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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

MMC SECURITIES LLC

CRD 103846

NEW YORK, NY

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:aff4f535-bcb3-9f08-d484-92c929bd4bca

Data as of Apr 18, 2019 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 71
Dated events: 1
On other graphs: 2
Observed: Mar 26, 2012 to Apr 18, 2019
43 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

MMC Securities Corp.

Intermediary · shared crd

Allocatorsidentity

MMC Securities LLC

Investment consultant · shared crd

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: 106
Advisory employees: 33
Offices: 19Schedule D 1.F, beyond the principal office
SEC number: 801-60515
CRD: 103846
Filings on the tape: 43
First filed: Mar 26, 2012
Latest filed: Apr 18, 2019
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
BLACKMORE, KIMBERLY LYNN	CO-PRESIDENT, FINOP, PFO, POO, DIRECTOR (ELECTED MANAGER) AND TREASURER	Na	yes	10/2008	Mar 26, 2012	Apr 18, 2019
GUY CARPENTER & COMPANY, LLC	Owner	E	yes	09/1995	Mar 31, 2015	Apr 18, 2019
HUM, CHI HONG	CO-PRESIDENT, ASSISTANT SECRETARY AND DIRECTOR (ELECTED MANAGER)	Na	yes	11/2008	Mar 26, 2012	Apr 18, 2019
MARSH & MCLENNAN AGENCY LLC	Owner	C	yes	11/2018	Mar 27, 2019	Apr 18, 2019
MARSH & MCLENNAN COMPANIES, INC.	Member	E	yes	02/1999	Mar 26, 2012	Apr 18, 2019
MARSH INSURANCE & INVESTMENTS LLC	SOLE MEMBER	E	yes	06/2003	Mar 30, 2016	Apr 18, 2019
MARSH LLC	Shareholder	E	yes	02/1999	Aug 25, 2017	Apr 18, 2019
MARSH USA INC.	Owner	E	yes	11/2009	Aug 25, 2017	Apr 18, 2019
SEABURY & SMITH LLC	Owner	E	yes	11/2018	Mar 27, 2019	Apr 18, 2019
EZBIANSKY, CHRISTOPHER	ASSISTANT SECRETARY AND DIRECTOR (ELECTED MANAGER)	Na	no	09/2012	Sep 19, 2012	Apr 18, 2019
LIEBOWITZ, MARIANE ASHLEY	CORPORATE SECRETARY	Na	no	11/2007	Mar 26, 2012	Apr 18, 2019
SAHARIC, TROY KENNETH	Director	Na	no	05/2018	Mar 27, 2019	Apr 18, 2019

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
MERCER INVESTMENTS LLC	n/a	Institutional manager	$226B	N	yes	n/a
MMA SECURITIES LLC	n/a	No RAUM reported	$0	N	yes	n/a
MARSH & MCLENNAN AGENCY, LLC	n/a	n/a	n/a	N	yes	n/a
MARSH INSURANCE & INVESTMENTS LLC	n/a	n/a	n/a	Y	yes	n/a
MERCER (US) INC.	n/a	n/a	n/a	N	yes	n/a
MERCER GLOBAL INVESTMENTS CANADA LIMITED	n/a	n/a	n/a	N	yes	n/a
MERCER HEALTH & BENEFITS LLC	n/a	n/a	n/a	N	yes	n/a
MERCER TRUST COMPANY	n/a	n/a	n/a	N	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
Tampa	FL	United States	4	yes
Boston	Ma	United States	4	yes
Charlotte	Nc	United States	4	yes
SAN DIEGO	CA	United States	3	no
Hartford	Ct	United States	3	yes
SAN FRANCISCO	CA	United States	2	yes
WASHINGTON DC	Dc	United States	2	yes
Chicago	IL	United States	2	yes
Denver	Co	United States	1	yes
Norwalk	Ct	United States	1	yes
Wilmington	De	United States	1	yes
Atlanta	Ga	United States	1	yes
Minneapolis	Mn	United States	1	yes
Portland	Or	United States	1	yes
Philadelphia	Pa	United States	1	yes
Pittsburgh	Pa	United States	1	yes
Houston	TX	United States	1	yes
Richmond	Va	United States	1	yes
Spokane	Wa	United States	1	yes

