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
MML Investors Services, LLC
Latest filing Sep 3, 2026
First filing on the tape Dec 9, 2011 · 222 filings
SEC status approved since Jul 13, 1993
RAUM
$116B
reported, Item 5.F
Discretionary
61%
of RAUM
Private clients
97%
$112B individuals and HNW
Advisors
5,082
registered through the firm on IAPD
RAUM per advisor
$22.8M
derived; firm RAUM over IAPD count
Employees
6,976
4,961 advisory (5.B.1)
Offices
1,093
beyond the principal office
Private funds
0
reported on Schedule D
History
222 filings and snapshots on the tape
RAUM$116B as of Jul 10, 2026
Mar 28, 2012$884M then
HNW client RAUM$6.2B as of Jul 10, 2026
Mar 29, 2018$1.1B then
State-registered IARs (5.B.3)5,405 as of Jul 10, 2026
Apr 1, 20131,913 then
Employees (5.A)6,976 as of Jul 10, 2026
Apr 1, 20134,806 then
Private funds: no history
RAUM +28% over the last fiscal year+25% a year over threeIARs 6,986 to 5,405offices 1,083 to 1,093
Practice profile
derived from the filing of Sep 3, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- 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)
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $22.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 88derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.0MderivedHNW RAUM over HNW clients
- Average account
- $254,230derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 61%derivedof RAUM
- Institutional
- 1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 4.6derived1,094 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- -23%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +16%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminars, otherreportedItem 5.G
- Financial planning clients
- 22,000reportedItem 5.H
- Wrap fee program
- $216BreportedItem 5.I
- Custody
- $107B, 481,519 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
- is a broker-dealer (6.A.1)
- 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)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$106B91%
- High-net-worth individuals$6.2B5.3%
- Corporations and businesses$1.9B1.6%
- Pension and profit-sharing plans$1.4B1.2%
- Charitable organizations$307M0.3%
- Banks and thrifts$91.6M0.1%
- Investment companies$85,7660.0%
- Individual clients
- 447,952reported
- HNW clients
- 885reported
- Pension plan clients
- 3,379reported
- Charitable clients
- 733reported
- Accounts
- 454,857reported
- Financial planning clients
- 22,000reported
- Wrap fee programs
- $111B sponsored, $0 managedreported
- Custody of client assets
- $107B for 481,519 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.02 related_bd=true related_bank=true bd_reps=6976.0derived
Advisors registered through the firm
5,092 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| John Walter WilsonChartered Financial Consultant | Houston, Tx | Feb 6, 1985 | 42 y | 1 |
| David Alexander Marley | Palm City, Fl | Jan 22, 1990 | 39 y | 0 |
| Dennis Joseph FlanaganChartered Financial Consultant | Palm Beach Gardens, Fl | Mar 25, 1991 | 38 y | 0 |
| Stephen David Estler | Ft Lauderdale, Fl | Mar 25, 1991 | 46 y | 0 |
| James Michael JensenCertified Financial Planner | Tampa, Fl | Mar 25, 1991 | 39 y | 1 |
| William John Chase | Sarasota, Fl | Aug 6, 1992 | 47 y | 0 |
| Robert Lee Smith | Tampa, Fl | Feb 23, 1993 | 35 y | 0 |
