DFX Intelligence
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K•••• R••••••
Vice President/Investmentsat S•••••• N••••••• • C••••••• I•••••••••Dual registrant· West Bend, WiIAPD 5132384
As of · the IAPD feed; also filed as K•••• L••• H••••••
- At current firm
- 4 y
- In the industry
- 20 y
- Prior registered firms
- 3
- Signals
- 1
since Apr 26, 2022
As of · the IAPD feed; also filed as K•••• L••• H••••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- Vice President/Investmentsreportedstifel.comfirm site, Sep 24, 2026
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Apr 26, 2022 · West Bend, Wi
- L•• F•••••••• L•• BD affiliatedJun 6, 2016 to Mar 30, 2022 · Appleton, Wi
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Jun 13, 2016 · Oshkosh, Wi
- C•••• I••••••••• S••••••• C•••• formerMar 16, 2010 to Oct 1, 2012 · Oshkosh, Wi
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••left Mar 30, 2022, registered Apr 26, 2022 (27 days) · RIA to affiliated broker-dealer or bank
- J••• M••••• S••••••••• L•• to L•• F•••••••• L••left Jun 13, 2016, registered Jun 6, 2016 (-7 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedMar 30, 2022 · Advisor changed firm · fact
Transition signals
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address