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•• I••••••••• A•••••••• L••
Latest filing May 8, 2026
First filing on the tape Oct 31, 2013 · 49 filings
SEC status approved since Nov 21, 2013
RAUM
$25B
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
18
11 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
49 filings and snapshots on the tape
RAUM$25B as of May 8, 2026
Mar 31, 2015$43B then
HNW client RAUM$0 as of May 8, 2026
Oct 24, 2025$0 then
State-registered IARs (5.B.3)0 as of May 8, 2026
Mar 31, 20140 then
Employees (5.A)18 as of May 8, 2026
Mar 31, 20140 then
Private funds: no history
RAUM -40% over the last fiscal year-17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 8, 2026; 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
- $446MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -40%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for investment companies, 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$24B98%
- Pooled investment vehicles$481M2.0%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 55reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=7.0derived
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
- C•••••••• G•••••••• J•••• · Directorcontrolsince 10/2017 · owns less than 5%
- L••••••• P•••• A•••••• · Directorcontrolsince 06/2023 · owns less than 5%
- R•••••• J•••••••• R••••• · Directorcontrolsince 04/2024 · owns less than 5%
- R••••••• F••••• J••••• · Chief Financial Officer And Treasurercontrolsince 06/2022 · owns less than 5%
- S•••••• D••••••• R••••• · Presidentcontrolsince 09/2024 · owns less than 5%
- W••••••• P•••••• S•••• · Chief Compliance Officer And Vice Presidentcontrolsince 10/2013 · owns less than 5%
Entity owners
- M••••••••• M••••• L••• I•••••••• C•••••• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- B••••• A•••• M••••••••• L••••••investment adviserbankpooled vehicle sponsorn
- B••••• I••••••••• I••••••••• L••investment adviserbanknRAUM $23B
- B•••••• ••••• L••••••investment adviserbankpooled vehicle sponsorn
- B•••••• L••investment adviserbankpooled vehicle sponsornRAUM $393B
- C••• L••• I•••••••• C••••••bankreal estaten
- F••••••• F•••••••• L••broker-dealern
- H•••• L••• I•••••••• A•••••• L••real estaten
- J•••••••• F•••••• L••investment adviserpooled vehicle sponsornRAUM $25B
- M••••••••• M••••• L••• I•••••••• C••••••bankreal estatey
- M••••••••• M••• I•••••••• C••••••• I•••real estaten
- M•• B•• S•••• L••• I•••••••• C••••••bankreal estaten
- M•• D••••••••• L••broker-dealern
- M•• I•••••••• A•••••• L••real estaten
- M•• I•••••••• S•••••••• L••broker-dealerinvestment adviserLP sponsornRAUM $116B
- M•• S•••••••• D••••••••• L••broker-dealern
- T•• M••••••••• T•••• C••••••• F••n
Advisers that list M•• I••••••••• A•••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- Boston, MA7 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $41,001,948,336 to $24,548,284,732 (-40.0%) between the annual amendments of 2025-03-28 and 2026-03-30; the peer median change was +15.0% (470 comparable advisers, 0.0th percentile of changes)peers: asset managers, $20B and over (470) · 0.2% percentile
What changed
consecutive filings, newest first
- Accounts · 53 to 55Oct 24, 2025 to Mar 30, 2026
- Advisory employees · 12 to 11Oct 24, 2025 to Mar 30, 2026
- BD registered reps · 6 to 7Oct 24, 2025 to Mar 30, 2026
- Discretionary RAUM · $24B to $25BOct 24, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $457M to $481MOct 24, 2025 to Mar 30, 2026
- RAUM · $24B to $25BOct 24, 2025 to Mar 30, 2026
- Accounts · 106 to 53May 30, 2025 to Oct 24, 2025
- Advisory employees · 15 to 12May 30, 2025 to Oct 24, 2025
- BD registered reps · 8 to 6May 30, 2025 to Oct 24, 2025
- Pooled vehicle clients · 2 to 1May 30, 2025 to Oct 24, 2025
- Employees · 21 to 18May 30, 2025 to Oct 24, 2025
- Discretionary RAUM · $41B to $24BMay 30, 2025 to Oct 24, 2025
- HNW RAUM · unset to 0.0May 30, 2025 to Oct 24, 2025
- Individual RAUM · unset to 0.0May 30, 2025 to Oct 24, 2025
- Pension RAUM · unset to 0.0May 30, 2025 to Oct 24, 2025
- Pooled vehicle RAUM · $364M to $457MMay 30, 2025 to Oct 24, 2025
- RAUM · $41B to $24BMay 30, 2025 to Oct 24, 2025
- Financial planning clients · unset to Mar 28, 2025 to May 30, 2025
- Accounts · 115 to 106Feb 12, 2025 to Mar 28, 2025
- Advisory employees · 18 to 15Feb 12, 2025 to Mar 28, 2025
