About Us

LPL Financial Research Group

Our goal is to be your advisor’s trusted partner

Our team consists of more than 35 seasoned and accomplished industry veterans, comprising a large and experienced research group among independent brokerage firms.

LPL Financial Research applies its portfolio construction process to more than 270 portfolios that your financial advisor may choose from or take into consideration when creating your investment plan. For advisors who just want some assistance with the due diligence on managers, we approve for use or recommend more than 800 of the thousands of managers available on our platforms.

Who We Are What We Do
Investment Strategy Determines economic and asset allocation positioning
Manager Strategy Provides due diligence on all our recommended or approved managers
Portfolio Strategy Manages our recommended portfolios
Market Strategy Creates market commentaries and investment ideas
Custom Strategies Customizes our research offering to meet the needs of different advisors and clients
Communications Ensures all advice is effectively communicated for a variety of media

Who we are

LPL Financial Research Investment Philosophy

We are an opportunistic, all-market, all-weather due diligence provider and portfolio manager. Through our investment and portfolio recommendations, we seek to avoid downside and capture upside. To this end, we are conservative when markets are tough and aggressive when they are rising. Though a very broad investment mandate, we believe this is the only way to effectively provide recommendations for our advisors and their clients.

Our mission is to be a trusted partner to our advisors who provide investors like you with choices to help meet your financial goals. In this endeavor, our goal is to provide stellar due diligence and investment management advice—as a partner for those advisors who manage client assets themselves, or as a portfolio manager for those advisors who want to leverage our experience.

LPL Financial Research Is an Opportunistic, All-Market, All-Weather Portfolio Manager

We believe the right posture is to seek opportunities in positive markets and be cautious in down markets to try and avoid those large downdrafts. We seek to add value in all conditions, so we negotiate ever-changing markets using a dynamic and active management style.

We construct portfolios that are very opportunistic, which are considered for tactical positioning (trading as often as daily), and others that are more strategic, which are monitored often, but typically only trade every couple of years.

Foundational Beliefs

  • Independence is essential

    We believe being independent, unrestricted, and not conflicted by business interests is the only way to provide exceptional advice. The structure of LPL Financial—not having proprietary products, investment banking, or market making facilities—provides the backdrop for unbiased decision making. Our investment team is not involved with the business arrangements of the firm.

  • Tactical tilt with a strategic offering

    We believe we can effectively take advantage of opportunities that are presented to us by the markets. Therefore, we believe in tactical portfolio and recommended list management. However, we know that this is not ideal for all clients and, consequently, we offer strategic portfolios and recommendations as well.

  • Combinations Matter

    We believe that how investments combine together is one of the key considerations in investing. Investments have biases—we seek to create portfolios that pair complementary investments together to offset those biases with the goal of a portfolio that performs better than the simple sum of its parts would imply.

  • Adaptability is key

    We believe the processes by which investments are run through due diligence and positioned for model inclusion must be evolving. We believe markets, investment options, and data availability change quickly and a process that does not integrate adaptability, exibility, and subjectivity will miss some key opportunities.

  • Transparency is a must

    We believe that we have to be transparent in our input, output, and decision-making process so that our advisors and their clients can be con dent in what we are doing. We do not believe in a "black box" approach, as we seek to put as much information out as possible to allow for an understanding of what we are doing, how we are doing it, and why we are doing it.

  • Versatility is critical

    We need to offer a broad range of investment advice. The innovative advice we provide is designed to meet the needs of our advisors: some that is asked for specifically, and some that is proactively provided by us.

LPL Research is not affiliated with ARTAAD Financial.

 Power of Affiliation