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
2018	Mar 27, 2019	n/a	n/a	106	33	19	n/a	n/a
2017	Mar 29, 2018	n/a	n/a	128	38	19	n/a	n/a
2016	Mar 31, 2017	n/a	n/a	128	38	n/a	n/a	n/a
2015	Mar 30, 2016	n/a	n/a	33	33	n/a	n/a	n/a
2014	Mar 31, 2015	n/a	n/a	142	50	n/a	n/a	n/a
2013	Mar 31, 2014	n/a	n/a	144	42	n/a	n/a	n/a
2012	Apr 1, 2013	n/a	n/a	55	55	n/a	n/a	n/a
2011	Mar 26, 2012	n/a	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
2018	n/a	n/a	n/a	n/a	n/a	106	128	19	19

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
SAGEPOINT FINANCIAL, INC.	2	Jul 6, 2018	Nov 11, 2014	SAN DIEGO, CA	Team lift out	Other	0.2%

Relationships

Affiliated with (9)

← MERCER INVESTMENTS LLCRegistered adviserbroker-dealer, common control
factForm ADV
← MMA ASSET MANAGEMENT LLCRegistered adviserbroker-dealer, common control
factForm ADV
← MMA SECURITIES LLCRegistered adviserbroker-dealer, common control
factForm ADV
← PRECEPT ADVISORY GROUP LLCRegistered adviserbroker-dealer, common control
factForm ADV
← MERCER ALTERNATIVES LIMITEDRegistered adviserother investment adviser, broker-dealer, LP sponsor, common control
factForm ADV
→ MERCER INVESTMENTS LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, LP sponsor, common control
factForm ADV
→ MMA SECURITIES LLCRegistered adviserother investment adviser, broker-dealer, LP sponsor, common control
factForm ADV
← MERCER INVESTMENT CONSULTING LLCRegistered adviserother investment adviser, broker-dealer, LP sponsor, common control
factForm ADV
← HAMMOND ASSOCIATES, D/B/A MERCER INVESTMENT CONSULTINGRegistered adviserother investment adviser, broker-dealer
factForm ADV

Controls (9)

← HUM, CHI HONGOwnerCO-PRESIDENT, ASSISTANT SECRETARY AND DIRECTOR (ELECTED MANAGER), ownership code NA, individual
Mar 26, 2012 to presentfactForm ADV
← BLACKMORE, KIMBERLY LYNNOwnerCO-PRESIDENT, FINOP, PFO, POO, DIRECTOR (ELECTED MANAGER) AND TREASURER, ownership code NA, individual
Mar 26, 2012 to presentfactForm ADV
← GUY CARPENTER & COMPANY, LLCOwnerOWNER, ownership code E, domestic entity
Mar 31, 2015 to presentfactForm ADV
← MARSH & MCLENNAN AGENCY LLCOwnerOWNER, ownership code C, domestic entity
Mar 27, 2019 to presentfactForm ADV
← MARSH & MCLENNAN COMPANIES, INC.OwnerMEMBER, ownership code E, domestic entity
Mar 26, 2012 to presentfactForm ADV
← MARSH INSURANCE & INVESTMENTS LLCOwnerSOLE MEMBER, ownership code E, domestic entity
Mar 30, 2016 to presentfactForm ADV
← MARSH LLCOwnerSHAREHOLDER, ownership code E, domestic entity
Aug 25, 2017 to presentfactForm ADV
← MARSH USA INC.OwnerOWNER, ownership code E, domestic entity
Aug 25, 2017 to presentfactForm ADV
← SEABURY & SMITH LLCOwnerOWNER, ownership code E, domestic entity
Mar 27, 2019 to presentfactForm ADV

Owns (3)

← EZBIANSKY, CHRISTOPHEROwnerASSISTANT SECRETARY AND DIRECTOR (ELECTED MANAGER), ownership code NA, individual
Sep 19, 2012 to presentfactForm ADV
← SAHARIC, TROY KENNETHOwnerDIRECTOR, ownership code NA, individual
Mar 27, 2019 to presentfactForm ADV
← LIEBOWITZ, MARIANE ASHLEYOwnerCORPORATE SECRETARY, ownership code NA, individual
Mar 26, 2012 to presentfactForm ADV

