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

Keith L Wood

LPL Financial LLCBD affiliatedSan Diego, Ca dual registrantIAPD 6307791

Feed of 09/14/2026

At current firm

0 y

since Oct 28, 2025

In the industry

14 y

since Aug 1, 2012 (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 Oct 28, 2025 · Westlake, Oh
MML Investors Services, LLC BD affiliated
Jan 4, 2023 to Oct 28, 2025 · Medina, Oh
Stifel Independent Advisors, LLC BD affiliated
Oct 20, 2021 to Jan 13, 2023 · Westlake, Oh
Westminster Financial Advisory Corp independent RIA
Feb 26, 2019 to Oct 22, 2021 · Westlake, Oh
Voya Financial Advisors, Inc. BD affiliated
Jul 7, 2016 to Feb 28, 2019 · Westlake, Oh
Mutual Of Omaha Investor Services, Inc. independent RIA
Mar 18, 2015 to May 20, 2016 · Omaha, Ne

Moves

a registration end followed by a registration begin elsewhere

MML Investors Services, LLC to LPL Financial LLC
left Oct 28, 2025, registered Oct 28, 2025 (0 days) · Affiliated broker-dealer or bank to another
Stifel Independent Advisors, LLC to MML Investors Services, LLC
left Jan 13, 2023, registered Jan 4, 2023 (-9 days) · Affiliated broker-dealer or bank to another
Westminster Financial Advisory Corp to Stifel Independent Advisors, LLC
left Oct 22, 2021, registered Oct 20, 2021 (-2 days) · RIA to affiliated broker-dealer or bank
Voya Financial Advisors, Inc. to Westminster Financial Advisory Corp
left Feb 28, 2019, registered Feb 26, 2019 (-2 days) · Affiliated broker-dealer or bank to independent RIA
Mutual Of Omaha Investor Services, Inc. to Voya Financial Advisors, Inc.
left May 20, 2016, registered Jul 7, 2016 (48 days) · Other

Signals

Keith L Wood left Mml Investors Services, Llc for Lpl Financial Llc (registered 2025-10-28)
Oct 28, 2025 · Advisor changed firm · fact
Keith L Wood left Stifel Independent Advisors, Llc for Mml Investors Services, Llc (registered 2023-01-04)
Jan 13, 2023 · 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: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address