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
Mma Asset Management LLC
Latest filing Jun 30, 2026
First filing on the tape Mar 19, 2012 · 38 filings
SEC status approved since Nov 10, 2010
RAUM
$788M
reported, Item 5.F
Discretionary
51%
of RAUM
Private clients
42%
$330M individuals and HNW
Advisors
20
registered through the firm on IAPD
RAUM per advisor
$39.4M
derived; firm RAUM over IAPD count
Employees
19
18 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$788M as of Jun 30, 2026
Mar 19, 2012$220M then
HNW client RAUM$291M as of Jun 30, 2026
Mar 30, 2018$70.9M then
State-registered IARs (5.B.3)18 as of Jun 30, 2026
Mar 19, 20120 then
Employees (5.A)19 as of Jun 30, 2026
Feb 19, 201310 then
Private funds: no history
RAUM +10% over the last fiscal year+19% a year over threeIARs 16 to 18
Practice profile
derived from the filing of Jun 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 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
- $39.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 14derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 51%derivedof RAUM
- Institutional
- 54%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 5.0derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.8%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 advisersreportedItem 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)
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$417M53%
- High-net-worth individuals$291M37%
- Individuals$39.3M5.0%
- Corporations and businesses$31.9M4.1%
- Charitable organizations$9.4M1.2%
- Individual clients
- 134reported
- HNW clients
- 148reported
- Pension plan clients
- 8reported
- Charitable clients
- 5reported
- Accounts
- 561reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.42 fund_share=0.0 institutional_share=0.54 related_bd=true related_bank=true bd_reps=16.0derived
Advisors registered through the firm
20 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Derrick Thomas HolmlundCertified Financial Planner | Minneapolis, Mn | Oct 2, 2017 | 14 y | 0 |
| Bradley Pennington PikeChartered Financial Analyst | Conshohocken, Pa | May 28, 2019 | 23 y | 6 |
| James Gerard Hageney | Conshohocken, Pa | May 28, 2019 | 32 y | 7 |
| Eugene Richard Weber | Boston, Ma | May 28, 2019 | 25 y | 7 |
| Samuel G Haines | Conshohocken, Pa | May 28, 2019 | 22 y | 6 |
| Joseph Eugene Bartnicki | Conshohocken, Pa | May 28, 2019 | 32 y | 2 |
| Patrick Stewart Reisinger | Boston, Ma | May 28, 2019 | 31 y | 3 |
| Michael Joseph Hagelgans | Conshohocken, Pa | May 29, 2019 | 24 y | 4 |
| Paul George LiebezeitCertified Financial Planner | Boston, Ma | May 29, 2019 | 31 y | 4 |
| Kyle Richard PurcellCertified Financial Planner | Conshohocken, Pa | Aug 14, 2020 | 12 y | 0 |
| Andrew Patrick Bray | Greensboro, Nc | Apr 3, 2023 | 19 y | 2 |
| Kathleen Alaina Kelly | Conshohocken, Pa | Apr 3, 2023 | 31 y | 2 |
| George Gibbons Hoyle | Conshohocken, Pa | Apr 3, 2023 | 34 y | 2 |
| Sean Bradley | Conshohocken, Pa | Dec 8, 2023 | 15 y | 0 |
| Kevin James Broderick | Boston, Ma | Jan 2, 2024 | 24 y | 0 |
| Marshal Scott Champlin | San Diego, Ca | Dec 10, 2024 | 12 y | 2 |
| Nathaniel Hastings EichertChartered Financial Analyst | Conshohocken, Pa | Mar 27, 2025 | 11 y | 0 |
| Melaina Kaite Melcher | Conshohocken, Pa | Nov 24, 2025 | 20 y | 0 |
| Kevin James Bowler | San Diego, Ca | Jun 11, 2026 | 20 y | 3 |
| Juan David Arbelaez-Calad | Saddlebrook, Nj | Jul 22, 2026 | 10 y | 1 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 5.0% of current headcount2 left over 36 months
Left, latest
- Cody Matthew Lewallen to Ifg Advisory, LLCNov 21, 2025 · RIA to RIA
- Dylan James Cooke to J.P. Morgan Securities LLCJun 25, 2025 · RIA to wirehouse
- Eugene Richard Weber to The Centurion Group, LLCDec 31, 2019 · Other
- Paul George Liebezeit to LPL Financial LLCDec 31, 2019 · Other
- William John Roth to The Centurion Group, LLCMay 26, 2016 · Other
- Rebecca Louise Hafer to Private Advisor Group, LLCOct 6, 2014 · Other
- Kimberly A Oswald to The Centurion Group, LLCOct 6, 2014 · Other
