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.
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SEC-registered adviser
M••••• O• A•••••• L••• I•••••••• C••••••
Latest filing Mar 31, 2026
First filing on the tape Mar 29, 2012 · 33 filings
SEC status approved since Jun 1, 1984
RAUM
$434M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
734
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$434M as of Mar 31, 2026
Mar 29, 2012$743M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 29, 20120 then
Employees (5.A)734 as of Mar 31, 2026
Apr 1, 2013972 then
Private funds: no history
RAUM +29% over the last fiscal year-17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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)
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- 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
- 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
- $20.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, pension consultingreportedItem 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
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$434M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 21reported
- Charitable clients
- n/areported
- Accounts
- 21reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=true related_bank=true bd_reps=427.0derived
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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••••• J••••• A•••••• · Executive Vice President, Chief Legal Officer And General Counselcontrolsince 06/2022 · owns less than 5%
- G••••••••• A••••••• · Executive Vice President And Chief Financial Officercontrolsince 06/2024 · owns less than 5%
- M•••••• K•••• L••••••• · Senior Vice President & Chief Compliance Officercontrolsince 03/2023 · owns less than 5%
- R•••• S••••••• J•••••• · Chairman And Ceocontrolsince 07/2024 · owns less than 5%
- R•••••• M•••••••• A••• · Executive Vice President, Enterprise Risk Management & Internal Auditorcontrolsince 03/2018 · owns less than 5%
- S••••••• B••••• Q•••• · President & Chief Operating Officercontrolsince 06/2024 · owns less than 5%
- A••••• M••••••• J•• · Directorsince 07/2024 · owns less than 5%
- B••••••• R••••••• T•••••• · Directorsince 03/2018 · owns less than 5%
- C••••••• K••••••• A•• · Directorsince 05/2006 · owns less than 5%
- F••••••••• W••••• A••• I•• · Directorsince 09/2015 · owns less than 5%
- H••••• B•••••• G••••••••• L•••••• · Directorsince 09/2021 · owns less than 5%
- H••••• M•••••• A•••••• · Directorsince 06/2004 · owns less than 5%
- M••••••• R••••• J••••• · Directorsince 05/2008 · owns less than 5%
- O••••• E•••• · Directorsince 05/2017 · owns less than 5%
- P•••••• R•••• B••••• · Directorsince 05/2004 · owns less than 5%
- P••••• P••••• A•• · Directorsince 09/2021 · owns less than 5%
- R•••••• D•••••• J•• · Directorsince 06/2000 · owns less than 5%
Related persons
Schedule D 7.A
- M••••• O• A•••••• C•••••• M••••••••• L••investment adviserbankpooled vehicle sponsoryRAUM $20B
- M••••• O• A•••••• S••••••••• L••broker-dealery
Advisers that list M••••• O• A•••••• L••• I•••••••• C•••••• as a related person
- 106523 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 22 to 21May 13, 2025 to Mar 31, 2026
- BD registered reps · 382 to 427May 13, 2025 to Mar 31, 2026
- Pension plan clients · 22 to 21May 13, 2025 to Mar 31, 2026
- Employees · 753 to 734May 13, 2025 to Mar 31, 2026
- Discretionary RAUM · $336M to $434MMay 13, 2025 to Mar 31, 2026
- Pension RAUM · $336M to $434MMay 13, 2025 to Mar 31, 2026
- RAUM · $336M to $434MMay 13, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Mar 31, 2025 to May 13, 2025
- Accounts · 29 to 22Aug 28, 2024 to Mar 31, 2025
- BD registered reps · 487 to 382Aug 28, 2024 to Mar 31, 2025
- Pension plan clients · 29 to 22Aug 28, 2024 to Mar 31, 2025
- Employees · 900 to 753Aug 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $819M to $336MAug 28, 2024 to Mar 31, 2025
- Pension RAUM · $819M to $336MAug 28, 2024 to Mar 31, 2025
- RAUM · $819M to $336MAug 28, 2024 to Mar 31, 2025
- Accounts · 33 to 29Apr 5, 2023 to Mar 30, 2024
- BD registered reps · 515 to 487Apr 5, 2023 to Mar 30, 2024
- Pension plan clients · 33 to 29Apr 5, 2023 to Mar 30, 2024
- Employees · 950 to 900Apr 5, 2023 to Mar 30, 2024
- Discretionary RAUM · $748M to $819MApr 5, 2023 to Mar 30, 2024
- Pension RAUM · $748M to $819MApr 5, 2023 to Mar 30, 2024
