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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 10b 100b

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

CRD 2682

ENFIELD, CT

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Search this name across graphsid dfx:ria:6949b2fa-c9c4-c0db-71d9-d888fc21c70a

Data as of Mar 28, 2014 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 38
Dated events: 0
On other graphs: 0
Observed: Dec 17, 2011 to Mar 28, 2014
14 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: $40BItem 5.F on the latest filing (2014-03-28); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $40B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6,529
Advisory employees: 182
Accounts: 92
SEC number: 801-8059
CRD: 2682
Filings on the tape: 14
First filed: Dec 17, 2011
Latest filed: Mar 28, 2014
Organised: Corporation, Massachusetts

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
MML PRIVATE PLACEMENT INVESTMENT COMPANY I, LLC	n/a	n/a	Dec 17, 2011	n/a	Dec 17, 2011	dropped	n/a

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
BARRY, THOMAS, CORCORAN	Director	Na	yes	06/2007	Dec 17, 2011	Mar 28, 2014
CASALE, ROBERT	EXECUTIVE VICE PRESIDENT AND CHIEF INFORMATION OFFICER	Na	yes	04/2010	Dec 17, 2011	Mar 28, 2014
CHICARES, ELIZABETH, WARD	EXECUTIVE VICE PRESIDENT AND CHIEF ENTERPRISE RISK OFFICER	Na	yes	10/2011	Dec 17, 2011	Mar 28, 2014
CONDE, CRISTOBAL, I.	Director	Na	yes	04/2011	Dec 17, 2011	Mar 28, 2014
CORBET, KATHLEEN, ANN	Director	Na	yes	02/2008	Dec 17, 2011	Mar 28, 2014
CORBETT, M., TIMOTHY	EXECUTIVE VICE PRESIDENT AND CHIEF INVESTMENT OFFICER	Na	yes	05/2011	Dec 17, 2011	Mar 28, 2014
CRANDALL, ROGER, WILLIAM	CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER AND DIRECTOR	Na	yes	06/2005	Dec 17, 2011	Mar 28, 2014
DEGRAFFENREIDT, JAMES, H.	LEAD DIRECTOR	Na	yes	02/2002	Dec 17, 2011	Mar 28, 2014
DENNIS, PATRICIA, DIAZ	Director	Na	yes	03/1996	Dec 17, 2011	Mar 28, 2014
ESSNER, ROBERT, ALAN	Director	Na	yes	06/2002	Dec 17, 2011	Mar 28, 2014
FANNING, MICHAEL, ROBERT	EXECUTIVE VICE PRESIDENT	Na	yes	12/2008	Dec 17, 2011	Mar 28, 2014
LEBOEUF, RAYMOND, WALTER	Director	Na	yes	02/2008	Dec 17, 2011	Mar 28, 2014
LUCIDO, BRADLEY, J.	SENIOR VICE PRESIDENT	Na	yes	07/2008	Dec 17, 2011	Mar 28, 2014
MINEHAN, CATHY, E.	Director	Na	yes	10/2009	Dec 17, 2011	Mar 28, 2014
PALERMINO, DEBRA	EXECUTIVE VICE PRESIDENT	Na	yes	04/2010	Dec 17, 2011	Mar 28, 2014
RACICOT, MARC	Director	Na	yes	08/2001	Dec 17, 2011	Mar 28, 2014
ROELLIG, MARK, DOUGLAS	EXECUTIVE VICE PRESIDENT & GENERAL COUNSEL	Na	yes	12/2005	Dec 17, 2011	Mar 28, 2014
ROLLINGS, MICHAEL, THOMAS	EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER	Na	yes	04/2006	Dec 17, 2011	Mar 28, 2014
SARSYNSKI, ELAINE, ANNE	EXECUTIVE VICE PRESIDENT	Na	yes	09/2005	Dec 17, 2011	Mar 28, 2014
SEN, LAURA, JEANNE	Director	Na	yes	10/2012	Nov 28, 2012	Mar 28, 2014
SPITZ, WILLIAM, TAYLOR	Director	Na	yes	12/2007	Dec 17, 2011	Mar 28, 2014
STITZER, H., TODD	Director	Na	yes	04/2011	Dec 17, 2011	Mar 28, 2014
WELLMAN, PHILIP, SMITH	VICE PRESIDENT, ASSOCIATE GENERAL COUNSEL, AND CHIEF COMPLIANCE OFFICER - MUTUAL FUNDS AND INVESTMENT ADVISORY ACTIVITIES	Na	yes	11/2008	Dec 17, 2011	Mar 28, 2014

