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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

INVESTMENT ADVISORS ASSET MANAGEMENT, LLC

CRD 128716

EASTON, PA

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:ad406221-d648-5a95-9745-31b894062d2c

Data as of Mar 16, 2020 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 60
Dated events: 2
On other graphs: 0
Observed: Mar 30, 2012 to Mar 16, 2020
20 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $481MItem 5.F on the latest filing (2020-03-16); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $481M
Private client RAUM: $464MderivedItem 5.D individuals plus high net worth individuals
Private client share: 96%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 26
Advisory employees: 26
Offices: 10Schedule D 1.F, beyond the principal office
Accounts: 2,237
Individual clients: 2,119
High net worth clients: 95
SEC number: 801-62575
CRD: 128716
Filings on the tape: 20
First filed: Mar 30, 2012
Latest filed: Mar 16, 2020
Organised: Limited Liability Company, New Jersey

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
MUSUMECI, THOMAS, EUGENE	Partner	C	yes	06/2003	Mar 30, 2012	Mar 16, 2020
PARSONS JINKS, HOLLY, C	CHIEF OPERATING OFFICER	Na	yes	04/2014	Mar 28, 2014	Mar 16, 2020
PARSONS, JOSEPH, CLARK	President	C	yes	05/2003	Mar 30, 2012	Mar 16, 2020
RICE, JAMES, ARTHUR	VICE PRESIDENT/CHIEF COMPLIANCE OFFICER	C	yes	05/2003	Mar 30, 2012	Mar 16, 2020

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
JEFFREY CAPPELLE	n/a	n/a	n/a	N	no	n/a
MARK YOUNG	n/a	n/a	n/a	N	no	n/a
THERESA YOUNG	n/a	n/a	n/a	N	no	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
WEST LONG BRANCH	Nj	United States	10	no
Topeka	Ks	United States	2	no
Newfield	Nj	United States	2	no
Kenilworth	Nj	United States	1	no
MT. LAUREL	Nj	United States	1	no
Turnersville	Nj	United States	1	no
Wyckoff	Nj	United States	1	no
Bethlehem	Pa	United States	1	no
n/a	n/a	n/a	1	no
n/a	n/a	n/a	1	no

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

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019	Mar 16, 2020	$481M	$481M	26	26	10	n/a	n/a
2018	Feb 20, 2019	$486M	$483M	29	29	16	n/a	n/a
2017	Feb 28, 2018	$472M	$469M	30	30	16	n/a	n/a
2016	Mar 3, 2017	$384M	$384M	32	32	n/a	n/a	n/a
2015	Jan 29, 2016	$392M	$392M	33	33	n/a	n/a	n/a
2014	Mar 25, 2015	$458M	$458M	37	37	n/a	n/a	n/a
2013	Mar 28, 2014	$417M	$417M	41	41	n/a	n/a	n/a
2012	Mar 18, 2013	$363M	$363M	44	44	n/a	n/a	n/a
2011	Mar 30, 2012	$338M	$338M	n/a	n/a	n/a	n/a	n/a

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
2019	$481M	$486M	-0.9%	$384M	7.8%	26	29	10	16

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
OSAIC WEALTH, INC.	2	Jun 30, 2020	Sep 25, 2019	TOPEKA, KS	Team lift out	RIA to ibd	8.7%
OSAIC WEALTH, INC.	8	Jun 30, 2020	Sep 19, 2019	WEST LONG BRANCH, NJ	Team lift out	RIA to ibd	34.8%
OSAIC WEALTH, INC.	5	Jun 30, 2020	Nov 13, 2019	EASTON, PA	Team lift out	RIA to ibd	21.7%
IAM ADVISORY LLC	2	Jun 30, 2020	Mar 17, 2020	WESTFIELD, NJ	Team lift out	RIA to RIA	8.7%
IAM ADVISORY LLC	4	Jun 30, 2020	Mar 10, 2020	EASTON, PA	Team lift out	RIA to RIA	17.4%
STONECREST ADVISORS, INC.	2	Aug 19, 2016	Oct 18, 2016	EASTON, PA	Team lift out	Other	6.9%

Relationships

Controls (4)

