# LPL Enterprise, LLC

> LPL Enterprise, LLC is an SEC-registered investment advisory firm in Fort Mill, SC, registered since 2024, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated July 15, 2026.

- CRD: 8733
- Filed as: LPL ENTERPRISE, LLC
- Also doing business as: LPL ENTERPRISE, LPLE
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Fort Mill, SC
- Filing period: October 2026
- Form ADV filing dated: July 15, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/8733
- AdvisorCensus page: https://advisorcensus.com/firm/lpl-enterprise-llc-fort-mill-sc-8733

## Quick answers

**How is LPL Enterprise, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), LPL Enterprise, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).

**Where is LPL Enterprise, LLC located?**
LPL Enterprise, LLC's principal office is in Fort Mill, SC, according to its Form ADV; the August 2026 filing also lists 25 other offices (Schedule D, Section 1.F).

**Is LPL Enterprise, LLC registered with the SEC or a state?**
LPL Enterprise, LLC is an SEC-registered investment advisory firm, registered since 2024. Status as filed: Approved. CRD 8733.

**How much does LPL Enterprise, LLC manage?**
LPL Enterprise, LLC reports $24,939,385,373 in regulatory assets under management in its Form ADV filing dated July 15, 2026 (100% discretionary).

**How have LPL Enterprise, LLC's assets and staff changed since 2024?**
In the Form ADV data for LPL Enterprise, LLC: Regulatory assets under management: $0 in the October 2024 data and $24,939,385,373 in the October 2026 data. Total employees: 64 in October 2024 and 5,215 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does LPL Enterprise, LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (79,249); high net worth individuals (22,822); corporations or other businesses not listed above (286).

**Does LPL Enterprise, LLC report any disciplinary disclosures?**
Reports 10 disclosure items on Form ADV Item 11: yes answers to 10 questions about regulatory matters (11.C(1), 11.C(2), 11.C(4), 11.C(5), 11.D(1), 11.D(2), 11.D(4), 11.D(5), 11.E(1), 11.E(2)). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/8733

**What changed in LPL Enterprise, LLC's recent Form ADV filings?**
In the April 2026 filing data: Employees performing advisory functions went from 3130 to 4492. Regulatory assets under management went from $18,862,098,900 to $24,939,385,373 (+32%). Added an office in Charlotte, NC. Added an office in Cranberry Township, PA. Added an office in Holmdel, NJ. Added an office in Indianapolis, IN. Added an office in Mercer Island, WA. Added an office in Orange, CA. Added an office in Rosemont, IL. Added an office in Shelton, CT. Added an office in Syracuse, NY. Added an office in Wakefield, MA. No longer lists an office in Austin, TX. No longer lists an office in Boston, MA. No longer lists an office in Canonsburg, PA. No longer lists an office in East Brunswick, NJ. No longer lists an office in Forest Hills, NY. No longer lists an office in Pittsford, NY. No longer lists an office in San Diego, CA. No longer lists an office in St Louis, MO. No longer lists an office in Tampa, FL. No longer lists an office in Tempe, AZ.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Regulatory assets under management (Item 5.F)
- Total: $24,939,385,373
- Discretionary: $24,935,743,002
- Non-discretionary: $3,642,371

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 79,249 | $11,776,193,805 |
| High net worth individuals | 22,822 | $12,696,065,383 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 127 | $201,231,033 |
| Charitable organizations | 79 | $49,435,378 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 286 | $216,459,774 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Educational seminars/workshops
- Other

### Firm details
- Registered since: 2024 (2 years)
- Employees: 5,215 total, 4,492 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
- Disclosures (Item 11): Reports 10 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.C(1): Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?
- 11.C(2): Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?
- 11.C(4): Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.C(5): Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?
- 11.D(1): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?
- 11.D(2): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?
- 11.D(4): In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.D(5): Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?
- 11.E(1): Has a self-regulatory organization (such as FINRA) or a commodities exchange ever found that the firm or an advisory affiliate made a false statement or omission?
- 11.E(2): Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/8733

### Other offices (Schedule D, Section 1.F), as of the August 2026 filing
- Atlanta, GA
- Basking Ridge, NJ
- Charlotte, NC
- Cockeysville, MD
- Columbus, OH
- Cranberry Township, PA
- Downers Grove, IL
- Holmdel, NJ
- Houston, TX
- Indianapolis, IN
- Irvine, CA
- Melville, NY
- Mercer Island, WA
- New York, NY
- Orange, CA
- Paramus, NJ
- Rosemont, IL
- San Jose, CA
- Shelton, CT
- Sherman Oaks, CA
- St. Louis Park, MN
- Syracuse, NY
- Troy, MI
- Wakefield, MA
- Warrington, PA

### Websites listed on Form ADV (Item 1.I)
- lpl.com/lpl-enterprise.html

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2024 | $0 | 64 | September 20, 2024 |
| October 2025 | $18,862,098,900 | 4,650 | March 31, 2025 |
| October 2026 | $24,939,385,373 | 5,215 | July 15, 2026 |

Regulatory assets under management: $0 in the October 2024 data and $24,939,385,373 in the October 2026 data.
Total employees: 64 in October 2024 and 5,215 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Employees performing advisory functions went from 3130 to 4492.
- Regulatory assets under management went from $18,862,098,900 to $24,939,385,373 (+32%).
- Added an office in Charlotte, NC.
- Added an office in Cranberry Township, PA.
- Added an office in Holmdel, NJ.
- Added an office in Indianapolis, IN.
- Added an office in Mercer Island, WA.
- Added an office in Orange, CA.
- Added an office in Rosemont, IL.
- Added an office in Shelton, CT.
- Added an office in Syracuse, NY.
- Added an office in Wakefield, MA.
- No longer lists an office in Austin, TX.
- No longer lists an office in Boston, MA.
- No longer lists an office in Canonsburg, PA.
- No longer lists an office in East Brunswick, NJ.
- No longer lists an office in Forest Hills, NY.
- No longer lists an office in Pittsford, NY.
- No longer lists an office in San Diego, CA.
- No longer lists an office in St Louis, MO.
- No longer lists an office in Tampa, FL.
- No longer lists an office in Tempe, AZ.

### March 2026
- Updated its list of owners and control persons (Schedule A).

### February 2026
- Item 11 disclosure answers changed: 10 yes answers, previously 12 (now no: 11.G, 11.H(1)(a)).
- Updated its list of owners and control persons (Schedule A).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. LPL Enterprise, LLC (CRD 8733): Form ADV filing data as of October 2026.