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.
SEC-registered adviser
Ivy Invest Corporation
Latest filing Mar 20, 2026
First filing on the tape Sep 7, 2023 · 6 filings
SEC status approved since Feb 9, 2024
RAUM
$12.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$12.6M as of Mar 20, 2026
Mar 29, 2024$3.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 20, 2026
Mar 29, 20240 then
Employees (5.A)4 as of Mar 20, 2026
Mar 29, 20243 then
Private funds: no history
RAUM +71% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 20, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $12.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +71%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 5.G
- 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$12.6M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Arash Ghodoosi · Chief Executive Officercontrolsince 01/2023 · owns 25% to 50%
- Li Wenwen Mcelhoe · President And Chief Investment Officercontrolsince 07/2023 · owns 25% to 50%
- James Matthew Pauker · Chairmancontrolsince 01/2023 · owns 25% to 50%
- Roserio Peter Guarino · Chief Compliance Officersince 09/2023 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Business name · BUENA CAPITAL ADVISORS D/B/A IVY INVEST to IVY INVEST CORPORATIONMar 13, 2025 to Mar 20, 2026
- Employees · 3 to 4Mar 13, 2025 to Mar 20, 2026
- Legal name · BUENA CAPITAL ADVISORS LLC to IVY INVEST CORPORATIONMar 13, 2025 to Mar 20, 2026
- Organization form · Limited Liability Company to CorporationMar 13, 2025 to Mar 20, 2026
- Discretionary RAUM · $7.4M to $12.6MMar 13, 2025 to Mar 20, 2026
- RAUM · $7.4M to $12.6MMar 13, 2025 to Mar 20, 2026
- Succession · false to trueMar 13, 2025 to Mar 20, 2026
- Business name · BUENA CAPITAL ADVISORS LLC to BUENA CAPITAL ADVISORS D/B/A IVY INVESTMar 29, 2024 to Mar 13, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 13, 2025
- Other offices · 0 to 1Mar 29, 2024 to Mar 13, 2025
- Discretionary RAUM · $3.1M to $7.4MMar 29, 2024 to Mar 13, 2025
- RAUM · $3.1M to $7.4MMar 29, 2024 to Mar 13, 2025
- Accounts · unset to 1.0Jan 2, 2024 to Mar 29, 2024
- Discretionary RAUM · unset to 3118956.0Jan 2, 2024 to Mar 29, 2024
- Non-discretionary RAUM · unset to 0.0Jan 2, 2024 to Mar 29, 2024
- RAUM · unset to 3118956.0Jan 2, 2024 to Mar 29, 2024
Signals
2 dated events
- Ivy Invest Corporation reported succeeding to the business of Buena Capital Advisors D/B/A Ivy Invest (Form ADV Item 4)Mar 20, 2026 · Succession (Item 4) · fact
- Buena Capital Advisors Llc filed its initial SEC registration (Form ADV)Sep 7, 2023 · 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/ivy-investreportedpublic record, Form ADV, Sep 17, 2026
- Website
- ivyinvest.coreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 8005357096reportedpublic record, Form ADV, Mar 20, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026