# EDGAR Filing Document

**Accession Number:** 0001397911
**File Stem:** 0001628280-25-055095
**Filing Date:** 2025-12
**Character Count:** 7791
**Document Hash:** 0b57727b56a4640d2d1625e60617843e
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001628280-25-055095.hdr.sgml**: 20251203

**ACCESSION NUMBER**: 0001628280-25-055095

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20251201

**FILED AS OF DATE**: 20251203

**DATE AS OF CHANGE**: 20251203

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** SCHIFTER RICHARD P
- **CENTRAL INDEX KEY:** 0001249554

**ORGANIZATION NAME:**

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-34963
- **FILM NUMBER:** 251547137

**MAIL ADDRESS:**
- **STREET 1:** 4707 EXECUTIVE DRIVE
- **STREET 2:** ONE LAFAYETTE PLACE
- **CITY:** SAN DIEGO
- **STATE:** FL
- **ZIP:** 92121
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** LPL Financial Holdings Inc.
- **CENTRAL INDEX KEY:** 0001397911
- **STANDARD INDUSTRIAL CLASSIFICATION:** SECURITY & COMMODITY BROKERS, DEALERS, EXCHANGES & SERVICES [6200]
- **ORGANIZATION NAME:** 09 Crypto Assets
- **EIN:** 203717839
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 4707 EXECUTIVE DRIVE
- **CITY:** SAN DIEGO
- **STATE:** CA
- **ZIP:** 92121
- **BUSINESS PHONE:** 800-877-7210

**MAIL ADDRESS:**
- **STREET 1:** 4707 EXECUTIVE DRIVE
- **CITY:** SAN DIEGO
- **STATE:** CA
- **ZIP:** 92121

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** LPL Investment Holdings Inc.
- **DATE OF NAME CHANGE:** 20070427

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>SCHIFTER RICHARD P<br><sub>(Last) (First) (Middle)</sub><br>C/O TPG<br>301 COMMERCE STREET, SUITE 3300<br><sub>(Street)</sub><br>FORT WORTH, TX 76102<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2025-12-01 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>LPL Financial Holdings Inc. [ LPLA ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2025-12-01 |  | A |  | 14<sup>(1)</sup> | A | $0 | 39224.8345 | D |  |
| Common Stock |  |  |  |  |  |  |  | 440 | I | By Co-Trustee of Grandchild's Trust #1<sup>(2)</sup> |
| Common Stock |  |  |  |  |  |  |  | 440 | I | By Co-Trustee of Grandchild's Trust #2<sup>(2)</sup> |
| Common Stock |  |  |  |  |  |  |  | 440 | I | By Co-Trustee of Grandchild's Trust #3<sup>(2)</sup> |
| Common Stock |  |  |  |  |  |  |  | 440 | I | By Co-Trustee of Grandchild's Trust #4<sup>(2)</sup> |
| Common Stock |  |  |  |  |  |  |  | 440 | I | By Co-Trustee of Grandchild's Trust #5<sup>(2)</sup> |
| Common Stock |  |  |  |  |  |  |  | 440 | I | By Co-Trustee of Grandchild's Trust #6<sup>(2)</sup> |
| Common Stock |  |  |  |  |  |  |  | 440 | I | By Co-Trustee of Grandchild's Trust #7<sup>(2)</sup> |
| Common Stock |  |  |  |  |  |  |  | 440 | I | By Co-Trustee of Grandchild's Trust #8<sup>(2)</sup> |
| Common Stock |  |  |  |  |  |  |  | 440 | I | By Co-Trustee of Grandchild's Trust #9<sup>(2)</sup> |
| Common Stock |  |  |  |  |  |  |  | 440 | I | By Co-Trustee of Grandchild's Trust #10<sup>(2)</sup> |
| Common Stock |  |  |  |  |  |  |  | 440 | I | By Co-Trustee of Grandchild's Trust #11<sup>(2)</sup> |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |

---

### Footnotes:

(1) Represents stock units granted under the Issuer's 2021 Omnibus Equity Incentive Plan. Each stock unit represents the right to receive one share of common stock and is fully vested. The reporting person was previously granted stock units that were subject to a written deferral election under the Issuer's Non-Employee Director Deferred Compensation Plan (the "DDCP"), which stock units are fully vested as of the date hereof. The stock units reported hereby were credited to the reporting person's DDCP account in connection with a quarterly cash dividend that was paid on shares of common stock.

(2) The reporting person is a co-trustee of each trust, and the sole beneficiary of each trust is a grandchild of the reporting person. The reporting person remains the beneficial owner of the securities held by such trusts.

**Remarks:**
The signatory is signing on behalf of Richard P. Schifter pursuant to a Power of Attorney dated November 19, 2024.

**Signature:** /s/ Robert S. Hatfield III, attorney-in-fact  
**Date:** 2025-12-03

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**