The diversified strategy primarily uses traditional asset classes like stocks and bonds , as well as the occasional non-traditional asset classes to do so. The alternative strategy, on the other hand, primarily allocates assets to non-traditional asset classes, thus extending diversification to lower risk.
The third-party asset management programs bear a maximum fee of 2. Clients pay the fee to LPL, which then shares the fee with the advisor or institution. The exact percentage of the fee that LPL shares with the investment advisor may vary by program.
This year alone, numerous LPL Financial advisors have been recognized as top advisors by notable financial publications and organizations. LPL Financial has encountered a number of bumps in the road in recent years. In February , on a call with home-office leaders, the company's CEO Dan Arnold acknowledged the perception that LPL Financial's service level has declined as it's grown rapidly over the last 15 years. The firm recently stepped up recruiting efforts by offering a sizeable bonus to advisors for the assets they bring to the platform, in an attempt to quell dissatisfaction and recruiting struggles.
The firm has recently lost several billion-plus wealth management groups. One of the groups that left, Ingham Retirement Group, told Investment News that it parted ways with LPL Financial because "the firm's brokerage business had been consistently declining.
All of this was predated by a management shakeup in The prior year, in , the company's stock prices slumped and there was talk of a potential sale. In addition to these struggles, LPL Financial has also been involved in a number of legal battles and faced numerous disciplinary issues.
Legal cases have also been brought against specific LPL advisors. See more below about the firm's disclosures. As mentioned above, LPL Financial does have disclosures, many of which are related to its brokerage structure and failures to monitor certain areas.
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