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.

Former SEC-registered adviser

Mmlisi Financial Alliances, LLC

Former SEC-registered adviserSpringfield, MassachusettsCRD 119003SEC 801-68596IAPD
Latest filing May 5, 2020
First filing on the tape Dec 21, 2011 · 27 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
19
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 30, 2020
Mar 28, 20120 then
Employees (5.A)19 as of Mar 30, 2020
Apr 1, 201329 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of May 5, 2020; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
19.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
otherreportedItem 5.G
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 an insurance broker or agent (6.A.6)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Nathan Hall · Treasurercontrol
      since 07/2012 · owns less than 5%
    • Francis William Monroe · Presidentcontrol
      since 08/2015 · owns less than 5%
    • John Robert Rogan · Directorcontrol
      since 03/2008 · owns less than 5%
    • Robert Steven Rosenthal · Secretary And Chief Legal Officercontrol
      since 03/2005 · owns less than 5%
    • Susan Joann Scanlon · Chief Compliance Officercontrol
      since 04/2012 · owns less than 5%
    • P Delphine Soucie · Directorcontrol
      since 05/2016 · owns less than 5%
    • Arthur John Vaccaro · Directorcontrol
      since 08/2015 · owns less than 5%
    Entity owners
    • MML Investors Services, LLC · Owner
      direct · owns 50% to 75%
    • Massachusetts Mutual Life Insurance Company · Parent Company
      indirect · owns 75% or more of Massmutual Holding LLC
    • Massmutual Holding LLC · Member
      indirect · owns 75% or more of MML Investors Services, LLC
    Related persons
    Schedule D 7.A
    Advisers that list Mmlisi Financial Alliances, LLC as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Employees · 20 to 19
      Apr 2, 2018 to Mar 29, 2019
    • BD registered reps · 18 to 17
      Mar 28, 2017 to Mar 29, 2018
    • Employees · 23 to 20
      Mar 28, 2017 to Mar 29, 2018
    • Other offices · unset to 0.0
      Mar 28, 2017 to Mar 29, 2018
    • BD registered reps · 23 to 18
      Dec 22, 2016 to Mar 28, 2017
    • Employees · 29 to 23
      Dec 22, 2016 to Mar 28, 2017
    • BD registered reps · 24 to 23
      Dec 16, 2014 to Mar 27, 2015
    • Employees · 26 to 29
      Dec 16, 2014 to Mar 27, 2015
    • BD registered reps · 29 to 24
      Oct 18, 2013 to Mar 28, 2014
    • Employees · 29 to 26
      Oct 18, 2013 to Mar 28, 2014
    • Insurance-licensed employees · 2 to 1
      Oct 18, 2013 to Mar 28, 2014
    • State-registered IARs · 2 to 1
      Oct 18, 2013 to Mar 28, 2014
    • BD registered reps · 24 to 29
      Feb 6, 2013 to Apr 1, 2013
    • Employees · 24 to 29
      Feb 6, 2013 to Apr 1, 2013
    • Insurance-licensed employees · 1 to 2
      Feb 6, 2013 to Apr 1, 2013
    • State-registered IARs · 1 to 2
      Feb 6, 2013 to Apr 1, 2013
    • BD registered reps · unset to 24.0
      Jul 26, 2012 to Dec 21, 2012
    • Employees · unset to 24.0
      Jul 26, 2012 to Dec 21, 2012
    • State-registered IARs · 0 to 1
      Jul 26, 2012 to Dec 21, 2012
    • Insurance-licensed employees · unset to 1.0
      Dec 21, 2011 to Mar 28, 2012
    • Related bank · false to true
      Dec 21, 2011 to Mar 28, 2012
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026