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
BABSON CAPITAL MANAGEMENT LLC	n/a	Institutional manager	$393B	Y	yes	n/a
MML INVESTORS SERVICES, LLC	n/a	Bd affiliated wealth	$116B	Y	yes	n/a
CORNERSTONE REAL ESTATE ADVISERS LLC	n/a	Former SEC adviser	$33B	Y	yes	n/a
MML INVESTMENT ADVISERS, LLC	n/a	Asset manager	$25B	Y	yes	n/a
BARING INTERNATIONAL INVESTMENT LTD	n/a	Institutional manager	$23B	Y	yes	n/a
OFI GLOBAL INSTITUTIONAL, INC.	n/a	Former SEC adviser	$11B	Y	yes	n/a
BARING ASSET MANAGEMENT (ASIA) LIMITED	n/a	Former SEC adviser	$5.6B	Y	yes	n/a
OPPENHEIMERFUNDS INC	n/a	Asset manager	$827,684	Y	yes	n/a
BARING NORTH AMERICA LLC	n/a	n/a	n/a	Y	yes	n/a
C.M. LIFE INSURANCE COMPANY	n/a	n/a	n/a	Y	yes	n/a
MASSMUTUAL TRUST COMPANY, FSB	n/a	n/a	n/a	Y	yes	Ct
MML BAY STATE LIFE INSURANCE COMPANY	n/a	n/a	n/a	Y	yes	n/a
MML DISTRIBUTORS, LLC	n/a	n/a	n/a	Y	yes	n/a
MML INSURANCE AGENCY, LLC	n/a	n/a	n/a	Y	yes	n/a
MML STRATEGIC DISTRIBUTORS, LLC	n/a	n/a	n/a	Y	yes	n/a
MMLISI FINANCIAL ALLIANCES, LLC	n/a	Former SEC adviser	n/a	Y	yes	n/a
OPPENHEIMERFUNDS DISTRIBUTOR, INC.	n/a	n/a	n/a	Y	yes	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
Springfield	Ma	United States	n/a	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
2013	Mar 28, 2014	$40B	$40B	6,529	182	n/a	n/a	n/a
2012	Apr 1, 2013	$35B	$35B	5,300	180	n/a	n/a	n/a
2011	Mar 30, 2012	$32B	$32B	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
2013	$40B	$35B	13.0%	n/a	n/a	6,529	5,300	n/a	n/a

Relationships

Affiliated with (13)

← JEFFERIES FINANCE LLCRegistered adviserother investment adviser, bank, control
factForm ADV
← BARING ASSET MANAGEMENT (ASIA) LIMITEDRegistered adviserother investment adviser, control, common control
factForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserother investment adviser, broker-dealer, control, common control
factForm ADV
→ OPPENHEIMERFUNDS INCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, control, common control
factForm ADV
→ BARING INTERNATIONAL INVESTMENT LTDRegistered adviserother investment adviser, bank, control, common control
factForm ADV
→ BARINGS LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, control, common control
factForm ADV
→ CORNERSTONE REAL ESTATE ADVISERS LLCRegistered adviserother investment adviser, pooled vehicle sponsor, control, common control
factForm ADV
→ BARING ASSET MANAGEMENT (ASIA) LIMITEDRegistered adviserother investment adviser, bank, control, common control
factForm ADV
→ OFI GLOBAL INSTITUTIONAL, INC.Registered adviserother investment adviser, bank, pooled vehicle sponsor, control, common control
factForm ADV
→ MMLISI FINANCIAL ALLIANCES, LLCRegistered adviserother investment adviser, control, common control
factForm ADV
→ MML INVESTMENT ADVISERS, LLCRegistered adviserother investment adviser, bank, control, common control
factForm ADV
← TREMONT PARTNERS INCRegistered adviserother investment adviser, control, common control
factForm ADV
← BARING ASSET MANAGEMENT LLCRegistered adviserother investment adviser, control, common control
factForm ADV

Controls (23)

