SEC-registered wealth management firm Broker-dealer affiliated
LPL Enterprise, LLC
As of its Form ADV filed July 15, 2026, LPL Enterprise, LLC, an SEC-registered, broker-dealer affiliated wealth management firm in Fort Mill, South Carolina, reported $24.9 billion in regulatory assets under management across 139,192 accounts, ranking #2 among all wealth firms in South Carolina by assets.
Registration
- Registration
- SEC-registered, Approved
- CRD number
- 8733
- SEC file number
- 801-130883
- Registered since
- August 7, 2024
- Latest Form ADV filing
- July 15, 2026
- Organized as
- Limited Liability Company
- Fiscal year ends
- December
- Other offices
- 1,140
Key figures
- Regulatory assets under management
- $24.9 billion
- Discretionary
- $24.9 billion (100.0%)
- Non-discretionary
- $3.6 million
- Accounts
- 139,192 (139,113 discretionary)
- Clients
- 114,681, approximate as reported
- Employees
- 5,215
- Advisory staff
- 4,492 performing investment advisory functions
- Average account
- $179,173
- Asset growth, 1 year
- 32.2% (from $18.9 billion a year earlier)
- Asset growth, 3-year annual rate
- Not reported
- Asset growth, 5-year annual rate
- Not reported
- Client growth, 1 year
- 30.1% (from 88,168)
Broker-dealer affiliated. The firm is itself a broker-dealer as well as an investment adviser (Form ADV Item 6.A(1)). It is ranked among all wealth firms, the directory's view that includes wirehouses and broker-dealer firms, not in the main lists of independent RIAs. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among all wealth firms, including wirehouses and broker-dealer firms.
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 1, 2024 | $0 |
| September 2, 2025 | $18.9 billion |
| October 2, 2026 | $24.9 billion |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| High net worth individuals 22,822 clients | $12.7 billion | |
| Individuals (other than high net worth) 79,249 clients | $11.8 billion | |
| Corporations or other businesses 286 clients | $216.5 million | |
| Pension and profit sharing plans 127 clients | $201.2 million | |
| Charitable organizations 79 clients | $49.4 million |
How the firm is paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Portfolio management for businesses or institutional clients
- Educational seminars or workshops
- Other
Financial planning clients (Item 5.H): 4500.
Wrap fee program sponsor or portfolio manager: yes.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Broker-dealer
- Other financial products
Financial industry affiliations (Item 7.A)
- Broker-dealer
- Other investment adviser
- Banking or thrift institution
- Insurance company or agency
Custody (Item 9)
The firm reported custody of client cash or securities, $252.7 billion in total.
Investment adviser representatives
- IARs registered with the firm
- 3,123
- Also registered through a broker-dealer
- 3,120
- Employees who are IARs (Form ADV 5.B(3))
- 3,209
Designations held by the firm's IARs: CFP 183, ChFC 128, CFA 9, PFS 1.
Between 333 and 1,940 of the firm's 3,123 IARs are registered in jurisdictions that require IAR CE. The source counts registrations by jurisdiction, and many IARs are registered in more than one, so the exact number is not knowable from it. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 10 disclosure questions. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in South Carolina
| Firm | City | RAUM |
|---|---|---|
| Apollon Wealth Management, LLC | Mount Pleasant | $11.6 billion |
| Permcap Investment Office | Charleston | $4.0 billion |
| Foster Victor | Greenville | $2.6 billion |
| The Fiduciary Alliance | Greenville | $2.5 billion |
| Abacus Planning Group, Inc. | Columbia | $2.2 billion |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- LPL Enterprise, LLC on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.lpl.com/lpl-enterprise.html
- Wealth management firms in South Carolina
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.