- RAUM · $748M to $819MApr 5, 2023 to Mar 30, 2024
- Accounts · 37 to 33Mar 31, 2022 to Mar 31, 2023
- BD registered reps · 494 to 515Mar 31, 2022 to Mar 31, 2023
- Pension plan clients · 37 to 33Mar 31, 2022 to Mar 31, 2023
- Employees · 915 to 950Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $1.0B to $748MMar 31, 2022 to Mar 31, 2023
- Pension RAUM · $1.0B to $748MMar 31, 2022 to Mar 31, 2023
- RAUM · $1.0B to $748MMar 31, 2022 to Mar 31, 2023
- Accounts · 39 to 37Mar 31, 2021 to Mar 31, 2022
- BD registered reps · 489 to 494Mar 31, 2021 to Mar 31, 2022
- Pension plan clients · 39 to 37Mar 31, 2021 to Mar 31, 2022
- Employees · 980 to 915Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $948M to $1.0BMar 31, 2021 to Mar 31, 2022
- Pension RAUM · $948M to $1.0BMar 31, 2021 to Mar 31, 2022
- RAUM · $948M to $1.0BMar 31, 2021 to Mar 31, 2022
- Accounts · 45 to 39Jan 21, 2021 to Mar 31, 2021
- BD registered reps · 480 to 489Jan 21, 2021 to Mar 31, 2021
- Pension plan clients · 45 to 39Jan 21, 2021 to Mar 31, 2021
- Employees · 978 to 980Jan 21, 2021 to Mar 31, 2021
Signals
15 dated events
- M••••• O• A•••••• L••• I•••••••• C•••••• reported RAUM $335.6M, down 59% from $818.7M (2024-08-28 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- Johnson Stephen Rich (Chairman And Ceo) appeared on Schedule A of M••••• O• A•••••• L••• I•••••••• C••••••Aug 28, 2024 · Control person joined · fact
- Richard John Greed (Chairman And Ceo) no longer on Schedule A of M••••• O• A•••••• L••• I•••••••• C•••••• (listed 2024-06-25, absent 2024-08-28)Aug 28, 2024 · Control person left · inference
- Quinn Brian Severin (President & Chief Operating Officer) appeared on Schedule A of M••••• O• A•••••• L••• I•••••••• C••••••Jun 25, 2024 · Control person joined · fact
- A••••••• G•••••••• (Executive Vice President And Chief Financial Officer) appeared on Schedule A of M••••• O• A•••••• L••• I•••••••• C••••••Jun 25, 2024 · Control person joined · fact
- Chris Warren Festog (Senior Executive Vice President & Chief Financial Officer) no longer on Schedule A of M••••• O• A•••••• L••• I•••••••• C•••••• (listed 2024-03-30, absent 2024-06-25)Jun 25, 2024 · Control person left · inference
- M•••••• Christopher Miseo (Sr. Vp & Dir Of Acc & Fin Reporting) no longer on Schedule A of M••••• O• A•••••• L••• I•••••••• C•••••• (listed 2024-03-30, absent 2024-06-25)Jun 25, 2024 · Control person left · inference
- M••••• O• A•••••• L••• I•••••••• C•••••• reported RAUM $747.6M, down 28% from $1.0B (2022-03-31 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- James Joseph Roth (Sr. Executive Vice President/General Counsel/Director) no longer on Schedule A of M••••• O• A•••••• L••• I•••••••• C•••••• (listed 2022-03-31, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Kathryn A••• Lu (Executive Vice President & Chief Compliance Officer) no longer on Schedule A of M••••• O• A•••••• L••• I•••••••• C•••••• (listed 2022-03-31, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Anthony Jason D'Angelo (Executive Vice President And General Counsel) appeared on Schedule A of M••••• O• A•••••• L••• I•••••••• C••••••Mar 31, 2023 · Control person joined · fact
- L••••••• K••• M••••• (Senior Vice President & Chief Compliance Officer) appeared on Schedule A of M••••• O• A•••••• L••• I•••••••• C••••••Mar 31, 2023 · Control person joined · fact
- Diana Helen Glynn (Senior Vice President And Internal Auditor) no longer on Schedule A of M••••• O• A•••••• L••• I•••••••• C•••••• (listed 2020-03-30, absent 2021-01-21)Jan 21, 2021 · Control person left · inference
- William Stephen Jr Conway (Sr. Executive Vice President/Chief Operating Officer/Director) no longer on Schedule A of M••••• O• A•••••• L••• I•••••••• C•••••• (listed 2019-06-06, absent 2019-09-27)Sep 27, 2019 · Control person left · inference
- Christopher M•••••• Miseo (Sr. Vp & Dir Of Acc & Fin Reporting (Principal Financial Officer & Principal Operations Officer)) appeared on Schedule A of M••••• O• A•••••• L••• I•••••••• C••••••Jun 6, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/company/mutualofamericareportedpublic record, Form ADV, Sep 19, 2026
- Website
- M.M•••••OFA••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (212) 224-1600reportedpublic record, Form ADV, Mar 31, 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
- Institutional managerderiveda 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