← ROLLINGS, MICHAEL, THOMASOwnerEXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER, ownership code NA, individual
Dec 17, 2011 to presentfactForm ADV
← FANNING, MICHAEL, ROBERTOwnerEXECUTIVE VICE PRESIDENT, ownership code NA, individual
Dec 17, 2011 to presentfactForm ADV
← SARSYNSKI, ELAINE, ANNEOwnerEXECUTIVE VICE PRESIDENT, ownership code NA, individual
Dec 17, 2011 to presentfactForm ADV
← CHICARES, ELIZABETH, WARDOwnerEXECUTIVE VICE PRESIDENT AND CHIEF ENTERPRISE RISK OFFICER, ownership code NA, individual
Dec 17, 2011 to presentfactForm ADV
← CORBET, KATHLEEN, ANNOwnerDIRECTOR, ownership code NA, individual
Dec 17, 2011 to presentfactForm ADV
← WELLMAN, PHILIP, SMITHOwnerVICE PRESIDENT, ASSOCIATE GENERAL COUNSEL, AND CHIEF COMPLIANCE OFFICER - MUTUAL FUNDS AND INVESTMENT ADVISORY ACTIVITIES, ownership code NA, individual
Dec 17, 2011 to presentfactForm ADV
← DENNIS, PATRICIA, DIAZOwnerDIRECTOR, ownership code NA, individual
Dec 17, 2011 to presentfactForm ADV
← CONDE, CRISTOBAL, I.OwnerDIRECTOR, ownership code NA, individual
Dec 17, 2011 to presentfactForm ADV
← RACICOT, MARCOwnerDIRECTOR, ownership code NA, individual
Dec 17, 2011 to presentfactForm ADV
← CRANDALL, ROGER, WILLIAMOwnerCHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER AND DIRECTOR, ownership code NA, individual
Dec 17, 2011 to presentfactForm ADV
← DEGRAFFENREIDT, JAMES, H.OwnerLEAD DIRECTOR, ownership code NA, individual
Dec 17, 2011 to presentfactForm ADV
← ESSNER, ROBERT, ALANOwnerDIRECTOR, ownership code NA, individual
Dec 17, 2011 to presentfactForm ADV
← CORBETT, M., TIMOTHYOwnerEXECUTIVE VICE PRESIDENT AND CHIEF INVESTMENT OFFICER, ownership code NA, individual
Dec 17, 2011 to presentfactForm ADV
← ROELLIG, MARK, DOUGLASOwnerEXECUTIVE VICE PRESIDENT & GENERAL COUNSEL, ownership code NA, individual
Dec 17, 2011 to presentfactForm ADV
← LEBOEUF, RAYMOND, WALTEROwnerDIRECTOR, ownership code NA, individual
Dec 17, 2011 to presentfactForm ADV
← LUCIDO, BRADLEY, J.OwnerSENIOR VICE PRESIDENT, ownership code NA, individual
Dec 17, 2011 to presentfactForm ADV
← MINEHAN, CATHY, E.OwnerDIRECTOR, ownership code NA, individual
Dec 17, 2011 to presentfactForm ADV
← CASALE, ROBERTOwnerEXECUTIVE VICE PRESIDENT AND CHIEF INFORMATION OFFICER, ownership code NA, individual
Dec 17, 2011 to presentfactForm ADV
← PALERMINO, DEBRAOwnerEXECUTIVE VICE PRESIDENT, ownership code NA, individual
Dec 17, 2011 to presentfactForm ADV
← STITZER, H., TODDOwnerDIRECTOR, ownership code NA, individual
Dec 17, 2011 to presentfactForm ADV
← SEN, LAURA, JEANNEOwnerDIRECTOR, ownership code NA, individual
Nov 28, 2012 to presentfactForm ADV
← BARRY, THOMAS, CORCORANOwnerDIRECTOR, ownership code NA, individual
Dec 17, 2011 to presentfactForm ADV
← SPITZ, WILLIAM, TAYLOROwnerDIRECTOR, ownership code NA, individual
Dec 17, 2011 to presentfactForm ADV

Advises (1)

→ MML PRIVATE PLACEMENT INVESTMENT COMPANY I, LLCPrivate fundIA, no longer reported
Dec 17, 2011 to Dec 17, 2011factForm ADV

Registered with (1)

← KELLY KIYOSHIRO ARAKAKIAdvisorregistration: previous registration
Dec 5, 2006 to Apr 28, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6949b2fa-c9c4-c0db-71d9-d888fc21c70a
First observed: Dec 17, 2011
Last observed: Mar 28, 2014 151 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.

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

CRD 2682

ENFIELD, CT

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:6949b2fa-c9c4-c0db-71d9-d888fc21c70a

Data as of Mar 28, 2014 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:14 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

MML PRIVATE PLACEMENT INVESTMENT COMPANY I, LLC

n/a

Dec 17, 2011

n/a

Dec 17, 2011

dropped

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BARRY, THOMAS, CORCORAN

Director

yes

06/2007

Dec 17, 2011

Mar 28, 2014

CASALE, ROBERT

EXECUTIVE VICE PRESIDENT AND CHIEF INFORMATION OFFICER

yes

04/2010

Dec 17, 2011

Mar 28, 2014

CHICARES, ELIZABETH, WARD

EXECUTIVE VICE PRESIDENT AND CHIEF ENTERPRISE RISK OFFICER

yes

10/2011

Dec 17, 2011

Mar 28, 2014

CONDE, CRISTOBAL, I.