| Joseph F Eppy | Boca Raton, Fl | Mar 1, 1994 | 33 y | 0 |
| Thomas Edgar Mayer | Glendale, Wi | Aug 23, 1994 | 54 y | 0 |
| James M. Hasley | Longwood, Fl | Sep 12, 1994 | 32 y | 0 |
| Paul Joseph MarianoChartered Financial Consultant | Southbury, Ct | Sep 28, 1995 | 47 y | 0 |
| Belton Robinson | Stuart, Fl | Dec 11, 1995 | 39 y | 0 |
| Daniel Lewis Tasciotti | Pembroke Pines, Fl | Mar 1, 1996 | 34 y | 0 |
| Ivan Valdes | New Smyrna Beach, Fl | Apr 11, 1996 | 30 y | 0 |
| Craig Jonathan BedenChartered Financial Consultant | Mclean, Va | Feb 24, 1997 | 42 y | 0 |
| Edward James HopkinsChartered Financial Consultant | Port St Lucie, Fl | Mar 31, 1997 | 37 y | 0 |
| Mitchell Rutherford Mays | Lynchburg, Va | Jun 2, 1997 | 44 y | 0 |
| Frederick Thornton Scruggs | Forest, Va | Jun 4, 1997 | 49 y | 0 |
| Thomas Ward NaylorCertified Financial Planner | La Jolla, Ca | Jul 8, 1997 | 43 y | 0 |
| Jodi Phyllis RosenbloomChartered Financial Consultant | Studio City, Ca | Jul 8, 1997 | 38 y | 0 |
| David Warfield BennettCertified Financial Planner | Newport Beach, Ca | Jul 8, 1997 | 36 y | 0 |
| David Gregory Bohman | Los Alamitos, Ca | Dec 5, 1997 | 40 y | 0 |
| Sarah Chamberlain White | Rockville, Md | Mar 13, 1998 | 35 y | 0 |
| Roger Stephen Marks | Winter Park, Fl | Apr 9, 1998 | 49 y | 0 |
| Donald James HarringtonCertified Financial Planner, Chartered Financial Consultant | El Segundo, Ca | Apr 27, 1998 | 43 y | 0 |
| Cassandra Lou Wilson | Oklahoma City, Ok | Jun 15, 1998 | 39 y | 0 |
| Stacie Lyn Spielfogel | Boca Raton, Fl | Jul 9, 1998 | 30 y | 0 |
| Jean Allen Darcy | Williamsburg, Va | Jul 14, 1998 | 42 y | 0 |
| George Irving LambrixChartered Financial Consultant | Napa, Ca | Jul 23, 1998 | 42 y | 0 |
| Wayne Yoshitaka Tanaka | Honolulu, Hi | Oct 5, 1998 | 37 y | 0 |
| Robert Dean BruechertChartered Financial Consultant | Brea, Ca | Nov 9, 1998 | 62 y | 0 |
| Mark Allen Heisler | Indianapolis, In | Dec 3, 1998 | 39 y | 0 |
| Paul Alex Decoursey | Indianapolis, In | Dec 3, 1998 | 53 y | 0 |
| Charles Andrew Redd | Tulsa, Ok | Dec 8, 1998 | 43 y | 0 |
| Joseph Charles HalderChartered Financial Consultant | Alta Loma, Ca | Dec 21, 1998 | 39 y | 0 |
| Scott Matthew Sundet | West Des Moines, Ia | Jan 1, 1999 | 30 y | 0 |
| Charles Paul Andersen | Denver, Co | Jan 1, 1999 | 49 y | 0 |
| Joseph Alan Esposito | West Warwick, Ri | Jan 29, 1999 | 53 y | 0 |
| Franklin Jordan Taylor | Sherman Oaks, Ca | Feb 8, 1999 | 42 y | 0 |
| Stanley Roger DomineyCertified Financial Planner, Chartered Financial Consultant | St. Augustine, Fl | Mar 2, 1999 | 42 y | 0 |
Advisor movement
295 left, 266 joined in 12 months
net -29 in 12 months56 left in 90 days92 joined in 90 daysdeparture rate 5.8% of current headcount944 left over 36 months
Left, latest
- Hanwool J Jung to Trajan Wealth, L.L.C.Sep 1, 2026 · Affiliated broker-dealer or bank to independent RIA
- Joanne Amorosi to Cetera Investment Advisers LLCAug 31, 2026 · Affiliated broker-dealer or bank to another
- Benjamin Martin Dubinski to Cetera Investment Advisers LLCAug 31, 2026 · Affiliated broker-dealer or bank to another
- Peter J Hall to Cetera Investment Advisers LLCAug 28, 2026 · Affiliated broker-dealer or bank to another
- Michael Taylor Brown to Ameriprise Financial Services, LLCAug 28, 2026 · Affiliated broker-dealer or bank to another
