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
Brian Michael Woods
Feed of 09/14/2026
Also filed as Brian M Woods
At current firm
5 y
since Apr 30, 2021
In the industry
34 y
since Oct 1, 1991 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Financial LLC BD affiliated currentsince Apr 30, 2021 · Henderson, Nv
- Voya Financial Advisors, Inc. BD affiliatedNov 9, 2015 to May 4, 2021 · Windsor, Ct
- The Capital Advisory Group Advisory Services, LLC formerFeb 24, 2014 to Nov 4, 2015 · Danvers, Ma
- Investors Capital Advisory formerJun 16, 2005 to Nov 30, 2015 · Wenham, Ma
- Eastern Point Advisors Inc. unclassifiedJan 1, 2001 to Jun 16, 2005 · Wenham, Ma
Moves
a registration end followed by a registration begin elsewhere
- Voya Financial Advisors, Inc. to LPL Financial LLCleft May 4, 2021, registered Apr 30, 2021 (-4 days) · corporate re-registration, not a move
- Investors Capital Advisory to The Capital Advisory Group Advisory Services, LLCleft Nov 30, 2015, registered Feb 24, 2014 (-644 days) · Other
- The Capital Advisory Group Advisory Services, LLC to Voya Financial Advisors, Inc.left Nov 4, 2015, registered Nov 9, 2015 (5 days) · Other
- Eastern Point Advisors Inc. to Investors Capital Advisoryleft Jun 16, 2005, registered Jun 16, 2005 (0 days) · Other
Signals
No dated event on this person.
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