DFX Intelligence

Data Factory

I••• B•• U•• S••••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserno raum reportedSEC registeredRAUM none

I••• B•• U•• S••••••••• I•••

CRD 118817

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:00aad880-a95d-f14b-e5a4-fc29d798b06b

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:49 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 1
On other graphs: 0
Observed: Jun 30, 2023 to Mar 30, 2026
7 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: no raum reportedderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=25.0
Regulatory AUM: $0Item 5.F on the latest filing (2026-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 38
Advisory employees: 26
Offices

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••••• M•••••• M••••••	Finop	Na	yes	01/2017	Jun 30, 2023	Nov 14, 2024
G••••••• K•••••• R••	CHIEF COMPLIANCE OFFICER	Na	yes	01/2020	Jun 30, 2023

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
I••• U•• A•••• M••••••••• I•••	n/a	Asset manager	$9.3B	N	yes	n/a
I••• I••••••••• S••••••••• I•••	n/a	Former SEC adviser	$64.8M	N	yes

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 3 of 4

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$0	$0	n/a	n/a	n/a	38	37	0	0

Relationships

Affiliated with (4)

← I••• U•• A•••• M•••••••••Registered adviserbroker-dealer, common control
factForm ADV
→ I••• I••••••••• S••••••••• I•••Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ I••• U•• A•••• M•••••••••Registered adviserother investment adviser, common control
factForm ADV
← I••• I••••••••• S••••••••• I•••Registered adviserbroker-dealer, common control

Dated events

Occurred
Jun 30, 2023
First Form ADV filing
I••• B•• U•• S••••••••• I••• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:00aad880-a95d-f14b-e5a4-fc29d798b06b
First observed: Jun 30, 2023
Last observed: Mar 30, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.