- Brett Raymond Cloak to The Centurion Group, LLCOct 6, 2014 · Other
- Beth Anne Buckley to LPL Financial LLCOct 6, 2014 · Other
Joined, latest
- Cody Matthew Lewallen from Mma Securities LLCJan 22, 2025 · Other
- George Gibbons Hoyle from LPL Financial LLCApr 3, 2023 · Affiliated broker-dealer or bank to independent RIA
- Dylan James Cooke from Mma Securities LLCJul 5, 2022 · Other
- Bradley Pennington Pike from The Centurion Group, LLCOct 28, 2016 · Other
- Samuel G Haines from The Centurion Group, LLCOct 27, 2016 · Other
- William John Roth from LPL Financial LLCSep 23, 2013 · Other
- Michael Joseph Hagelgans from The Centurion Group, LLCFeb 25, 2011 · Other
- Brett Raymond Cloak from New England Securities CorporationFeb 25, 2011 · Other
- Rebecca Louise Hafer from The Centurion Group, LLCJan 5, 2011 · Other
- Eugene Richard Weber from Nrp Advisors, Inc.Jan 3, 2011 · Other
- James Gerard Hageney from The Centurion Group, LLCJan 3, 2011 · Other
- Paul George Liebezeit from Nrp Advisors, Inc.Nov 24, 2010 · Other
- Beth Anne Buckley from Nrp Advisors, Inc.Nov 24, 2010 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for Mma Securities LLCDec 31, 2019 · Conshohocken, Pa · Firm absorbed
- 4 joined from The Centurion Group, LLCDec 31, 2019 · Plymouth Meeting, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Lynn Kimberly Blackmore · Financial And Operations Principalcontrolsince 05/2019 · owns less than 5%
- George Paul Liebezeit · Presidentcontrolsince 10/2010 · owns less than 5%
- Duane Kevin Turton · Chief Compliance Officercontrolsince 03/2023 · owns less than 5%
Entity owners
- Marsh & Mclennan Agency LLC · Managing Memberdirect · owns 75% or more
- Marsh & Mclennan Companies, Inc. · Parent Companyindirect · owns 75% or more of Marsh LLC · public reporting company
- Marsh LLC · Ownerindirect · owns 75% or more of Marsh USA LLC
- Marsh USA LLC · Ownerindirect · owns 75% or more of Marsh & Mclennan Agency LLC
Related persons
Schedule D 7.A
- Guy Carpenter & Company, LLCreal estatey
- Marsh & Mclennan Agency, LLCreal estatey
- Marsh Insurance & Investments LLCreal estatey
- Marsh USA LLCreal estatey
- Mercer (US) Inc.LP sponsorreal estaten
- Mercer Global Investments Canada Limitedinvestment adviserbankpooled vehicle sponsorn
- Mercer Investments LLCinvestment adviserbankpooled vehicle sponsorLP sponsornRAUM $226B
- Mma Securities LLCbroker-dealerinvestment adviserLP sponsorreal estaten
- Mmc Securities (Ireland)broker-dealerinvestment advisern
- Mmc Securities Limitedbroker-dealerinvestment advisern
- Mmc Securities LLCbroker-dealern
Advisers that list Mma Asset Management LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Conshohocken, Pa · principal | 19 | 4 | 1 | ||
| Greensboro, Nc | 3 | 0 | 0 | ||
| San Diego, Ca | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Greensboro, NC3 employees
- San Diego, CA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Jun 30, 2026institutional share of RAUM of 54% against a peer median of 2% (1483 comparable advisers, 98.0th percentile, 17.7 robust deviations)peers: independent wealth managers, $500M to $1B (1,483) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 555 to 561Nov 25, 2025 to Mar 27, 2026
- Advisory employees · 16 to 18Nov 25, 2025 to Mar 27, 2026
- BD registered reps · 15 to 16Nov 25, 2025 to Mar 27, 2026
- Charity clients · 3 to 5Nov 25, 2025 to Mar 27, 2026
- Corporate clients · 3 to 6Nov 25, 2025 to Mar 27, 2026
- HNW clients · 134 to 148Nov 25, 2025 to Mar 27, 2026
- Individual clients · 156 to 134Nov 25, 2025 to Mar 27, 2026
- Pension plan clients · 7 to 8Nov 25, 2025 to Mar 27, 2026
- Employees · 17 to 19Nov 25, 2025 to Mar 27, 2026
- Insurance-licensed employees · 16 to 18Nov 25, 2025 to Mar 27, 2026
- Financial planning clients · 11-25 to 1-10Nov 25, 2025 to Mar 27, 2026
- State-registered IARs · 16 to 18Nov 25, 2025 to Mar 27, 2026
- Discretionary RAUM · $365M to $402MNov 25, 2025 to Mar 27, 2026
- HNW RAUM · $256M to $291MNov 25, 2025 to Mar 27, 2026