← RICE, JAMES, ARTHUROwnerVICE PRESIDENT/CHIEF COMPLIANCE OFFICER, ownership code C, individual
Mar 30, 2012 to presentfactForm ADV
← MUSUMECI, THOMAS, EUGENEOwnerPARTNER, ownership code C, individual
Mar 30, 2012 to presentfactForm ADV
← PARSONS JINKS, HOLLY, COwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Mar 28, 2014 to presentfactForm ADV
← PARSONS, JOSEPH, CLARKOwnerPRESIDENT, ownership code C, individual
Mar 30, 2012 to presentfactForm ADV

Registered with (48)

← RICHARD SEWALL RODMANAdvisorregistration: previous registration
Dec 14, 2005 to Jun 30, 2020factForm ADV
← THOMAS ALAN CAPRIOAdvisorregistration: previous registration
Aug 18, 2004 to Jun 30, 2020factForm ADV
← STEPHEN KRONICKAdvisorregistration: previous registration
Jan 26, 2005 to Jun 30, 2020factForm ADV
← JAMES ARTHUR RICEAdvisorregistration: previous registration
Dec 10, 2003 to Jun 30, 2020factForm ADV
← GERALD EMIL STEFANELLIAdvisorregistration: previous registration
Apr 10, 2013 to Jun 30, 2020factForm ADV
← RAYMOND BUTTERWORTHAdvisorregistration: previous registration
Sep 8, 2004 to Jun 30, 2020factForm ADV
← MARK E YOUNGAdvisorregistration: previous registration
Jan 29, 2004 to Jun 30, 2020factForm ADV
← STEPHEN GERARD GOODITISAdvisorregistration: previous registration
Dec 7, 2004 to Jun 30, 2020factForm ADV
← BRUCE ALLEN PERHACHAdvisorregistration: previous registration
Mar 6, 2013 to Jun 30, 2020factForm ADV
← JOHN C BIANCHIAdvisorregistration: previous registration
Mar 9, 2005 to Jun 30, 2020factForm ADV
← JAMES ANTHONY FLANNERYAdvisorregistration: previous registration
Aug 31, 2017 to Jun 30, 2020factForm ADV
← THOMAS ANDREW MUSUMECIAdvisorregistration: previous registration
Apr 20, 2005 to Jun 30, 2020factForm ADV
← JAMES AUGUST BARTOLACCIAdvisorregistration: previous registration
Mar 30, 2004 to Jun 30, 2020factForm ADV
← BOYD MERTZ BERGENAdvisorregistration: previous registration
Jan 18, 2006 to Jun 30, 2020factForm ADV
← THERESA A YOUNGAdvisorregistration: previous registration
Jan 29, 2004 to Jun 30, 2020factForm ADV
← THOMAS EUGENE MUSUMECIAdvisorregistration: previous registration
Jan 6, 2004 to Jun 30, 2020factForm ADV
← PATRICK JOSEPH WHELANAdvisorregistration: previous registration
Oct 9, 2007 to Jun 30, 2020factForm ADV
← LOUIS JOHN MONACOAdvisorregistration: previous registration
Jun 21, 2004 to Jun 30, 2020factForm ADV
← RYAN JOSEPH CONLINAdvisorregistration: previous registration
Nov 18, 2010 to Jun 30, 2020factForm ADV
← JEFFEREY M. CAPPELLEAdvisorregistration: previous registration
Aug 25, 2011 to Jun 30, 2020factForm ADV
← JESSE PHILIP PELLEGRINOAdvisorregistration: previous registration
Apr 19, 2016 to Jun 30, 2020factForm ADV
← THOMAS PAUL JONESAdvisorregistration: previous registration
Jul 27, 2016 to Jun 30, 2020factForm ADV
← JOSEPH CLARK PARSONSAdvisorregistration: previous registration
Jan 9, 2004 to Jun 30, 2020factForm ADV
← DAVID PATRICK STEWARTAdvisorregistration: previous registration
Sep 24, 2007 to Mar 10, 2020factForm ADV
← JOSEPH NELSON GARAGOZZOAdvisorregistration: previous registration
Sep 20, 2007 to Dec 16, 2019factForm ADV
← CHARLES LANYOND SEIBOLDAdvisorregistration: previous registration
Oct 6, 2004 to May 8, 2019factForm ADV
← MICHAEL EDWARD HYDEAdvisorregistration: previous registration
Jan 17, 2012 to Jan 2, 2019factForm ADV
← WILLIAM GREGORY DORRIETYAdvisorregistration: previous registration
Jan 31, 2005 to Nov 23, 2016factForm ADV
← DEBORAH ANN STACKPOLEAdvisorregistration: previous registration
Aug 26, 2008 to Aug 19, 2016factForm ADV
← EDWARD PIUS KASPERAVICHAdvisorregistration: previous registration
Feb 8, 2006 to Aug 19, 2016factForm ADV
and 18 more