- BD registered reps · 13 to 8Feb 12, 2025 to Mar 28, 2025
- Employees · 25 to 21Feb 12, 2025 to Mar 28, 2025
- Discretionary RAUM · $46B to $41BFeb 12, 2025 to Mar 28, 2025
- Pooled vehicle RAUM · $205M to $364MFeb 12, 2025 to Mar 28, 2025
- RAUM · $46B to $41BFeb 12, 2025 to Mar 28, 2025
- Related insurance company · false to trueFeb 12, 2025 to Mar 28, 2025
- Discretionary RAUM · $46B to $46BMar 29, 2024 to Apr 29, 2024
- Pooled vehicle RAUM · $203M to $205MMar 29, 2024 to Apr 29, 2024
- RAUM · $46B to $46BMar 29, 2024 to Apr 29, 2024
- Accounts · 109 to 115Dec 22, 2023 to Mar 29, 2024
- BD registered reps · 11 to 13Dec 22, 2023 to Mar 29, 2024
- Pooled vehicle clients · 1 to 2Dec 22, 2023 to Mar 29, 2024
- Discretionary RAUM · $44B to $46BDec 22, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $73.4M to $203MDec 22, 2023 to Mar 29, 2024
- RAUM · $44B to $46BDec 22, 2023 to Mar 29, 2024
- Accounts · 116 to 109Jan 24, 2023 to Mar 22, 2023
- Advisory employees · 17 to 18Jan 24, 2023 to Mar 22, 2023
- BD registered reps · 10 to 11Jan 24, 2023 to Mar 22, 2023
- Employees · 24 to 25Jan 24, 2023 to Mar 22, 2023
- Discretionary RAUM · $64B to $44BJan 24, 2023 to Mar 22, 2023
Signals
18 dated events
- M•• I••••••••• A•••••••• L•• reported RAUM $24.0B, down 42% from $41.0B (2025-05-30 to 2025-10-24)Oct 24, 2025 · RAUM change · derived
- Robert Douglas Steele (President) appeared on Schedule A of M•• I••••••••• A•••••••• L••Sep 26, 2024 · Control person joined · fact
- Patrick Sean Newth (Director) no longer on Schedule A of M•• I••••••••• A•••••••• L•• (listed 2024-03-29, absent 2024-04-29)Apr 29, 2024 · Control person left · inference
- R••••• J••••••• R••••• (Director) appeared on Schedule A of M•• I••••••••• A•••••••• L••Apr 29, 2024 · Control person joined · fact
- Lynn Andrea Anastasio (President) no longer on Schedule A of M•• I••••••••• A•••••••• L•• (listed 2023-10-02, absent 2023-12-22)Dec 22, 2023 · Control person left · inference
- Robert Michael Fanning (Director) no longer on Schedule A of M•• I••••••••• A•••••••• L•• (listed 2023-05-26, absent 2023-06-23)Jun 23, 2023 · Control person left · inference
- M•• I••••••••• A•••••••• L•• reported RAUM $43.6B, down 32% from $63.8B (2023-01-24 to 2023-03-22)Mar 22, 2023 · RAUM change · derived
- Nathan Hall (Chief Financial Officer) no longer on Schedule A of M•• I••••••••• A•••••••• L•• (listed 2022-03-30, absent 2022-07-18)Jul 18, 2022 · Control person left · inference
- J••••• F•••• R•••••• (Chief Financial Officer) appeared on Schedule A of M•• I••••••••• A•••••••• L••Jul 18, 2022 · Control person joined · fact
- Lynn Andrea Anastasio (Vice President) appeared on Schedule A of M•• I••••••••• A•••••••• L••Mar 30, 2022 · Control person joined · fact
- Robert Douglas Steele (Vice President) no longer on Schedule A of M•• I••••••••• A•••••••• L•• (listed 2021-07-30, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- Ward Elizabeth Chicares (Director) no longer on Schedule A of M•• I••••••••• A•••••••• L•• (listed 2021-05-28, absent 2021-07-30)Jul 30, 2021 · Control person left · inference
- Patrick Sean Newth (Director) appeared on Schedule A of M•• I••••••••• A•••••••• L••Jul 30, 2021 · Control person joined · fact
- Ann Teresa Hassara (Director) no longer on Schedule A of M•• I••••••••• A•••••••• L•• (listed 2020-09-29, absent 2021-01-29)Jan 29, 2021 · Control person left · inference
- Hans Eric Wietsma (President And Director) no longer on Schedule A of M•• I••••••••• A•••••••• L•• (listed 2020-09-29, absent 2021-01-29)Jan 29, 2021 · Control person left · inference
- Anthony Paul Lapiana (President) appeared on Schedule A of M•• I••••••••• A•••••••• L••Jan 29, 2021 · Control person joined · fact
- Marie Tina Wilson (President) no longer on Schedule A of M•• I••••••••• A•••••••• L•• (listed 2019-07-18, absent 2019-08-27)Aug 27, 2019 · Control person left · inference
- M•• I••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Oct 31, 2013 · First SEC registration · 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
- Website
- massmutualinvestments.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 413-744-1000reportedpublic record, Form ADV, May 8, 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
- Asset manager (funds and pooled vehicles)deriveda 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