- Robert J Link to LPL Financial LLCAug 28, 2026 · Affiliated broker-dealer or bank to another
- Jonathan David Cohen to Mercer Global Advisors Inc.Aug 27, 2026 · Affiliated broker-dealer or bank to independent RIA
- Jordan Marc Hirsch to Osaic Wealth, Inc.Aug 27, 2026 · Affiliated broker-dealer or bank to another
- Zachary Czaplicki to Cetera Investment Advisers LLCAug 26, 2026 · Affiliated broker-dealer or bank to another
- Timothy David O'Connell to Cetera Investment Advisers LLCAug 26, 2026 · Affiliated broker-dealer or bank to another
- Kyle Klatt to Calton & Associates, Inc.Aug 24, 2026 · Affiliated broker-dealer or bank to independent RIA
- Donald Scott Gondzar to LPL Enterprise, LLCAug 21, 2026 · Affiliated broker-dealer or bank to another
- George Anthony Schmansky to Cetera Investment Advisers LLCAug 19, 2026 · Affiliated broker-dealer or bank to another
- Gregory Shawn Barnett to Pnc Wealth ManagementAug 18, 2026 · Affiliated broker-dealer or bank to another
- Chaz Newton to Strategic Advisers LLCAug 14, 2026 · Affiliated broker-dealer or bank to another
Joined, latest
- Roy A Schoenfeld from Osaic Wealth, Inc.Sep 15, 2026 · Affiliated broker-dealer or bank to another
- Megan Cordi-Standfest from LPL Enterprise, LLCSep 15, 2026 · Affiliated broker-dealer or bank to another
- Adrienne Elizabeth Vollmer from Edward JonesSep 15, 2026 · Affiliated broker-dealer or bank to another
- Andrew Lawrence Cole from Sound Income Strategies, LLCSep 14, 2026 · RIA to affiliated broker-dealer or bank
- Anthony Lewis Gutwein from Edward JonesSep 11, 2026 · Affiliated broker-dealer or bank to another
- Blake Lindquist from J.P. Morgan Securities LLCSep 4, 2026 · Wirehouse to affiliated broker-dealer or bank
- Brian Christopher Sullivan from Morgan StanleySep 3, 2026 · Wirehouse to affiliated broker-dealer or bank
- Patrick Betancourt from Strategic Advisers LLCSep 3, 2026 · Affiliated broker-dealer or bank to another
- Kerriann Margaret Collins from Empower Advisory Group, LLCSep 2, 2026 · Affiliated broker-dealer or bank to another
- Alexandra Wlassowsky from Citigroup Global Markets Inc.Sep 1, 2026 · Affiliated broker-dealer or bank to another
- Kevin Michael Murray from Td Private Client Wealth LLCAug 31, 2026 · Affiliated broker-dealer or bank to another
- Robert David Jacobs from Blackrock Investment Management, LLCAug 26, 2026 · Other
- Neil Christopher Schimka from Wells Fargo AdvisorsAug 26, 2026 · Wirehouse to affiliated broker-dealer or bank
- Charles F Russ from Park Avenue Securities LLCAug 25, 2026 · Affiliated broker-dealer or bank to another
- Amir De La Vega from Strategic Advisers LLCAug 25, 2026 · Affiliated broker-dealer or bank to another
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for Cetera Investment Advisers LLCAug 26, 2026 · Newtown, Ct
- 2 left for Cetera Investment Advisers LLCAug 19, 2026 · East Hills, Ny
- 2 left for LPL Financial LLCJul 22, 2026 · Springfield, Ma
- 4 left for LPL Financial LLCJul 22, 2026 · Solon, Oh
- 3 left for LPL Financial LLCJul 2, 2026 · Tyler, Tx
- 2 left for LPL Financial LLCJun 15, 2026 · Windermere, Fl
- 2 left for LPL Financial LLCJun 9, 2026 · Southfield, Mi
- 5 left for Spectrum Strategies, L.L.C.Jun 4, 2026 · Dallas, Tx
- 5 joined from Park Avenue Securities LLCAug 14, 2026 · Glenview, Il
- 2 joined from Equitable Advisors, LLCAug 11, 2026 · New York, Ny
- 5 joined from Park Avenue Securities LLCJul 31, 2026 · Mt Pleasant, Sc
- 2 joined from Equitable Advisors, LLCJul 6, 2026 · New York, Ny
- 2 joined from Park Avenue Securities LLCJun 4, 2026 · Indianapolis, In
- 2 joined from Park Avenue Securities LLCMar 16, 2026 · Rye Brook, Ny
- 2 joined from Edward JonesMar 5, 2026 · New York, Ny
- 2 joined from Northwestern Mutual Investment Services,LLCDec 31, 2025 · Knoxville, Tn
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Thomas K Bauer · Chief Technology Officercontrolsince 03/2017 · owns less than 5%
- Vaughn Charles Bowman · Chief Executive Officer, President And Chairman Of The Boardcontrolsince 02/2025 · owns less than 5%
- Geoffrey Craddock · Directorcontrolsince 11/2017 · owns less than 5%
- Edward Karl Duch III · Chief Legal Officer, Secretary And Vice Presidentcontrolsince 06/2022 · owns less than 5%
- Gregory Joseph Giardiello · Directorcontrolsince 05/2026 · owns less than 5%
- David Michael Holtzer · Field Risk Officercontrolsince 03/2017 · owns less than 5%
- Paul Anthony Lapiana · Directorcontrolsince 06/2023 · owns less than 5%
- Joseph Patrick III Mallee · Directorcontrolsince 02/2025 · owns less than 5%
- David Myers Mink · Vice President And Chief Operations Officercontrolsince 03/2017 · owns less than 5%
- George Ashley IV Randall · Field Risk Officercontrolsince 05/2025 · owns less than 5%
- Jennifer Rhodes Reilly · Directorcontrolsince 04/2024 · owns less than 5%
- Frank Joseph Rispoli · Chief Financial Officer And Treasurercontrolsince 06/2022 · owns less than 5%
- Courtney Mckenzie Rogers Reid · Chief Compliance Officercontrolsince 10/2021 · owns less than 5%
- John Arthur Vaccaro · Chairman Emerituscontrolsince 02/2025 · owns less than 5%
- Mary Bea Wilkinson · Vice Presidentcontrolsince 03/2017 · owns less than 5%
Entity owners
- Massmutual Holding LLC · Memberdirect · owns 75% or more
- Massachusetts Mutual Life Insurance Company · Parent Companyindirect · owns 75% or more of Massmutual Holding LLC
Related persons
Schedule D 7.A
- Barings (U.K.) Limitedinvestment adviserbankpooled vehicle sponsorn
- Barings LLCinvestment adviserbankpooled vehicle sponsornRAUM $393B
- Flourish Financial LLCbroker-dealern
- Haven Life Insurance Agency, LLCreal estaten
- Massachusetts Mutual Life Insurance Companybankreal estatey
- Massmutual Asia Limitedreal estaten
- Massmutual Private Wealth & Trust, Fsbn
- MML Distributors, LLCbroker-dealern
- MML Insurance Agency, LLCreal estatey
- MML Investment Advisers, LLCinvestment adviserbankn
- MML Strategic Distributors, LLCbroker-dealern
Advisers that list MML Investors Services, LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny | 244 | 30 | 6 | 1 | |
| Newtown Square, Pa | 166 | 18 | 2 | ||
| Boston, Ma | 128 | 31 | 8 | 1 | |
| Springfield, Ma · principal | 122 | 14 | 3 | 1 | |
| Shelton, Ct | 95 | 11 | 1 | ||
| Atlanta, Ga | 80 | 16 | 4 | 1 | |
| Amherst, Ny | 79 | 3 | 5 | 2 | |
| East Hills, Ny | 77 | 7 | 3 | 1 | |
| Elmsford, Ny | 77 | 9 | 4 | ||
| Los Angeles, Ca | 76 | 13 | 3 | ||
| Indianapolis, In | 74 | 11 | 2 | ||
| Memphis, Tn | 70 | 6 | 4 | ||
| Dallas, Tx | 69 | 12 | 13 | 2 | |
| Chicago, Il | 64 | 8 | 5 | 1 | |
| Scottsdale, Az | 63 | 3 | 2 | ||
| Charlotte, Nc | 58 | 5 | 4 | 1 | |
| Warren, Nj | 56 | 7 | 2 | ||
| Rochester, Ny | 56 | 2 | 5 | 1 | |
| Newport Beach, Ca | 53 | 6 | 2 | ||
| Chesterfield, Mo | 51 | 8 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Newtown Square, PA155 employees
- Shelton, CT109 employees
- East Hills, NY103 employees
- Elmsford, NY86 employees
- New York, NY85 employees
- Boston, MA83 employees
- Boston, MA83 employees
- Indianapolis, IN69 employees
- Ft. Lauderdale, FL68 employees
- Southfield, MI67 employees
- Amherst, NY66 employees
- Wall Township, NJ64 employees
- Chesterfield, MO60 employees
- Charlotte, NC59 employees
- New York, NY58 employees
- Wellesley, MA56 employees
- Hunt Valley, MD54 employees
- Rochester, NY54 employees
- Mechanicsburg, PA53 employees
- Wakefield, MA51 employees
- Bala Cynwyd, PA51 employees
- Hauppauge, NY49 employees
- Chicago, IL48 employees
- Dallas, TX45 employees
- Horsham, PA45 employees
ADV anomalies
6 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Sep 3, 2026MALLEE, JOSEPH PATRICK III (DIRECTOR) appeared on Schedule A between the filings of 2024-04-16 and 2026-09-03peers: affiliated wealth managers, $20B and over (50)
- control person changedChange between filings · filing Sep 3, 2026RANDALL, GEORGE ASHLEY IV (FIELD RISK OFFICER) appeared on Schedule A between the filings of 2024-04-16 and 2026-09-03peers: affiliated wealth managers, $20B and over (50)
- control person changedChange between filings · filing Sep 3, 2026GIARDIELLO, GREGORY JOSEPH (DIRECTOR) appeared on Schedule A between the filings of 2024-04-16 and 2026-09-03peers: affiliated wealth managers, $20B and over (50)
- control person changedChange between filings · filing Sep 3, 2026REILLY, JENNIFER RHODES (DIRECTOR) left Schedule A between the filings of 2024-04-16 and 2026-09-03peers: affiliated wealth managers, $20B and over (50)
- control person changedChange between filings · filing Sep 3, 2026HOLTZER, DAVID MICHAEL (FIELD RISK OFFICER) left Schedule A between the filings of 2024-04-16 and 2026-09-03peers: affiliated wealth managers, $20B and over (50)
- control person changedChange between filings · filing Sep 3, 2026ROGERS REID, COURTNEY MCKENZIE (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2024-04-16 and 2026-09-03peers: affiliated wealth managers, $20B and over (50)
What changed
consecutive filings, newest first
- Financial planning clients · More than 500 to More than 500Jul 10, 2026 to Sep 3, 2026
- Succession · false to unsetJul 10, 2026 to Sep 3, 2026
- Accounts · 392,820 to 454,857Jan 29, 2026 to Mar 31, 2026
- Advisory employees · 4,935 to 4,961Jan 29, 2026 to Mar 31, 2026
- BD registered reps · 7,056 to 6,976Jan 29, 2026 to Mar 31, 2026
- Charity clients · 596 to 733Jan 29, 2026 to Mar 31, 2026
- Corporate clients · 1,556 to 1,873Jan 29, 2026 to Mar 31, 2026
- HNW clients · 735 to 885Jan 29, 2026 to Mar 31, 2026
- Individual clients · 386,818 to 447,952Jan 29, 2026 to Mar 31, 2026
- Pension plan clients · 3,088 to 3,379Jan 29, 2026 to Mar 31, 2026
- Assets in custody · $66B to $107BJan 29, 2026 to Mar 31, 2026
- Employees · 7,056 to 6,976Jan 29, 2026 to Mar 31, 2026
- Insurance-licensed employees · 29 to 20Jan 29, 2026 to Mar 31, 2026
- State-registered IARs · 6,986 to 5,405Jan 29, 2026 to Mar 31, 2026
- Other offices · 1,083 to 1,093Jan 29, 2026 to Mar 31, 2026
- Discretionary RAUM · $53B to $71BJan 29, 2026 to Mar 31, 2026
- HNW RAUM · $4.3B to $6.2BJan 29, 2026 to Mar 31, 2026
- Individual RAUM · $83B to $106BJan 29, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $37B to $45BJan 29, 2026 to Mar 31, 2026
- Pension RAUM · $1.2B to $1.4BJan 29, 2026 to Mar 31, 2026
- RAUM · $90B to $116BJan 29, 2026 to Mar 31, 2026
- Wrap assets (sponsor) · $9.0B to $111BJan 29, 2026 to Mar 31, 2026
- Financial planning clients · More than 500 to More than 500May 15, 2025 to Jul 22, 2025
- Accounts · 351,645 to 392,820Feb 19, 2025 to Mar 28, 2025
- Advisory employees · 4,764 to 4,935Feb 19, 2025 to Mar 28, 2025
- BD registered reps · 7,130 to 7,056Feb 19, 2025 to Mar 28, 2025
- Charity clients · 517 to 596Feb 19, 2025 to Mar 28, 2025
- Corporate clients · 1,370 to 1,556Feb 19, 2025 to Mar 28, 2025
- HNW clients · 393 to 735Feb 19, 2025 to Mar 28, 2025
- Individual clients · 346,487 to 386,818Feb 19, 2025 to Mar 28, 2025
- Pension plan clients · 2,846 to 3,088Feb 19, 2025 to Mar 28, 2025
- Employees · 7,130 to 7,056Feb 19, 2025 to Mar 28, 2025
- Insurance-licensed employees · 24 to 29Feb 19, 2025 to Mar 28, 2025
- State-registered IARs · 7,011 to 6,986Feb 19, 2025 to Mar 28, 2025
- Other offices · 1,110 to 1,083Feb 19, 2025 to Mar 28, 2025
- Discretionary RAUM · $42B to $53BFeb 19, 2025 to Mar 28, 2025
- HNW RAUM · $2.7B to $4.3BFeb 19, 2025 to Mar 28, 2025
- Individual RAUM · $68B to $83BFeb 19, 2025 to Mar 28, 2025
- Non-discretionary RAUM · $31B to $37BFeb 19, 2025 to Mar 28, 2025
- Pension RAUM · $988M to $1.2BFeb 19, 2025 to Mar 28, 2025
Signals
60 dated events
- Christopher Todd Chilcoat no longer holds an investment adviser registration (last listed at Mml Investors Services, Llc on the 2026-09-16 feed)Sep 16, 2026 · Advisor registration ended · derived
- Jennifer A Yapsuga registered as an investment adviser representative at Mml Investors Services, LlcSep 16, 2026 · Advisor registered · fact
- Miguel Gerardo Morales Dacones registered as an investment adviser representative at Mml Investors Services, LlcSep 16, 2026 · Advisor registered · fact
- Benjamin Reilly Marrs registered as an investment adviser representative at Mml Investors Services, LlcSep 16, 2026 · Advisor registered · fact
- Brian Keith Salmonson no longer holds an investment adviser registration (last listed at Mml Investors Services, Llc on the 2026-09-15 feed)Sep 15, 2026 · Advisor registration ended · derived
- Skylar Cook no longer holds an investment adviser registration (last listed at Mml Investors Services, Llc on the 2026-09-15 feed)Sep 15, 2026 · Advisor registration ended · derived
- Drake Ryan Kelly registered as an investment adviser representative at Mml Investors Services, LlcSep 15, 2026 · Advisor registered · fact
- Adrienne Elizabeth Vollmer registered as an investment adviser representative at Mml Investors Services, LlcSep 15, 2026 · Advisor registered · fact
- Megan Cordi-Standfest registered as an investment adviser representative at Mml Investors Services, LlcSep 15, 2026 · Advisor registered · fact
- Roy A Schoenfeld registered as an investment adviser representative at Mml Investors Services, LlcSep 15, 2026 · Advisor registered · fact
- Henry Andrew Vincent added a CT registration at Mml Investors Services, LlcSep 15, 2026 · New state registration · fact
- Robert Charles Carty added a VA registration at Mml Investors Services, LlcSep 15, 2026 · New state registration · fact
- Steven Johnson added a TX registration at Mml Investors Services, LlcSep 15, 2026 · New state registration · fact
- Jacob Christopher Engel added a TX registration at Mml Investors Services, LlcSep 15, 2026 · New state registration · fact
- Parker James Higham added a TX registration at Mml Investors Services, LlcSep 15, 2026 · New state registration · fact
- Taechan Yang no longer holds an investment adviser registration (last listed at Mml Investors Services, Llc on the 2026-09-14 feed)Sep 14, 2026 · Advisor registration ended · derived
- Andrew Lawrence Cole registered as an investment adviser representative at Mml Investors Services, LlcSep 14, 2026 · Advisor registered · fact
- John David Skubitz registered as an investment adviser representative at Mml Investors Services, LlcSep 14, 2026 · Advisor registered · fact
- Jacob Berg registered as an investment adviser representative at Mml Investors Services, LlcSep 14, 2026 · Advisor registered · fact
- Amir De La Vega added a TX registration at Mml Investors Services, LlcSep 14, 2026 · New state registration · fact
- Hanwool J Jung left Mml Investors Services, Llc for Trajan Wealth, L.L.C. (registered 2026-09-01)Sep 1, 2026 · Advisor changed firm · fact
- Benjamin Martin Dubinski left Mml Investors Services, Llc for Cetera Investment Advisers Llc (registered 2026-08-25)Aug 31, 2026 · Advisor changed firm · fact
- Joanne Amorosi left Mml Investors Services, Llc for Cetera Investment Advisers Llc (registered 2026-08-26)Aug 31, 2026 · Advisor changed firm · fact
- Robert J Link left Mml Investors Services, Llc for Lpl Financial Llc (registered 2026-08-28)Aug 28, 2026 · Advisor changed firm · fact
- Michael Taylor Brown left Mml Investors Services, Llc for Ameriprise Financial Services, Llc (registered 2026-08-27)Aug 28, 2026 · Advisor changed firm · fact
- Peter J Hall left Mml Investors Services, Llc for Cetera Investment Advisers Llc (registered 2026-08-25)Aug 28, 2026 · Advisor changed firm · fact
- Jordan Marc Hirsch left Mml Investors Services, Llc for Osaic Wealth, Inc. (registered 2026-08-27)Aug 27, 2026 · Advisor changed firm · fact
- Jonathan David Cohen left MML Investors Services, LLC for Mercer Global Advisors Inc. (registered 2026-09-16)Aug 27, 2026 · Advisor changed firm · fact
- Zachary Czaplicki left Mml Investors Services, Llc for Cetera Investment Advisers Llc (registered 2026-08-25)Aug 26, 2026 · Advisor changed firm · fact
- Timothy David O'Connell left Mml Investors Services, Llc for Cetera Investment Advisers Llc (registered 2026-08-25)Aug 26, 2026 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
- MML Investors Services, LLC · Private Equityshared crd · intermediary
- MML Investors Services, Inc. · Venture Capitalshared crd · org
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/INGOODCOMPANYMMreportedpublic record, Form ADV, Sep 17, 2026
- Website
- MMLINVESTORS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (413) 226-0000reportedpublic record, Form ADV, Sep 3, 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
- Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $22.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026