Moved with (3)

→ IAM ADVISORY LLCRegistered adviser2 advisors, team lift out, same day
Jun 30, 2020 to Mar 17, 2020factForm ADV
→ OSAIC WEALTH, INC.Registered adviser5 advisors, team lift out, same day
Jun 30, 2020 to Nov 13, 2019factForm ADV
→ STONECREST ADVISORS, INC.Registered adviser2 advisors, team lift out, same day
Aug 19, 2016 to Oct 18, 2016factForm ADV

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Show 2 bookkeeping events

Occurred
Mar 16, 2020
Investment Advisors Asset Management, Llc reported 10 offices beyond its principal office, down from 16 (2019-05-17 to 2020-03-16)
Occurred
Mar 16, 2020
Investment Advisors Asset Management, Llc reported 0 state-registered advisory representatives, down from 29 (2019-05-17 to 2020-03-16)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ad406221-d648-5a95-9745-31b894062d2c
First observed: Mar 30, 2012
Last observed: Mar 16, 2020 79 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.

INVESTMENT ADVISORS ASSET MANAGEMENT, LLC

CRD 128716

EASTON, PA

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:ad406221-d648-5a95-9745-31b894062d2c

Data as of Mar 16, 2020 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:59 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

MUSUMECI, THOMAS, EUGENE

Partner

yes

06/2003

Mar 30, 2012

Mar 16, 2020

PARSONS JINKS, HOLLY, C

CHIEF OPERATING OFFICER

yes

04/2014

Mar 28, 2014

Mar 16, 2020

PARSONS, JOSEPH, CLARK

President

yes

05/2003

Mar 30, 2012

Mar 16, 2020

RICE, JAMES, ARTHUR

VICE PRESIDENT/CHIEF COMPLIANCE OFFICER

yes

05/2003

Mar 30, 2012

Mar 16, 2020

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

JEFFREY CAPPELLE

n/a

MARK YOUNG

n/a

THERESA YOUNG

n/a

City

State

Country

Employees

Also broker-dealer

WEST LONG BRANCH

United States

Topeka

United States

Newfield

United States

Kenilworth

United States

MT. LAUREL

United States

Turnersville

United States

Wyckoff

United States

Bethlehem

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Mar 16, 2020

$481M

n/a

2018

Feb 20, 2019

$486M

$483M

n/a

2017

Feb 28, 2018

$472M

$469M

n/a

2016

Mar 3, 2017

$384M

n/a

2015

Jan 29, 2016

$392M

n/a

2014

Mar 25, 2015

$458M

n/a

2013

Mar 28, 2014

$417M

n/a

2012

Mar 18, 2013

$363M

n/a

2011

Mar 30, 2012

$338M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

$481M

$486M

-0.9%

$384M

7.8%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

OSAIC WEALTH, INC.

Jun 30, 2020

Sep 25, 2019

TOPEKA, KS

Team lift out

RIA to ibd

8.7%

OSAIC WEALTH, INC.

Jun 30, 2020

Sep 19, 2019

WEST LONG BRANCH, NJ

Team lift out

RIA to ibd

34.8%

OSAIC WEALTH, INC.

Jun 30, 2020

Nov 13, 2019

EASTON, PA

Team lift out

RIA to ibd

21.7%

IAM ADVISORY LLC

Jun 30, 2020

Mar 17, 2020

WESTFIELD, NJ

Team lift out

RIA to RIA

8.7%

IAM ADVISORY LLC

Jun 30, 2020

Mar 10, 2020

EASTON, PA

Team lift out

RIA to RIA

17.4%

STONECREST ADVISORS, INC.

Aug 19, 2016

Oct 18, 2016

EASTON, PA

Team lift out

Other

6.9%