- Individual RAUM · $54.6M to $39.3MNov 25, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $350M to $386MNov 25, 2025 to Mar 27, 2026
- Pension RAUM · $372M to $417MNov 25, 2025 to Mar 27, 2026
- RAUM · $715M to $788MNov 25, 2025 to Mar 27, 2026
- Financial planning clients · 11-25 to 11-25Mar 27, 2025 to Jun 6, 2025
- Accounts · 534 to 555Jan 8, 2025 to Mar 27, 2025
- Advisory employees · 17 to 16Jan 8, 2025 to Mar 27, 2025
- Advisory activities · 4 to 5Jan 8, 2025 to Mar 27, 2025
- BD registered reps · 16 to 15Jan 8, 2025 to Mar 27, 2025
- Charity clients · unset to 3.0Jan 8, 2025 to Mar 27, 2025
- Corporate clients · 5 to 3Jan 8, 2025 to Mar 27, 2025
- HNW clients · 131 to 134Jan 8, 2025 to Mar 27, 2025
- Individual clients · 137 to 156Jan 8, 2025 to Mar 27, 2025
- Pension plan clients · 6 to 7Jan 8, 2025 to Mar 27, 2025
- Insurance-licensed employees · 17 to 16Jan 8, 2025 to Mar 27, 2025
- State-registered IARs · 17 to 16Jan 8, 2025 to Mar 27, 2025
- Other offices · 2 to 3Jan 8, 2025 to Mar 27, 2025
- Discretionary RAUM · $325M to $365MJan 8, 2025 to Mar 27, 2025
- HNW RAUM · $229M to $256MJan 8, 2025 to Mar 27, 2025
- Individual RAUM · $48.8M to $54.6MJan 8, 2025 to Mar 27, 2025
- Non-discretionary RAUM · $314M to $350MJan 8, 2025 to Mar 27, 2025
- Pension RAUM · $337M to $372MJan 8, 2025 to Mar 27, 2025
- RAUM · $638M to $715MJan 8, 2025 to Mar 27, 2025
- Accounts · 113 to 534Apr 27, 2023 to Mar 31, 2024
- Advisory employees · 15 to 17Apr 27, 2023 to Mar 31, 2024
- BD registered reps · 9 to 16Apr 27, 2023 to Mar 31, 2024
Signals
12 dated events
- Cody Matthew Lewallen left Mma Asset Management Llc for Ifg Advisory, Llc (registered 2026-03-13)Nov 21, 2025 · Advisor changed firm · fact
- Dylan James Cooke left Mma Asset Management Llc for J.P. Morgan Securities Llc (registered 2025-06-18)Jun 25, 2025 · Advisor changed firm · fact
- Mma Asset Management Llc reported RAUM $638.4M, up 38% from $463.0M (2023-04-27 to 2024-03-31)Mar 31, 2024 · RAUM change · derived
- Duane Kevin Turton (Chief Compliance Officer) appeared on Schedule A of Mma Asset Management LlcApr 27, 2023 · Control person joined · fact
- Ashley Mariane Liebowitz (Chief Compliance Officer) no longer on Schedule A of Mma Asset Management Llc (listed 2022-03-29, absent 2022-06-10)Jun 10, 2022 · Control person left · inference
- Mma Asset Management Llc reported RAUM $514.6M, up 27% from $405.7M (2021-07-07 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- Mma Asset Management Llc reported RAUM $405.7M, up 78% from $228.6M (2020-12-21 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- Lynn Kimberly Blackmore (Financial And Operations Principal) appeared on Schedule A of Mma Asset Management LlcMar 30, 2020 · Control person joined · fact
- Ashley Mariane Liebowitz (Chief Compliance Officer) appeared on Schedule A of Mma Asset Management LlcMay 30, 2019 · Control person joined · fact
- Gerard James Hageney (Member) no longer on Schedule A of Mma Asset Management Llc (listed 2019-03-29, absent 2019-05-30)May 30, 2019 · Control person left · inference
- James Kevin Broderick (Member) no longer on Schedule A of Mma Asset Management Llc (listed 2019-03-29, absent 2019-05-30)May 30, 2019 · Control person left · inference
- Mma Asset Management Llc reported RAUM $251.3M, down 35% from $386.3M (2018-03-30 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
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
- Business email
- jhatley@compassfp.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 212-345-5000reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 336-510-1550reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 336-510-1552reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- compassfp.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 610-684-3200reportedpublic record, Form ADV, Jun 30, 2026
- Contact form
- compassfp.com/contact/index.htmlreportedpublished by the firm, firm site, Sep 17, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $39.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026