David H. Stefl

SCHWARZ DYGOS WHEELER INVESTMENT ADVISORS LLC

Minneapolis, MN 55402

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CRD#: 5508791

Professional summary

David Harvey Stefl, CFP® is a registered financial advisor currently at SCHWARZ DYGOS WHEELER INVESTMENT ADVISORS LLC located in Minneapolis, Minnesota.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. David has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Harvey Stefl's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2017

Experience

Current

September 28, 2018 - Present

SCHWARZ DYGOS WHEELER INVESTMENT ADVISORS LLC

Office #1: 50 South 6th Street, Suite 1405, Minneapolis, MN 55402

RIA

CRD#: 250

ST. LOUIS, MO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SCHWARZ DYGOS WHEELER INVESTMENT ADVISORS LLC

INVESTMENT ADVISER SERVICES, LLC | SDW WEALTH ADVISORS | SCHWARZ DYGOS WHEELER INVESTMENT ADVISORS LLC

CRD#: 147384 / SEC#: 801-69248

RIA

Registered Investment Advisory firm - (6/12/2008 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Minnesota
(9/28/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/15/2010

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 7/11/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/30/2010

General Securities Representative Examination

Current Firm

SCHWARZ DYGOS WHEELER INVESTMENT ADVISORS LLC

INVESTMENT ADVISER SERVICES, LLC | SDW WEALTH ADVISORS | SCHWARZ DYGOS WHEELER INVESTMENT ADVISORS LLC

CRD#: 147384 / SEC#: 801-69248

RIA

Registered Investment Advisory firm - (6/12/2008 Approved)

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Contact information

Main Address

50 South 6th Street, Suite 1405, Minneapolis, MN 55402

Mailing Address

Phone number

(612) 355-4360

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SCHWARZ DYGOS WHEELER INVESTMENT ADVISORS LLC BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	1,978
AUM (Assets Under Management)	$ 644,418,641

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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David H. Stefl

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Harvey Stefl's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

EDWARD JONES

EDWARD JONES

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

SCHWARZ DYGOS WHEELER INVESTMENT ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/15/2010

SIE

Date: 7/11/2018

Series 7

Date: 9/30/2010

Current Firm

SCHWARZ DYGOS WHEELER INVESTMENT ADVISORS LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SCHWARZ DYGOS WHEELER INVESTMENT ADVISORS LLC

TRUST BUT VERIFY

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