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

Steven Aaron Frye

LPL Financial LLCBD affiliatedGreenwood, Indual registrantIAPD 4675437

Feed of 09/14/2026

Also filed as Steven Frye

At current firm

3 y

since Oct 28, 2022

In the industry

23 y

since Aug 5, 2003 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

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 Oct 28, 2022 · Greenwood, In
Robert W. Baird & Co. Incorporated mixed wealth
Oct 18, 2019 to Nov 13, 2022 · Indianapolis, In
J.J.B. Hilliard, W.L. Lyons, LLC former
Sep 21, 2018 to Oct 18, 2019 · Indianapolis, In
Raymond James & Associates, Inc. national BD
Sep 22, 2011 to Sep 25, 2018 · Greenwood, In
City Securities Corporation former
Jan 12, 2006 to Sep 22, 2011 · Indianapolis, In
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Aug 6, 2003 to Oct 5, 2005 · Spokane, Wa

Moves

a registration end followed by a registration begin elsewhere

Robert W. Baird & Co. Incorporated to LPL Financial LLC
left Nov 13, 2022, registered Oct 28, 2022 (-16 days) · RIA to RIA
J.J.B. Hilliard, W.L. Lyons, LLC to Robert W. Baird & Co. Incorporated
left Oct 18, 2019, registered Oct 18, 2019 (0 days) · corporate re-registration, not a move
Raymond James & Associates, Inc. to J.J.B. Hilliard, W.L. Lyons, LLC
left Sep 25, 2018, registered Sep 21, 2018 (-4 days) · Affiliated broker-dealer or bank to independent RIA
City Securities Corporation to Raymond James & Associates, Inc.
left Sep 22, 2011, registered Sep 22, 2011 (0 days) · Other
Merrill Lynch, Pierce, Fenner & Smith Incorporated to City Securities Corporation
left Oct 5, 2005, registered Jan 12, 2006 (99 days) · Other

Signals

Steven Aaron Frye left Robert W. Baird & Co. Incorporated for Lpl Financial Llc (registered 2022-10-28)
Nov 13, 2022 · 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: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address