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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

MMLISI FINANCIAL ALLIANCES, LLC

CRD 119003

SPRINGFIELD, MA

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:3fe23d44-1db6-9286-6857-b617f6a84a72

Data as of May 5, 2020 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 0
On other graphs: 0
Observed: Dec 21, 2011 to May 5, 2020
27 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
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 19
Advisory employees: 0
Offices: 0Schedule D 1.F, beyond the principal office
SEC number: 801-68596
CRD: 119003
Filings on the tape: 27
First filed: Dec 21, 2011
Latest filed: May 5, 2020
Organised: Limited Liability Company, Delaware

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
HALL, NATHAN	Treasurer	Na	yes	07/2012	Jul 26, 2012	May 5, 2020
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY	PARENT COMPANY	E	yes	01/1982	Dec 21, 2011	May 5, 2020
MASSMUTUAL HOLDING LLC	Member	E	yes	02/1985	Dec 21, 2011	May 5, 2020
MML INVESTORS SERVICES, LLC	Owner	D	yes	08/2004	Dec 21, 2011	May 5, 2020
MONROE, WILLIAM, FRANCIS	President	Na	yes	08/2015	Apr 16, 2012	May 5, 2020
ROGAN, JOHN ROBERT	Director	Na	yes	03/2008	Dec 21, 2011	May 5, 2020
ROSENTHAL, ROBERT STEVEN	SECRETARY AND CHIEF LEGAL OFFICER	Na	yes	03/2005	Dec 21, 2011	May 5, 2020
SCANLON, SUSAN JOANN	CHIEF COMPLIANCE OFFICER	Na	yes	04/2012	Apr 16, 2012	May 5, 2020
SOUCIE, DELPHINE, P	Director	Na	yes	05/2016	May 27, 2016	May 5, 2020
VACCARO, JOHN, ARTHUR	Director	Na	yes	08/2015	Dec 21, 2011	May 5, 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
MML INVESTORS SERVICES, LLC	n/a	Bd affiliated wealth	$116B	Y	yes	n/a
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY	n/a	n/a	n/a	Y	yes	n/a
MML DISTRIBUTORS, LLC	n/a	n/a	n/a	N	yes	n/a
MML INSURANCE AGENCY, LLC	n/a	n/a	n/a	N	yes	n/a
MML INVESTMENT ADVISERS, LLC	n/a	n/a	n/a	N	yes	n/a
MML STRATEGIC DISTRIBUTORS, LLC	n/a	n/a	n/a	N	yes	n/a

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	Offices	Private funds	Fund GAV
2019	Mar 30, 2020	n/a	n/a	19	0	n/a	n/a
2018	Mar 29, 2019	n/a	n/a	19	0	n/a	n/a
2017	Mar 29, 2018	n/a	n/a	20	0	n/a	n/a
2016	Mar 28, 2017	n/a	n/a	23	n/a	n/a	n/a
2015	Mar 30, 2016	n/a	n/a	29	n/a	n/a	n/a
2014	Mar 27, 2015	n/a	n/a	29	n/a	n/a	n/a
2013	Mar 28, 2014	n/a	n/a	26	n/a	n/a	n/a
2012	Apr 1, 2013	n/a	n/a	29	n/a	n/a	n/a
2011	Mar 28, 2012	n/a	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	n/a	n/a	n/a	n/a	n/a	19	19	0	0

Relationships

Affiliated with (4)

→ MML INVESTORS SERVICES, LLCRegistered adviserother investment adviser, broker-dealer, LP sponsor, control, common control
factForm ADV
← MSI FINANCIAL SERVICES, INC.Registered adviserother investment adviser, common control
factForm ADV
← SOCIETY OF GROWNUPS, LLCRegistered adviserother investment adviser, common control
factForm ADV
← MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANYRegistered adviserother investment adviser, control, common control
factForm ADV

Controls (10)

