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LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker-dealer and top 5 custodian.1,2 We serve independent financial advisors, professionals, and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. Securities and Advisory services offered through LPL Financial LLC, a registered investment advisor. Member FINRA / SIPC.
1. Based on total revenues, Financial Planning magazine June 1996-2019
2. Cerulli Associates, 2019 U.S. RIA Marketplace Report

CFO Solutions Team

Award Category
Broker/Dealers (1,000 Advisors or More): Practice Management
LPL’s CFO Solution Optimizes Growth & Profitability of Advisors’ Businesses
CFO Solutions helps LPL advisors grow, improve their business efficiency and increase the value of their practice while using data, insight, and strategy. With CFO Solutions, a dedicated LPL team supports an advisor’s business, freeing up time to manage their practice and work with clients. The CFO is an LPL employee whose financial experience may include being a certified financial planner, certified valuation analyst, certified treasury specialist, former corporate finance professional or former small-business owner. It’s powered by a best-in-class technology platform that helps provide real-time data and insights to help understand the impacts of an advisor’s business plan on short term cash flow, long term cash flow, overall profitability and valuation.

Rob Pettman

Executive Vice President of Products and Platform Management

Award Category
Broker/Dealers (1,000 Advisors or More): Technology
Advisor Sleeve Makes Money Management Easy
Built on LPL’s Model Wealth Portfolios (MWP) platform, Advisor Sleeve is a comprehensive investment solution that enables advisors to act as strategists while outsourcing daily operational tasks to LPL, including model management, trading and rebalancing, automating their investment management approach and saving time. Advisors can quickly create, manage, and track models for each investment objective or client group, reducing the time spent on model management, while being able to offer their unique and valuable perspective. Risk scoring and portfolio analytics powered by AdvisoryWorld make it easy to build models to a specific investment objective and actively monitor portfolio allocations to ensure risk exposure remains aligned with investor preferences. It provides scale and resources to advisors of any size.

Kirby Horan

Executive Vice President, Investor and Investment Solutions

Award Category
Custodians (Established – $25B and Over): Technology
New Account Opening Process Saves Hours Each Month
LPL provides choice among proprietary and third-party tools to enable RIAs and advisors to leverage the tools most useful to their practices. In addition to choice, LPL delivers full integration, allowing data to move seamlessly through eight key workflows, making client management easier, faster, and more effective. With the launch of LPL’s New Account Opening 2.0 tool, shortly followed by the full integration with LPL’s proposal generation tool powered by Advisory World, the workflow associated with turning prospects into clients is now an end to end experience, cutting the time to open a new account from nine minutes to three.


Wealth Management is the Future of Advice
How investors value advice is changing. LPL execs share the benefits of a holistic wealth management approach.


Inside LPL’s Employee Model
How LPL Financial’s new independent employee advisor model is shaking up the financial services industry.


Technology to Enable Financial Planning
Financial Planning & the Right Technology Can Help Your Practice Thrive

About the Initiative

Guided Income Solutions℠ (GIS) is a turnkey, bucketed investment solution designed to deliver steady and tailored cash flows to clients planning for retirement. The bucketed investing framework provides an intuitive approach to converting clients’ nest eggs into an automatic income replacement based on their personal financial goals; the buckets automatically rebalance to systematically reduce risk and accommodate investors’ needs. GIS provides an alternative to annuities; delivering an investment approach that is flexible, liquid, and cost-effective.

GIS aims to transform and enhance current retirement income solutions, to: