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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

SOCIETY OF GROWNUPS, LLC

CRD 171855

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:cd06e028-1627-18f7-1285-2f7aba952b10

Data as of Oct 17, 2016 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:49 AM UTC and rebuilt at most every 15 minutes.

Relationships: 20
Dated events: 1
On other graphs: 0
Observed: Jul 25, 2014 to Oct 17, 2016
19 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: 46
Advisory employees: 4
SEC number: 801-80145
CRD: 171855
Filings on the tape: 19
First filed: Jul 25, 2014
Latest filed: Oct 17, 2016
Organised: Limited Liability Company, Massachusetts

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
CHICARES, ELIZABETH, WARD	Manager	Na	yes	04/2014	Jul 25, 2014	Oct 17, 2016
DUCH III, EDWARD, KARL	CHIEF LEGAL OFFICER AND SECRETARY	Na	yes	05/2015	May 11, 2015	Oct 17, 2016
MARTINI, STEFANO	Manager	Na	yes	04/2014	Jul 25, 2014	Oct 17, 2016
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY	Parent	E	yes	04/2014	Jul 25, 2014	Oct 17, 2016
MASSMUTUAL HOLDING LLC	Member	E	yes	04/2014	Jul 25, 2014	Oct 17, 2016
PICKEN, TODD	Treasurer	Na	yes	04/2014	Jul 25, 2014	Oct 17, 2016
ROSS, GARETH	CHIEF EXECUTIVE OFFICER AND PRESIDENT	Na	yes	10/2016	Jul 25, 2014	Oct 17, 2016
SCANLON, SUSAN, JOANN	CHIEF COMPLIANCE OFFICER	Na	yes	04/2014	Jul 25, 2014	Oct 17, 2016
WALKER, TRICIA, MARIE	Manager	Na	yes	05/2016	Jul 25, 2014	Oct 17, 2016
DUPUIS-KRAUSE, JENNIFER	ASSISTANT SECRETARY	Na	no	04/2014	Jul 25, 2014	Oct 17, 2016

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
BARINGS LLC	n/a	Institutional manager	$393B	N	yes	n/a
MML INVESTORS SERVICES, LLC	n/a	Bd affiliated wealth	$116B	N	yes	n/a
BARINGS REAL ESTATE ADVISERS LLC	n/a	Former SEC adviser	$33B	N	yes	n/a
MML INVESTMENT ADVISERS, LLC	n/a	Asset manager	$25B	N	yes	n/a
MSI FINANCIAL SERVICES, INC.	n/a	Former SEC adviser	$14B	N	yes	n/a
OPPENHEIMERFUNDS INC	n/a	Asset manager	$827,684	N	yes	n/a
BARING ASSET MANAGEMENT LIMITED	n/a	n/a	n/a	N	yes	n/a
BARINGS (U.K.) LIMITED	n/a	n/a	n/a	N	yes	n/a
C. M. LIFE INSURANCE COMPANY	n/a	n/a	n/a	N	yes	n/a
HAVEN LIFE INSURANCE AGENCY, LLC	n/a	n/a	n/a	N	yes	n/a
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY	n/a	n/a	n/a	Y	no	n/a
MASSMUTUAL ASIA LIMITED	n/a	n/a	n/a	N	yes	n/a
MML BAY STATE LIFE INSURANCE COMPANY	n/a	n/a	n/a	N	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 STRATEGIC DISTRIBUTORS, LLC	n/a	n/a	n/a	N	yes	n/a
MMLISI FINANCIAL ALLIANCES, LLC	n/a	Former SEC adviser	n/a	N	yes	n/a
THE MASSMUTUAL 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
Brookline	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
2015	Mar 30, 2016	n/a	n/a	46	4	n/a	n/a	n/a
2014	Mar 31, 2015	n/a	n/a	26	4	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
2015	n/a	n/a	n/a	n/a	n/a	46	26	n/a	n/a

Relationships

Affiliated with (8)

← MSI FINANCIAL SERVICES, INC.Registered adviserother investment adviser, common control
factForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ OPPENHEIMERFUNDS INCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ BARINGS LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ CORNERSTONE REAL ESTATE ADVISERS LLCRegistered adviserother investment adviser, pooled vehicle sponsor, LP sponsor, common control
factForm ADV
→ MMLISI FINANCIAL ALLIANCES, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ MML INVESTMENT ADVISERS, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV

Controls (9)

← SCANLON, SUSAN, JOANNOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jul 25, 2014 to presentfactForm ADV
← CHICARES, ELIZABETH, WARDOwnerMANAGER, ownership code NA, individual
Jul 25, 2014 to presentfactForm ADV
← PICKEN, TODDOwnerTREASURER, ownership code NA, individual
Jul 25, 2014 to presentfactForm ADV
← DUCH III, EDWARD, KARLOwnerCHIEF LEGAL OFFICER AND SECRETARY, ownership code NA, individual
May 11, 2015 to presentfactForm ADV
← WALKER, TRICIA, MARIEOwnerMANAGER, ownership code NA, individual
Jul 25, 2014 to presentfactForm ADV
← MARTINI, STEFANOOwnerMANAGER, ownership code NA, individual
Jul 25, 2014 to presentfactForm ADV
← ROSS, GARETHOwnerCHIEF EXECUTIVE OFFICER AND PRESIDENT, ownership code NA, individual
Jul 25, 2014 to presentfactForm ADV
← MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANYOwnerPARENT, ownership code E, domestic entity
Jul 25, 2014 to presentfactForm ADV
← MASSMUTUAL HOLDING LLCOwnerMEMBER, ownership code E, domestic entity
Jul 25, 2014 to presentfactForm ADV

Owns (1)

← DUPUIS-KRAUSE, JENNIFEROwnerASSISTANT SECRETARY, ownership code NA, individual
Jul 25, 2014 to presentfactForm ADV

Registered with (2)

← RACHEL G RABINOVICHAdvisorregistration: previous registration
Sep 25, 2015 to Mar 20, 2017factForm ADV
← TYLER A DOLANAdvisorregistration: previous registration
Apr 14, 2016 to Mar 20, 2017factForm ADV

Dated events

Occurred
Jul 25, 2014
First Form ADV filing
Society Of Grownups, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cd06e028-1627-18f7-1285-2f7aba952b10
First observed: Jul 25, 2014
Last observed: Oct 17, 2016 120 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.

SOCIETY OF GROWNUPS, LLC

CRD 171855

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:cd06e028-1627-18f7-1285-2f7aba952b10

Data as of Oct 17, 2016 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:49 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CHICARES, ELIZABETH, WARD

Manager

yes

04/2014

Jul 25, 2014

Oct 17, 2016

DUCH III, EDWARD, KARL

CHIEF LEGAL OFFICER AND SECRETARY

yes

05/2015

May 11, 2015

Oct 17, 2016

MARTINI, STEFANO

Manager

yes

04/2014

Jul 25, 2014

Oct 17, 2016

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

Parent

yes

04/2014

Jul 25, 2014

Oct 17, 2016

MASSMUTUAL HOLDING LLC

Member

yes

04/2014

Jul 25, 2014

Oct 17, 2016

PICKEN, TODD

Treasurer

yes

04/2014

Jul 25, 2014

Oct 17, 2016

ROSS, GARETH

CHIEF EXECUTIVE OFFICER AND PRESIDENT

yes

10/2016

Jul 25, 2014

Oct 17, 2016

SCANLON, SUSAN, JOANN

CHIEF COMPLIANCE OFFICER

yes

04/2014

Jul 25, 2014

Oct 17, 2016

WALKER, TRICIA, MARIE

Manager

yes

05/2016

Jul 25, 2014

Oct 17, 2016

DUPUIS-KRAUSE, JENNIFER

ASSISTANT SECRETARY

04/2014

Jul 25, 2014

Oct 17, 2016

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

BARINGS LLC

n/a

Institutional manager

$393B

yes

n/a

MML INVESTORS SERVICES, LLC

n/a

Bd affiliated wealth

$116B

yes

n/a

BARINGS 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

MSI FINANCIAL SERVICES, INC.

n/a

Former SEC adviser

$14B

yes

n/a

OPPENHEIMERFUNDS INC

n/a

Asset manager

$827,684

yes

n/a

BARING ASSET MANAGEMENT LIMITED

n/a

yes

n/a

BARINGS (U.K.) LIMITED

n/a

yes

n/a

C. M. LIFE INSURANCE COMPANY

n/a

yes

n/a

HAVEN LIFE INSURANCE AGENCY, LLC

n/a

yes

n/a

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

n/a

MASSMUTUAL ASIA LIMITED

n/a

yes

n/a

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

THE MASSMUTUAL TRUST COMPANY

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Brookline

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2015

Mar 30, 2016

n/a

2014

Mar 31, 2015

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2015

n/a