Registered with (49)

← Steven Joseph WhitmanAdvisorregistration: previous registration
Apr 10, 2012 to Jan 6, 2020factForm ADV
← Christopher Robert CoddAdvisorregistration: previous registration
Dec 7, 2005 to Dec 31, 2019factForm ADV
← Brian Michael ZitoAdvisorregistration: previous registration
Oct 5, 2017 to Dec 31, 2019factForm ADV
← Jay W HaysAdvisorregistration: previous registration
Nov 1, 2016 to Dec 31, 2019factForm ADV
← Cameron WrennallAdvisorregistration: previous registration
Feb 17, 2017 to Dec 31, 2019factForm ADV
← Luther Charles MeythalerAdvisorregistration: previous registration
Jun 14, 2011 to Dec 31, 2019factForm ADV
← MICHAEL EDWARD SYLVESTERAdvisorregistration: previous registration
Dec 22, 2016 to Nov 30, 2018factForm ADV
← KEVIN MICHAEL CLEMSONAdvisorregistration: previous registration
Sep 14, 2017 to Dec 18, 2017factForm ADV
← HUBERT PAUL KINGSLEYAdvisorregistration: previous registration
Jul 14, 2005 to Sep 8, 2017factForm ADV
← Christina Anne TunisonAdvisorregistration: previous registration
May 10, 2016 to Jul 21, 2017factForm ADV
← CHARLES FRANCIS MANSFIELDAdvisorregistration: previous registration
Jul 22, 2010 to Jun 7, 2016factForm ADV
← STEPHEN THEODORE BOUDREAUAdvisorregistration: previous registration
Mar 10, 2014 to Jan 6, 2016factForm ADV
← BRADLEY JAFFE ALTMANAdvisorregistration: previous registration
Aug 11, 2014 to Jan 6, 2016factForm ADV
← RYAN MICHAEL STOVERAdvisorregistration: previous registration
Nov 11, 2014 to Oct 7, 2015factForm ADV
← GARY LYNN GUNNINGAdvisorregistration: previous registration
Nov 6, 2014 to Sep 15, 2015factForm ADV
← WILLIAM JOSEPH PEARTREEAdvisorregistration: previous registration
Sep 17, 2014 to Sep 15, 2015factForm ADV
← CHRISTOPHER PETER MICHAEL HERSELAdvisorregistration: previous registration
Jan 24, 2011 to Jul 7, 2015factForm ADV
← Kipp Gordon SmallAdvisorregistration: previous registration
Nov 4, 2011 to Apr 17, 2015factForm ADV
← KERRIE JM CASEYAdvisorregistration: previous registration
Oct 4, 2010 to Feb 27, 2015factForm ADV
← Amanda Hayda StaplesAdvisorregistration: previous registration
Jan 10, 2011 to Dec 18, 2014factForm ADV
← JEFFREY ROBERT KLEINAdvisorregistration: previous registration
Sep 29, 2010 to Oct 31, 2013factForm ADV
← JUERYLL NORMAND B BUANAdvisorregistration: previous registration
May 5, 2008 to Oct 4, 2013factForm ADV
← ROBERT ANTHONY DEAN EAGLEAdvisorregistration: previous registration
Jun 22, 2007 to Sep 5, 2013factForm ADV
← JOHN COTHRAN ELLISAdvisorregistration: previous registration
Jul 26, 2005 to Aug 9, 2013factForm ADV
← JULIE HILLIARD WILSONAdvisorregistration: previous registration
Feb 29, 2008 to Oct 25, 2012factForm ADV
← THOMAS PAUL SIMONSONAdvisorregistration: previous registration
Sep 24, 2003 to Aug 10, 2012factForm ADV
← Kelli HamptonAdvisorregistration: previous registration
Jul 14, 2009 to Apr 2, 2012factForm ADV
← DAVID S DONOHOEAdvisorregistration: previous registration
Dec 21, 2009 to Apr 2, 2012factForm ADV
← Kimberly Dawn MelloAdvisorregistration: previous registration
Sep 22, 2008 to Mar 15, 2012factForm ADV
← LISA FAITH VAILLANCOURTAdvisorregistration: previous registration
Sep 29, 2010 to Feb 17, 2012factForm ADV
and 19 more

Moved with (1)

← SAGEPOINT FINANCIAL, INC.Registered adviser2 advisors, team lift out, same day
Jul 6, 2018 to Nov 11, 2014factForm ADV

Dated events

Occurred
Jan 28, 2016
Succession filed (Item 4)
Mmc Securities Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 3 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:aff4f535-bcb3-9f08-d484-92c929bd4bca
First observed: Mar 26, 2012
Last observed: Apr 18, 2019 90 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.

