Firms by custodian
Registered investment advisers that custody at LPL Financial
14 SEC-registered advisers report LPL Financial as a custodian holding 10% or more of separately managed account assets in Form ADV Schedule D, Section 5.K.(3). Listed by regulatory assets under management.
14 firms listed
| Firm | Headquarters | Regulatory AUM | Advisory staff | Clients |
|---|---|---|---|---|
| Global Retirement PartnersCRD 172011 | San Rafael, CA | $169.58B | 442 | 28,693 |
| Private Advisor GroupCRD 155216 | Morristown, NJ | $57.70B | 885 | 170,206 |
| Vestmark Advisory SolutionsCRD 221518 | Wakefield, MA | $49.85B | 25 | 84,069 |
| Equitable AdvisorsCRD 6627 | New York, NY | $47.26B | 4,664 | 76,027 |
| Newedge AdvisorsCRD 171351 | New Orleans, LA | $43.21B | 515 | 49,898 |
| The Baldwin Group Wealth AdvisorsCRD 312284 | Tampa, FL | $27.28B | 50 | 2,134 |
| Integrated Wealth ConceptsCRD 284656 | Waltham, MA | $23.58B | 491 | 29,848 |
| Stratos Wealth PartnersCRD 153184 | Beachwood, OH | $18.65B | 352 | 25,391 |
| Independent Advisor AllianceCRD 168267 | Charlotte, NC | $17.23B | 247 | 45,002 |
| Great Lakes AdvisorsCRD 110757 | Chicago, IL | $16.16B | 37 | 1,731 |
| Bleakley Financial GroupCRD 318366 | Parsippany, NJ | $15.13B | 104 | 8,647 |
| Zacks Investment ManagementCRD 110897 | Chicago, IL | $14.59B | 11 | 3,741 |
| Advisors Capital ManagementCRD 112266 | Ridgewood, NJ | $12.20B | 57 | 18,140 |
| Great Valley Advisor GroupCRD 123913 | Berwyn, PA | $10.60B | 192 | 37,014 |
Global Retirement PartnersCRD 172011$169.58B
- Headquarters
- San Rafael, CA
- Advisory staff
- 442
- Clients
- 28,693
Private Advisor GroupCRD 155216$57.70B
- Headquarters
- Morristown, NJ
- Advisory staff
- 885
- Clients
- 170,206
Vestmark Advisory SolutionsCRD 221518$49.85B
- Headquarters
- Wakefield, MA
- Advisory staff
- 25
- Clients
- 84,069
Equitable AdvisorsCRD 6627$47.26B
- Headquarters
- New York, NY
- Advisory staff
- 4,664
- Clients
- 76,027
Newedge AdvisorsCRD 171351$43.21B
- Headquarters
- New Orleans, LA
- Advisory staff
- 515
- Clients
- 49,898
The Baldwin Group Wealth AdvisorsCRD 312284$27.28B
- Headquarters
- Tampa, FL
- Advisory staff
- 50
- Clients
- 2,134
Integrated Wealth ConceptsCRD 284656$23.58B
- Headquarters
- Waltham, MA
- Advisory staff
- 491
- Clients
- 29,848
Stratos Wealth PartnersCRD 153184$18.65B
- Headquarters
- Beachwood, OH
- Advisory staff
- 352
- Clients
- 25,391
Independent Advisor AllianceCRD 168267$17.23B
- Headquarters
- Charlotte, NC
- Advisory staff
- 247
- Clients
- 45,002
Great Lakes AdvisorsCRD 110757$16.16B
- Headquarters
- Chicago, IL
- Advisory staff
- 37
- Clients
- 1,731
Bleakley Financial GroupCRD 318366$15.13B
- Headquarters
- Parsippany, NJ
- Advisory staff
- 104
- Clients
- 8,647
Zacks Investment ManagementCRD 110897$14.59B
- Headquarters
- Chicago, IL
- Advisory staff
- 11
- Clients
- 3,741
Advisors Capital ManagementCRD 112266$12.20B
- Headquarters
- Ridgewood, NJ
- Advisory staff
- 57
- Clients
- 18,140
Great Valley Advisor GroupCRD 123913$10.60B
- Headquarters
- Berwyn, PA
- Advisory staff
- 192
- Clients
- 37,014
Figures are from each firm's most recent Form ADV and are dated on its profile. Listing here is a matter of public record, not a recommendation.
About this list
A custodian holds client accounts; the adviser directs them but does not take possession of the money. Form ADV Schedule D, Section 5.K.(3) requires an adviser to name every custodian holding 10% or more of its separately managed account assets, which is where this list comes from.
A firm may use several custodians, so it can appear on more than one of these lists, and smaller custodial relationships below the 10% threshold are not reported at all. Naming LPL Financial here says only what the filing says, and implies nothing about either firm's service.