DFX Intelligence
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S•••• S• W•••
Managing Director/Investmentsat S•••••• N••••••• • C••••••• I•••••••••Dual registrant· Eau Claire, WiIAPD 4227092
As of · the IAPD feed
- At current firm
- 16 y
- In the industry
- 26 y
- Prior registered firms
- 2
- Signals
- 0
since Oct 16, 2009
As of · the IAPD feed
ContactWhat is shown hereOnly business contact points published by the advisor’s firm, on its own site or advisor directory, and matched to this registered advisor with a second fact beyond the name. Nothing is inferred or guessed; an office or team line is labelled as such and never shown as a direct line.
what the firm publishes for this advisor, each with the page it was read from
- Advisor profile
- ••• Lockedreportedwebbinvestmentgroup.comfirm site, Sep 24, 2026
- Team page
- ••• Lockedreportedwithheld-3firm site, Sep 24, 2026
State registrations
4
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Professional profileWhat is shown hereOnly business contact points the firm published under its own name are shown; nothing is inferred, and personal accounts are never read. What the bio page says is printed as the firm printed it, with the sentence it came from; years are the firm’s claim, not a count of registrations.
title, designations and roles as the firm prints them
- Title
- Managing Director/Investmentsreportedstifel.comfirm site, Sep 24, 2026
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Oct 16, 2009 · Eau Claire, Wi
- U•• F•••••••• S••••••• I••• wirehouseFeb 29, 2008 to Oct 16, 2009 · Eau Claire, Wi
- R•• C•••••• M••••••• L•• national BDJan 18, 2002 to Mar 20, 2008 · Eau Claire, Wi
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Oct 16, 2009, registered Oct 16, 2009 (0 days) · Wirehouse to affiliated broker-dealer or bank
- R•• C•••••• M••••••• L•• to U•• F•••••••• S••••••• I•••left Mar 20, 2008, registered Feb 29, 2008 (-20 days) · Affiliated broker-dealer or bank to wirehouse
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote