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

Society Of Grownups, LLC

Former SEC-registered adviserSpringfield, MassachusettsCRD 171855SEC 801-80145IAPD
Latest filing Oct 17, 2016
First filing on the tape Jul 25, 2014 · 19 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
46
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Mar 30, 2016
Mar 31, 20154 then
Employees (5.A)46 as of Mar 30, 2016
Mar 31, 201526 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 4 to 5
Practice profile
derived from the filing of Oct 17, 2016; 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
9.2derivedItem 5.A over advisors
Advisors per office
2.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+25%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed feesreportedItem 5.E
Advisory activities
financial planning, educational seminarsreportedItem 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
  • receives research or other products from a broker-dealer, soft dollars (8.E)
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
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
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
    • Ward Elizabeth Chicares · Managercontrol
      since 04/2014 · owns less than 5%
    • Karl Edward Duch III · Chief Legal Officer And Secretarycontrol
      since 05/2015 · owns less than 5%
    • Stefano Martini · Managercontrol
      since 04/2014 · owns less than 5%
    • Todd Picken · Treasurercontrol
      since 04/2014 · owns less than 5%
    • Gareth Ross · Chief Executive Officer And Presidentcontrol
      since 10/2016 · owns less than 5%
    • Joann Susan Scanlon · Chief Compliance Officercontrol
      since 04/2014 · owns less than 5%
    • Marie Tricia Walker · Managercontrol
      since 05/2016 · owns less than 5%
    • Jennifer Dupuis-Krause · Assistant Secretary
      since 04/2014 · owns less than 5%
    Entity owners
    • Massmutual Holding LLC · Member
      direct · owns 75% or more
    • Massachusetts Mutual Life Insurance Company · Parent
      indirect · owns 75% or more of Massmutual Holding LLC
    Related persons
    Schedule D 7.A
    Advisers that list Society Of Grownups, LLC as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • Brookline, MA
    What changed
    consecutive filings, newest first
    • Employees · 26 to 46
      May 18, 2015 to Mar 30, 2016
    • Financial planning clients · 26-50 to 101-250
      May 18, 2015 to Mar 30, 2016
    • State-registered IARs · 4 to 5
      May 18, 2015 to Mar 30, 2016
    • Advisory employees · 2 to 4
      Mar 11, 2015 to Mar 31, 2015
    • BD registered reps · 2 to 1
      Mar 11, 2015 to Mar 31, 2015
    • Employees · 13 to 26
      Mar 11, 2015 to Mar 31, 2015
    • Financial planning clients · 0 to 26-50
      Mar 11, 2015 to Mar 31, 2015
    • State-registered IARs · 1 to 4
      Mar 11, 2015 to Mar 31, 2015
    Signals
    1 dated events
    • Society Of Grownups, Llc filed its initial SEC registration (Form ADV)
      Jul 25, 2014 · 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.
    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