DFX Intelligence

Data Factory

RIA / WealthAdvisor31 years in industry

ROBERT KENWORTH KEITH

Advisor at LAGUNA CAPITAL MANAGEMENT, INC.

SANTA BARBARA, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:ffa8273a-3ed2-59a5-de3e-df5803c83a79

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:36 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 27, 1998 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LAGUNA CAPITAL MANAGEMENT, INC.
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 19, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63
First exam: Jun 19, 1995
First registration: Mar 27, 1998
Dual registered: no
Other names: R. KENWORTH KEITH
IAPD individual key: 265112

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LAGUNA CAPITAL MANAGEMENT, INC.	State registered	Aug 28, 2015	n/a	yes	SANTA BARBARA, CA	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Sep 8, 2009	Dec 14, 2015	no	SANTA BARBARA, CA	Previous registration
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC	n/a	Jul 17, 2003	Oct 13, 2009	no	SANTA BARBARA, CA	Previous registration
ASSOCIATED SECURITIES CORP.	n/a	Jul 17, 2003	Sep 8, 2009	no	SANTA BARBARA, CA\|SANTA BARBARA, CA	Previous registration
PRUDENTIAL EQUITY GROUP, LLC	n/a	Mar 27, 1998	Apr 14, 2003	no	SANTA BARBARA, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
LPL FINANCIAL LLC	LAGUNA CAPITAL MANAGEMENT, INC.	Dec 14, 2015	Aug 28, 2015	-108	Firm change after gap	Other
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC	LPL FINANCIAL LLC	Oct 13, 2009	Sep 8, 2009	-35	Firm change after gap	Other
ASSOCIATED SECURITIES CORP.	ASSOCIATED PLANNERS INVESTMENT ADVISORY INC	Sep 8, 2009	Jul 17, 2003	-2,245	Firm change after gap	Other
PRUDENTIAL EQUITY GROUP, LLC	ASSOCIATED SECURITIES CORP.	Apr 14, 2003	Jul 17, 2003	94	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
6413:269869:CA:2015-12-14	Dec 14, 2015	Aug 28, 2015	SANTA BARBARA, CA	Firm change after gap

Relationships

Registered with (5)

→ LAGUNA CAPITAL MANAGEMENT, INC.Registered adviserregistration: current employment
Aug 28, 2015 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Sep 8, 2009 to Dec 14, 2015factForm ADV
→ ASSOCIATED PLANNERS INVESTMENT ADVISORY INCRegistered adviserregistration: previous registration
Jul 17, 2003 to Oct 13, 2009factForm ADV
→ ASSOCIATED SECURITIES CORP.Registered adviserregistration: previous registration
Jul 17, 2003 to Sep 8, 2009factForm ADV
→ PRUDENTIAL EQUITY GROUP, LLCRegistered adviserregistration: previous registration
Mar 27, 1998 to Apr 14, 2003factForm ADV

Dated events

No dated event names this entity yet.