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
Iam Advisory LLC
Latest filing Jun 12, 2026
First filing on the tape Dec 23, 2019 · 20 filings
SEC status approved since Jan 23, 2020
RAUM
$699M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$687M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$87.4M
derived; firm RAUM over IAPD count
Employees
14
8 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$699M as of Jun 12, 2026
Jan 27, 2021$451M then
HNW client RAUM$472M as of Jun 12, 2026
Jan 27, 2021$245M then
State-registered IARs (5.B.3)8 as of Jun 12, 2026
Jan 27, 20218 then
Employees (5.A)14 as of Jun 12, 2026
Jan 27, 202114 then
Private funds: no history
RAUM +10% over the last fiscal year+13% a year over threeIARs 8 to 8
Practice profile
derived from the filing of Jun 12, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $87.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 198derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $253,502derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 2.0derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -17%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Financial planning clients
- 500reportedItem 5.H
- Custody
- $71.1M, 187 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$472M68%
- Individuals$215M31%
- Pension and profit-sharing plans$6.6M1.0%
- Corporations and businesses$5.4M0.8%
- Individual clients
- 1,360reported
- HNW clients
- 223reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2,759reported
- Financial planning clients
- 500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $71.1M for 187 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 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
1 left, 1 joined in 12 months
net 0 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 13% of current headcount1 left over 36 months
Left, latest
- Stephen Gerard Gooditis to Newedge AdvisorsSep 3, 2026 · RIA to affiliated broker-dealer or bank
Joined, latest
- Spencer Fried from Merrill Lynch, Pierce, Fenner & Smith IncorporatedFeb 17, 2026 · Wirehouse to independent RIA
- Richard Sewall Rodman from Investment Advisors Asset Management, LLCMar 17, 2020 · RIA to a newly registered adviser
- John C Bianchi from Investment Advisors Asset Management, LLCMar 13, 2020 · RIA to a newly registered adviser
- James August Bartolacci from Osaic Wealth, Inc.Mar 11, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
- Stephen Kronick from Investment Advisors Asset Management, LLCMar 10, 2020 · RIA to a newly registered adviser
- Ryan Joseph Conlin from Investment Advisors Asset Management, LLCMar 9, 2020 · RIA to a newly registered adviser
- Stephen Gerard Gooditis from Investment Advisors Asset Management, LLCMar 9, 2020 · RIA to a newly registered adviser
- Jesse Philip Pellegrino from Osaic Wealth, Inc.Mar 9, 2020 · Other
- Joseph Clark Parsons from Investment Advisors Asset Management, LLCFeb 14, 2020 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Investment Advisors Asset Management, LLCJun 30, 2020 · Westfield, Nj
- 4 joined from Investment Advisors Asset Management, LLCJun 30, 2020 · Easton, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Parsons Holly Jinks · Managing Member, Chief Operating Officer, And Chief Compliance Officercontrolsince 06/2019 · owns 25% to 50%
- Clark Joseph Parsons · Managing Membercontrolsince 06/2019 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Easton, Pa · principal | 8 | 1 | 1 | ||
| Scotch Plains, Nj | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Wyckoff, NJ1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 2,727 to 2,759Jan 21, 2025 to Jan 28, 2026
- Advisory activities · 3 to 4Jan 21, 2025 to Jan 28, 2026
- Corporate clients · 10 to 8Jan 21, 2025 to Jan 28, 2026
- HNW clients · 221 to 223Jan 21, 2025 to Jan 28, 2026
- Individual clients · 1,691 to 1,360Jan 21, 2025 to Jan 28, 2026
- Assets in custody · $28.5M to $71.1MJan 21, 2025 to Jan 28, 2026
- Employees · 15 to 14Jan 21, 2025 to Jan 28, 2026
- Financial planning clients · 251-500 to More than 500Jan 21, 2025 to Jan 28, 2026
- Discretionary RAUM · $636M to $699MJan 21, 2025 to Jan 28, 2026
- HNW RAUM · $420M to $472MJan 21, 2025 to Jan 28, 2026
- Individual RAUM · $203M to $215MJan 21, 2025 to Jan 28, 2026
- Pension RAUM · $7.0M to $6.6MJan 21, 2025 to Jan 28, 2026
- RAUM · $636M to $699MJan 21, 2025 to Jan 28, 2026
- Accounts · 2,719 to 2,727Apr 12, 2024 to Jan 21, 2025
- HNW clients · 219 to 221Apr 12, 2024 to Jan 21, 2025
- Individual clients · 1,262 to 1,691Apr 12, 2024 to Jan 21, 2025
- Pension plan clients · 4.0 to unsetApr 12, 2024 to Jan 21, 2025
- Assets in custody · $18.8M to $28.5MApr 12, 2024 to Jan 21, 2025
- Financial planning clients · More than 500 to 251-500Apr 12, 2024 to Jan 21, 2025
- Discretionary RAUM · $572M to $636MApr 12, 2024 to Jan 21, 2025
- HNW RAUM · $376M to $420MApr 12, 2024 to Jan 21, 2025
- Individual RAUM · $186M to $203MApr 12, 2024 to Jan 21, 2025
- Pension RAUM · $4.5M to $7.0MApr 12, 2024 to Jan 21, 2025
- RAUM · $572M to $636MApr 12, 2024 to Jan 21, 2025
- Accounts · 2,641 to 2,719Sep 20, 2023 to Jan 22, 2024
- Corporate clients · 9 to 10Sep 20, 2023 to Jan 22, 2024
- HNW clients · 145 to 219Sep 20, 2023 to Jan 22, 2024
- Individual clients · 1,328 to 1,262Sep 20, 2023 to Jan 22, 2024
- Pension plan clients · 5 to 4Sep 20, 2023 to Jan 22, 2024
- Assets in custody · $343M to $18.8MSep 20, 2023 to Jan 22, 2024
- Discretionary RAUM · $483M to $572MSep 20, 2023 to Jan 22, 2024
- HNW RAUM · $256M to $376MSep 20, 2023 to Jan 22, 2024
- Individual RAUM · $217M to $186MSep 20, 2023 to Jan 22, 2024
- Non-discretionary RAUM · $3.9M to $0Sep 20, 2023 to Jan 22, 2024
- Pension RAUM · $9.1M to $4.5MSep 20, 2023 to Jan 22, 2024
- RAUM · $487M to $572MSep 20, 2023 to Jan 22, 2024
- Accounts · 2,429 to 2,641Aug 31, 2022 to Jan 26, 2023
- HNW clients · 141 to 145Aug 31, 2022 to Jan 26, 2023
- Individual clients · 864 to 1,328Aug 31, 2022 to Jan 26, 2023
- Pension plan clients · 3 to 5Aug 31, 2022 to Jan 26, 2023
Signals
2 dated events
- Stephen Gerard Gooditis left Iam Advisory Llc for Newedge Advisors (registered 2026-09-01)Sep 3, 2026 · Advisor changed firm · fact
- Iam Advisory Llc filed its initial SEC registration (Form ADV)Dec 23, 2019 · 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
- Business phone
- 610-258-3269reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 610-258-5841reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- IAMADVISORYLLC.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 610-258-3269reportedpublic record, Form ADV, Jun 12, 2026
- Contact form
- iamadvisoryllc.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- iamadvisoryllc.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- $87.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026