFICER	—	{"filing_id": "2018921", "owner_id": "5109512", "source": "adv_part1", "table": "Schedule_A_B"}

Outbound Affiliations

Relation	Organization	Last Updated	Evidence
No outbound affiliations.

Inbound Affiliations

Relation	Organization	Last Updated	Evidence
No inbound affiliations.

Evidence

adv_part1

data/raw/sec_adv/raw_adv/ADV_Filing_Data_20250901_20250930/IA_ADV_Base_A_20250901_20250930.csv 2025-10-23 02:24:38 • csv
```
{
  "date_submitted": "09/30/2025 08:05:42 AM",
  "filing_id": "2018921",
  "reg_type": "IA"
}
```