Other

Proprietary Account of Broker-Dealer under SEC Act Rule 15c-3-3

LPL Financial Holdings Proprietary Account of Broker-Dealer under SEC Act Rule 15c-3-3 remained flat by 0.0% to $200.00K in Q4 2025 compared to the prior quarter. Year-over-year, this metric was flat by 0.0%, from $200.00K to $200.00K. Over 5 years (FY 2020 to FY 2025), Proprietary Account of Broker-Dealer under SEC Act Rule 15c-3-3 shows an upward trend with a 14.9% CAGR.

Analysis

StatementBalance Sheet Statement
SectionOther
CategoryRisk
SignalContext dependent
VolatilityModerate
First reportedQ4 2019
Last reportedQ4 2025

How to read this metric

Changes reflect shifts in the firm's proprietary trading strategy or regulatory reserve requirements.

Detailed definition

This represents assets held in proprietary accounts of the broker-dealer that are subject to specific regulatory reserve...

Peer comparison

Specific to broker-dealers; peers will report similar line items under regulatory compliance disclosures.

Metric ID: other_proprietary_accountof_broker_dealerunder_sec_act_r_39aeda

Historical Data

5 periods
 Q4 '21Q4 '22Q4 '23Q4 '24Q4 '25
Value$100.00K$100.00K$300.00K$200.00K$200.00K
QoQ Change—+0.0%+200.0%-33.3%+0.0%
YoY Change—+0.0%+200.0%-33.3%+0.0%
Range$100.00K – $300.00K
CAGR+100.0%
Avg YoY Growth+41.7%
Median YoY Growth+0.0%

Frequently Asked Questions

What is LPL Financial Holdings's proprietary account of broker-dealer under sec act rule 15c-3-3?
LPL Financial Holdings (LPLA) reported proprietary account of broker-dealer under sec act rule 15c-3-3 of $200.00K in Q4 2025.
How has LPL Financial Holdings's proprietary account of broker-dealer under sec act rule 15c-3-3 changed year-over-year?
LPL Financial Holdings's proprietary account of broker-dealer under sec act rule 15c-3-3 decreased by 0.0% year-over-year, from $200.00K to $200.00K.
What is the long-term trend for LPL Financial Holdings's proprietary account of broker-dealer under sec act rule 15c-3-3?
Over 5 years (2020 to 2025), LPL Financial Holdings's proprietary account of broker-dealer under sec act rule 15c-3-3 has grown at a 14.9% compound annual growth rate (CAGR), from $100.00K to $200.00K.
What does proprietary account of broker-dealer under sec act rule 15c-3-3 mean?
Assets held by the firm for its own trading or regulatory purposes under SEC customer protection rules.