DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Thomas Clark Frame

LPL Financial LLCBD affiliatedSalem, Wv dual registrantIAPD 2168770

Feed of 09/14/2026

Also filed as Tom Frame

At current firm

0 y

since Jan 15, 2026

In the industry

34 y

since Oct 16, 1991 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

LPL Financial LLC BD affiliated current
since Jan 15, 2026 · Morgantown, Wv
Ameriprise Financial Services, LLC national BD
Oct 4, 2013 to Jan 21, 2026 · Sandpoint, Id
Saxony Capital Management, LLC independent RIA
Jun 15, 2011 to Oct 18, 2013 · Morgantown, Wv
Raymond James Financial Services Advisors, Inc BD affiliated
Jan 2, 2009 to Apr 5, 2011 · Morgantown, Wv
Raymond James Financial Services, Inc. unclassified
Oct 6, 1999 to Jan 2, 2009 · Morgantown, Wv

Moves

a registration end followed by a registration begin elsewhere

Ameriprise Financial Services, LLC to LPL Financial LLC
left Jan 21, 2026, registered Jan 15, 2026 (-6 days) · Affiliated broker-dealer or bank to another · moved with a team
Saxony Capital Management, LLC to Ameriprise Financial Services, LLC
left Oct 18, 2013, registered Oct 4, 2013 (-14 days) · Other
Raymond James Financial Services Advisors, Inc to Saxony Capital Management, LLC
left Apr 5, 2011, registered Jun 15, 2011 (71 days) · Other
Raymond James Financial Services, Inc. to Raymond James Financial Services Advisors, Inc
left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move

Signals

Thomas Clark Frame left Ameriprise Financial Services, Llc for Lpl Financial Llc (registered 2026-01-15)
Jan 21, 2026 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 34derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address