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.
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SEC-registered adviser
L•••••••••
Legal name L••• A•••••• I••••••••• L••
Latest filing Mar 5, 2026
First filing on the tape Dec 6, 2013 · 31 filings
SEC status approved since Jun 25, 2015
RAUM
$12.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$10.9M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$12.2M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$12.2M as of Mar 5, 2026
Feb 25, 2016$91.9M then
HNW client RAUM$0 as of Mar 5, 2026
Mar 23, 2021$0 then
State-registered IARs (5.B.3)1 as of Mar 5, 2026
Feb 25, 20163 then
Employees (5.A)2 as of Mar 5, 2026
Feb 25, 20166 then
Private funds2 as of Mar 5, 2026
Feb 25, 20161 then
RAUM -44% over the last fiscal year-36% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 5, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $12.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 609derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $19,899derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -44%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -33%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Custody
- $1.3M, 2 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$10.9M89%
- Pooled investment vehicles$1.3M11%
- Individual clients
- 609reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 611reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.3M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.89 fund_share=0.11 institutional_share=0.0 related_bd=true related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• K•••••• | South Yarmouth, Ma | Aug 10, 2023 | 13 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- M•••••• K•••••• from L••• A••••••• C••••Aug 10, 2023 · Other
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L••••••••• S•••••• L•• • L•••• | Hedge Fund | $650,367 | 1 | Mar 2, 2017 |
| L••••••••• S•••••• L•• • L•• | Hedge Fund | $173,458 | 1 | Mar 27, 2024 |
| L••• A•••••• P•• F•••• L• | Other Private Fund | $27,394 | 1 | Dec 6, 2013 |
Owners and control persons
Schedule A and B, latest filing
- K••••••• M•••••• · Chief Compliance Officer & Chief Executive Officercontrolsince 09/2022 · owns less than 5%
- R•••••• V•••••• M• · Chief Executive Officercontrolsince 06/2023 · owns F of L••• C••• I••
- R•••••• V••••• · Ownersince 09/2020 · owns 25% to 50% of F• G••••• I•••
Entity owners
- L••• C••• I•• · Memberdirect · owns 75% or more
- F• G••••• I••• · Ownerindirect · owns 25% to 50% of L••• C••• I••
Related persons
Schedule D 7.A
- L••• T•••••• C•••broker-dealertrust companyn
Advisers that list L••••••••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 903 to 611Mar 31, 2025 to Mar 5, 2026
- Individual clients · 903 to 609Mar 31, 2025 to Mar 5, 2026
- Pooled vehicle clients · 0 to 2Mar 31, 2025 to Mar 5, 2026
- Assets in custody · $1.2M to $1.3MMar 31, 2025 to Mar 5, 2026
- Discretionary RAUM · $21.9M to $12.2MMar 31, 2025 to Mar 5, 2026
- Individual RAUM · $21.9M to $10.9MMar 31, 2025 to Mar 5, 2026
- Pooled vehicle RAUM · $0 to $1.3MMar 31, 2025 to Mar 5, 2026
- RAUM · $21.9M to $12.2MMar 31, 2025 to Mar 5, 2026
- Accounts · 521 to 903Mar 27, 2024 to Mar 31, 2025
- Business name · N•• I••••• to L•••••••••Mar 27, 2024 to Mar 31, 2025
- HNW clients · 1 to 0Mar 27, 2024 to Mar 31, 2025
- Individual clients · 517 to 903Mar 27, 2024 to Mar 31, 2025
- Pooled vehicle clients · 3 to 0Mar 27, 2024 to Mar 31, 2025
- Assets in custody · $1.8M to $1.2MMar 27, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Mar 27, 2024 to Mar 31, 2025
- HQ city · unset to Mar 27, 2024 to Mar 31, 2025
- HQ state · unset to Mar 27, 2024 to Mar 31, 2025
- Private funds · 3 to 2Mar 27, 2024 to Mar 31, 2025
- Discretionary RAUM · $23.0M to $21.9MMar 27, 2024 to Mar 31, 2025
- HNW RAUM · $8.1M to $0Mar 27, 2024 to Mar 31, 2025
- Individual RAUM · $14.1M to $21.9MMar 27, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $850,612 to $0Mar 27, 2024 to Mar 31, 2025
- RAUM · $23.0M to $21.9MMar 27, 2024 to Mar 31, 2025
- Accounts · 2,338 to 521Aug 3, 2023 to Mar 27, 2024
- Advisory employees · 2 to 1Aug 3, 2023 to Mar 27, 2024
- HNW clients · 0 to 1Aug 3, 2023 to Mar 27, 2024
- Individual clients · 0 to 517Aug 3, 2023 to Mar 27, 2024
- Pooled vehicle clients · 6 to 3Aug 3, 2023 to Mar 27, 2024
- Assets in custody · $46.8M to $1.8MAug 3, 2023 to Mar 27, 2024
- Employees · 3 to 2Aug 3, 2023 to Mar 27, 2024
- HQ city · NEW YORK to unsetAug 3, 2023 to Mar 27, 2024
- HQ state · NY to unsetAug 3, 2023 to Mar 27, 2024
- Private funds · 2 to 3Aug 3, 2023 to Mar 27, 2024
- Discretionary RAUM · $46.8M to $23.0MAug 3, 2023 to Mar 27, 2024
- HNW RAUM · $0 to $8.1MAug 3, 2023 to Mar 27, 2024
- Individual RAUM · $0 to $14.1MAug 3, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $543,442 to $850,612Aug 3, 2023 to Mar 27, 2024
- RAUM · $46.8M to $23.0MAug 3, 2023 to Mar 27, 2024
- Related broker-dealer · false to trueAug 3, 2023 to Mar 27, 2024
- Assets in custody · $43.3M to $46.8MFeb 13, 2023 to Mar 7, 2023
Signals
9 dated events
- John Michael Earlywine (Chief Executive Officer) no longer on Schedule A of Lendingrobot (listed 2023-03-07, absent 2023-07-21)Jul 21, 2023 · Control person left · inference
- John Michael Earlywine (Chief Executive Officer) appeared on Schedule A of LendingrobotMar 7, 2023 · Control person joined · fact
- M•••••• K•••••• (Chief Compliance Officer & Chief Executive Officer) appeared on Schedule A of LendingrobotFeb 13, 2023 · Control person joined · fact
- Daniel Bo Brustkern (Owner) no longer on Schedule A of Lendingrobot (listed 2022-08-02, absent 2023-02-13)Feb 13, 2023 · Control person left · inference
- Lendingrobot reported RAUM $34.8M, down 82% from $194.6M (2020-06-10 to 2021-03-23)Mar 23, 2021 · RAUM change · derived
- Summer Dawn Tucker (Managing Director And Cco) no longer on Schedule A of Lendingrobot (listed 2018-05-10, absent 2019-01-16)Jan 16, 2019 · Control person left · inference
- Daniel Bo Brustkern (Director And Cco) appeared on Schedule A of LendingrobotJan 16, 2019 · Control person joined · fact
- N•• I••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Nov 6, 2017 · Succession (Item 4) · fact
- L••• A•••••• I••••••••• filed its initial SEC registration (Form ADV)Dec 6, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/L•••••••••-COMreportedpublic record, Form ADV, Sep 19, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/NSRI•••••reportedpublic record, Form ADV, Sep 19, 2026
- Website
- NSRI•••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (646) 346-1048reportedpublic record, Form ADV, Mar 5, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $12.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026