MMC SECURITIES LLC

CRD 103846

NEW YORK, NY

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:aff4f535-bcb3-9f08-d484-92c929bd4bca

Data as of Apr 18, 2019 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:59 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BLACKMORE, KIMBERLY LYNN

CO-PRESIDENT, FINOP, PFO, POO, DIRECTOR (ELECTED MANAGER) AND TREASURER

yes

10/2008

Mar 26, 2012

Apr 18, 2019

GUY CARPENTER & COMPANY, LLC

Owner

yes

09/1995

Mar 31, 2015

Apr 18, 2019

HUM, CHI HONG

CO-PRESIDENT, ASSISTANT SECRETARY AND DIRECTOR (ELECTED MANAGER)

yes

11/2008

Mar 26, 2012

Apr 18, 2019

MARSH & MCLENNAN AGENCY LLC

Owner

yes

11/2018

Mar 27, 2019

Apr 18, 2019

MARSH & MCLENNAN COMPANIES, INC.

Member

yes

02/1999

Mar 26, 2012

Apr 18, 2019

MARSH INSURANCE & INVESTMENTS LLC

SOLE MEMBER

yes

06/2003

Mar 30, 2016

Apr 18, 2019

MARSH LLC

Shareholder

yes

02/1999

Aug 25, 2017

Apr 18, 2019

MARSH USA INC.

Owner

yes

11/2009

Aug 25, 2017

Apr 18, 2019

SEABURY & SMITH LLC

Owner

yes

11/2018

Mar 27, 2019

Apr 18, 2019

EZBIANSKY, CHRISTOPHER

ASSISTANT SECRETARY AND DIRECTOR (ELECTED MANAGER)

09/2012

Sep 19, 2012

Apr 18, 2019

LIEBOWITZ, MARIANE ASHLEY

CORPORATE SECRETARY

11/2007

Mar 26, 2012

Apr 18, 2019

SAHARIC, TROY KENNETH

Director

05/2018

Mar 27, 2019

Apr 18, 2019

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

MERCER INVESTMENTS LLC

n/a

Institutional manager

$226B

yes

n/a

MMA SECURITIES LLC

n/a

No RAUM reported

yes

n/a

MARSH & MCLENNAN AGENCY, LLC

n/a

yes

n/a

MARSH INSURANCE & INVESTMENTS LLC

n/a

yes

n/a

MERCER (US) INC.

n/a

yes

n/a

MERCER GLOBAL INVESTMENTS CANADA LIMITED

n/a

yes

n/a

MERCER HEALTH & BENEFITS LLC

n/a

yes

n/a

MERCER TRUST COMPANY

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Tampa

United States

yes

Boston

United States

yes

Charlotte

United States

yes

SAN DIEGO

United States

Hartford

United States

yes

SAN FRANCISCO

United States

yes

WASHINGTON DC

United States

yes

Chicago

United States

yes

Denver

United States

yes

Norwalk

United States

yes

Wilmington

United States

yes

Atlanta

United States

yes

Minneapolis

United States

yes

Portland

United States

yes

Philadelphia

United States

yes

Pittsburgh

United States

yes

Houston

United States

yes

Richmond

United States

yes

Spokane

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 27, 2019

n/a

106

n/a

2017

Mar 29, 2018

n/a

128

n/a

2016

Mar 31, 2017

n/a

128

n/a

2015

Mar 30, 2016

n/a

2014

Mar 31, 2015

n/a

142

n/a

2013

Mar 31, 2014

n/a

144

n/a

2012

Apr 1, 2013

n/a

2011

Mar 26, 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

2018

n/a

106

128

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

SAGEPOINT FINANCIAL, INC.

Jul 6, 2018

Nov 11, 2014

SAN DIEGO, CA

Team lift out

Other

0.2%