← MML INVESTORS SERVICES, LLCOwnerOWNER, ownership code D, domestic entity
Dec 21, 2011 to presentfactForm ADV
← MONROE, WILLIAM, FRANCISOwnerPRESIDENT, ownership code NA, individual
Apr 16, 2012 to presentfactForm ADV
← SCANLON, SUSAN JOANNOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Apr 16, 2012 to presentfactForm ADV
← VACCARO, JOHN, ARTHUROwnerDIRECTOR, ownership code NA, individual
Dec 21, 2011 to presentfactForm ADV
← SOUCIE, DELPHINE, POwnerDIRECTOR, ownership code NA, individual
May 27, 2016 to presentfactForm ADV
← ROSENTHAL, ROBERT STEVENOwnerSECRETARY AND CHIEF LEGAL OFFICER, ownership code NA, individual
Dec 21, 2011 to presentfactForm ADV
← ROGAN, JOHN ROBERTOwnerDIRECTOR, ownership code NA, individual
Dec 21, 2011 to presentfactForm ADV
← HALL, NATHANOwnerTREASURER, ownership code NA, individual
Jul 26, 2012 to presentfactForm ADV
← MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANYOwnerPARENT COMPANY, ownership code E, domestic entity
Dec 21, 2011 to presentfactForm ADV
← MASSMUTUAL HOLDING LLCOwnerMEMBER, ownership code E, domestic entity
Dec 21, 2011 to presentfactForm ADV

Registered with (1)

← Jeffrey Michael SajdakAdvisorregistration: previous registration
Dec 12, 2007 to May 26, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3fe23d44-1db6-9286-6857-b617f6a84a72
First observed: Dec 21, 2011
Last observed: May 5, 2020 77 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.

MMLISI FINANCIAL ALLIANCES, LLC

CRD 119003

SPRINGFIELD, MA

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:3fe23d44-1db6-9286-6857-b617f6a84a72

Data as of May 5, 2020 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:18 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HALL, NATHAN

Treasurer

yes

07/2012

Jul 26, 2012

May 5, 2020

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

PARENT COMPANY

yes

01/1982

Dec 21, 2011

May 5, 2020

MASSMUTUAL HOLDING LLC

Member

yes

02/1985

Dec 21, 2011

May 5, 2020

MML INVESTORS SERVICES, LLC

Owner

yes

08/2004

Dec 21, 2011

May 5, 2020

MONROE, WILLIAM, FRANCIS

President

yes

08/2015

Apr 16, 2012

May 5, 2020

ROGAN, JOHN ROBERT

Director

yes

03/2008

Dec 21, 2011

May 5, 2020

ROSENTHAL, ROBERT STEVEN

SECRETARY AND CHIEF LEGAL OFFICER

yes

03/2005

Dec 21, 2011

May 5, 2020

SCANLON, SUSAN JOANN

CHIEF COMPLIANCE OFFICER

yes

04/2012

Apr 16, 2012

May 5, 2020

SOUCIE, DELPHINE, P

Director

yes

05/2016

May 27, 2016

May 5, 2020

VACCARO, JOHN, ARTHUR

Director

yes

08/2015

Dec 21, 2011

May 5, 2020

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

MML INVESTORS SERVICES, LLC

n/a

Bd affiliated wealth

$116B

yes

n/a

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

n/a

yes

n/a

MML DISTRIBUTORS, LLC

n/a

yes

n/a

MML INSURANCE AGENCY, LLC

n/a

yes

n/a

MML INVESTMENT ADVISERS, LLC

n/a

yes

n/a

MML STRATEGIC DISTRIBUTORS, LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Mar 30, 2020

n/a

2018

Mar 29, 2019

n/a

2017

Mar 29, 2018

n/a

2016

Mar 28, 2017

n/a

2015

Mar 30, 2016

n/a

2014

Mar 27, 2015

n/a

2013

Mar 28, 2014

n/a

2012

Apr 1, 2013

n/a

2011

Mar 28, 2012

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

n/a