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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

K•••••••• M•••••

J••• M••••• S••••••••• L••wirehouseCharlotte, Ncdual registrantIAPD 4212120

Feed of 09/14/2026

Also filed as Kitt Elizabeth M•••••

At current firm

1 y

since Dec 16, 2024

In the industry

21 y

since Jun 6, 2005 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

J••• M••••• S••••••••• L•• wirehouse current
since Dec 16, 2024 · Charlotte, Nc
C•••••• L•• independent RIA
May 2, 2019 to Dec 6, 2024 · Charlotte, Nc
P•• W••••• M••••••••• BD affiliated
Mar 24, 2017 to Apr 5, 2019 · Charlotte, Nc
C•••••••• I••••••••• C••••••••• L•• former
Sep 24, 2012 to Oct 26, 2016 · Charlotte, Nc
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Dec 8, 2008 to Sep 2, 2009 · Charlotte, Nc
W•••• F•••• A••••••• wirehouse
Jun 6, 2005 to Dec 9, 2008 · Charlotte, Nc

Moves

a registration end followed by a registration begin elsewhere

C•••••• L•• to J••• M••••• S••••••••• L••
left Dec 6, 2024, registered Dec 16, 2024 (10 days) · RIA to wirehouse
P•• W••••• M••••••••• to C•••••• L••
left Apr 5, 2019, registered May 2, 2019 (27 days) · Affiliated broker-dealer or bank to independent RIA
C•••••••• I••••••••• C••••••••• L•• to P•• W••••• M•••••••••
left Oct 26, 2016, registered Mar 24, 2017 (149 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• I••••••••• C••••••••• L••
left Sep 2, 2009, registered Sep 24, 2012 (1118 days) · Other
W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Dec 9, 2008, registered Dec 8, 2008 (-1 days) · Wirehouse to wirehouse

Signals

K•••••••• M••••• left C•••••• L•• for J••• M••••• S••••••••• L•• (registered 2024-12-16)
Dec 6, 2024 · 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: Wirehousederived
Years in industry: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address