Director

yes

04/2011

Dec 17, 2011

Mar 28, 2014

CORBET, KATHLEEN, ANN

Director

yes

02/2008

Dec 17, 2011

Mar 28, 2014

CORBETT, M., TIMOTHY

EXECUTIVE VICE PRESIDENT AND CHIEF INVESTMENT OFFICER

yes

05/2011

Dec 17, 2011

Mar 28, 2014

CRANDALL, ROGER, WILLIAM

CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER AND DIRECTOR

yes

06/2005

Dec 17, 2011

Mar 28, 2014

DEGRAFFENREIDT, JAMES, H.

LEAD DIRECTOR

yes

02/2002

Dec 17, 2011

Mar 28, 2014

DENNIS, PATRICIA, DIAZ

Director

yes

03/1996

Dec 17, 2011

Mar 28, 2014

ESSNER, ROBERT, ALAN

Director

yes

06/2002

Dec 17, 2011

Mar 28, 2014

FANNING, MICHAEL, ROBERT

EXECUTIVE VICE PRESIDENT

yes

12/2008

Dec 17, 2011

Mar 28, 2014

LEBOEUF, RAYMOND, WALTER

Director

yes

02/2008

Dec 17, 2011

Mar 28, 2014

LUCIDO, BRADLEY, J.

SENIOR VICE PRESIDENT

yes

07/2008

Dec 17, 2011

Mar 28, 2014

MINEHAN, CATHY, E.

Director

yes

10/2009

Dec 17, 2011

Mar 28, 2014

PALERMINO, DEBRA

EXECUTIVE VICE PRESIDENT

yes

04/2010

Dec 17, 2011

Mar 28, 2014

RACICOT, MARC

Director

yes

08/2001

Dec 17, 2011

Mar 28, 2014

ROELLIG, MARK, DOUGLAS

EXECUTIVE VICE PRESIDENT & GENERAL COUNSEL

yes

12/2005

Dec 17, 2011

Mar 28, 2014

ROLLINGS, MICHAEL, THOMAS

EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER

yes

04/2006

Dec 17, 2011

Mar 28, 2014

SARSYNSKI, ELAINE, ANNE

EXECUTIVE VICE PRESIDENT

yes

09/2005

Dec 17, 2011

Mar 28, 2014

SEN, LAURA, JEANNE

Director

yes

10/2012

Nov 28, 2012

Mar 28, 2014

SPITZ, WILLIAM, TAYLOR

Director

yes

12/2007

Dec 17, 2011

Mar 28, 2014

STITZER, H., TODD

Director

yes

04/2011

Dec 17, 2011

Mar 28, 2014

WELLMAN, PHILIP, SMITH

VICE PRESIDENT, ASSOCIATE GENERAL COUNSEL, AND CHIEF COMPLIANCE OFFICER - MUTUAL FUNDS AND INVESTMENT ADVISORY ACTIVITIES

yes

11/2008

Dec 17, 2011

Mar 28, 2014

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

BABSON CAPITAL MANAGEMENT LLC

n/a

Institutional manager

$393B

yes

n/a

MML INVESTORS SERVICES, LLC

n/a

Bd affiliated wealth

$116B

yes

n/a

CORNERSTONE REAL ESTATE ADVISERS LLC

n/a

Former SEC adviser

$33B

yes

n/a

MML INVESTMENT ADVISERS, LLC

n/a

Asset manager

$25B

yes

n/a

BARING INTERNATIONAL INVESTMENT LTD

n/a

Institutional manager

$23B

yes

n/a

OFI GLOBAL INSTITUTIONAL, INC.

n/a

Former SEC adviser

$11B

yes

n/a

BARING ASSET MANAGEMENT (ASIA) LIMITED

n/a

Former SEC adviser

$5.6B

yes

n/a

OPPENHEIMERFUNDS INC

n/a

Asset manager

$827,684

yes

n/a

BARING NORTH AMERICA LLC

n/a

yes

n/a

C.M. LIFE INSURANCE COMPANY

n/a

yes

n/a

MASSMUTUAL TRUST COMPANY, FSB

n/a

yes

MML BAY STATE 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 STRATEGIC DISTRIBUTORS, LLC

n/a

yes

n/a

MMLISI FINANCIAL ALLIANCES, LLC

n/a

Former SEC adviser

n/a

yes

n/a

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Springfield

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2013

Mar 28, 2014

$40B

6,529

182

n/a

2012

Apr 1, 2013

$35B

5,300

180

n/a

2011

Mar 30, 2012

$32B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2013

$40B

$35B

13.0%

n/a

6,529

5,300

n/a