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

Massachusetts Mutual Life Insurance Company

Former SEC-registered adviserEnfield, ConnecticutCRD 2682SEC 801-8059IAPD
Latest filing Mar 28, 2014
First filing on the tape Dec 17, 2011 · 14 filings
RAUM
$40B
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
6,529
182 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$40B as of Mar 28, 2014
Mar 30, 2012$32B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2014
Mar 30, 20120 then
Employees (5.A)6,529 as of Mar 28, 2014
Apr 1, 20135,300 then
Private funds: no history
RAUM +13% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2014; 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
$430MderivedRAUM 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
+13%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 assetsreportedItem 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)
  • 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
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
92reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Every departureEvery arrival
Private funds
1 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
MML Private Placement Investment Company I, LLCno longer reportedn/an/aDec 17, 2011
Owners and control persons
Schedule A and B, latest filing
  • Corcoran Thomas Barry · Directorcontrol
    since 06/2007 · owns less than 5%
  • Robert Casale · Executive Vice President And Chief Information Officercontrol
    since 04/2010 · owns less than 5%
  • Ward Elizabeth Chicares · Executive Vice President And Chief Enterprise Risk Officercontrol
    since 10/2011 · owns less than 5%
  • I. Cristobal Conde · Directorcontrol
    since 04/2011 · owns less than 5%
  • Ann Kathleen Corbet · Directorcontrol
    since 02/2008 · owns less than 5%
  • Timothy M. Corbett · Executive Vice President And Chief Investment Officercontrol
    since 05/2011 · owns less than 5%
  • William Roger Crandall · Chairman, President And Chief Executive Officer And Directorcontrol
    since 06/2005 · owns less than 5%
  • H. James Degraffenreidt · Lead Directorcontrol
    since 02/2002 · owns less than 5%
  • Diaz Patricia Dennis · Directorcontrol
    since 03/1996 · owns less than 5%
  • Alan Robert Essner · Directorcontrol
    since 06/2002 · owns less than 5%
  • Robert Michael Fanning · Executive Vice Presidentcontrol
    since 12/2008 · owns less than 5%
  • Walter Raymond Leboeuf · Directorcontrol
    since 02/2008 · owns less than 5%
  • J. Bradley Lucido · Senior Vice Presidentcontrol
    since 07/2008 · owns less than 5%
  • E. Cathy Minehan · Directorcontrol
    since 10/2009 · owns less than 5%
  • Debra Palermino · Executive Vice Presidentcontrol
    since 04/2010 · owns less than 5%
  • Marc Racicot · Directorcontrol
    since 08/2001 · owns less than 5%
  • Douglas Mark Roellig · Executive Vice President & General Counselcontrol
    since 12/2005 · owns less than 5%
  • Thomas Michael Rollings · Executive Vice President And Chief Financial Officercontrol
    since 04/2006 · owns less than 5%
  • Anne Elaine Sarsynski · Executive Vice Presidentcontrol
    since 09/2005 · owns less than 5%
  • Jeanne Laura Sen · Directorcontrol
    since 10/2012 · owns less than 5%
  • Taylor William Spitz · Directorcontrol
    since 12/2007 · owns less than 5%
  • Todd H. Stitzer · Directorcontrol
    since 04/2011 · owns less than 5%
  • Smith Philip Wellman · Vice President, Associate General Counsel, And Chief Compliance Officer - Mutual Funds And Investment Advisory Activitiescontrol
    since 11/2008 · owns less than 5%
Related persons
Schedule D 7.A
Advisers that list Massachusetts Mutual Life Insurance Company as a related person
Offices
Schedule D 1.F, the 25 largest
  • Springfield, MA
What changed
consecutive filings, newest first
  • BD registered reps · 1,230 to 1,193
    Nov 7, 2013 to Mar 28, 2014
  • Accounts · 91 to 92
    Nov 7, 2013 to Mar 28, 2014
  • Advisory employees · 180 to 182
    Nov 7, 2013 to Mar 28, 2014
  • Employees · 5,300 to 6,529
    Nov 7, 2013 to Mar 28, 2014
  • Insurance-licensed employees · 0 to 17
    Nov 7, 2013 to Mar 28, 2014
  • Discretionary RAUM · $35B to $40B
    Nov 7, 2013 to Mar 28, 2014
  • RAUM · $35B to $40B
    Nov 7, 2013 to Mar 28, 2014
  • Accounts · 634 to 91
    Dec 20, 2012 to Apr 1, 2013
  • Advisory employees · 195 to 180
    Dec 20, 2012 to Apr 1, 2013
  • Advisory activities · 4 to 2
    Dec 20, 2012 to Apr 1, 2013
  • BD registered reps · 713 to 1,230
    Dec 20, 2012 to Apr 1, 2013
  • Assets in custody · 0.0 to unset
    Dec 20, 2012 to Apr 1, 2013
  • Custody of client assets · true to false
    Dec 20, 2012 to Apr 1, 2013
  • Employees · 5,000 to 5,300
    Dec 20, 2012 to Apr 1, 2013
  • HQ city · SPRINGFIELD to ENFIELD
    Dec 20, 2012 to Apr 1, 2013
  • HQ state · MA to CT
    Dec 20, 2012 to Apr 1, 2013
  • Discretionary RAUM · $32B to $35B
    Dec 20, 2012 to Apr 1, 2013
  • RAUM · $32B to $35B
    Dec 20, 2012 to Apr 1, 2013
  • Advisory employees · unset to 195.0
    Jul 27, 2012 to Nov 28, 2012
  • BD registered reps · unset to 713.0
    Jul 27, 2012 to Nov 28, 2012
  • Employees · unset to 5000.0
    Jul 27, 2012 to Nov 28, 2012
  • Accounts · 648 to 634
    Dec 17, 2011 to Mar 6, 2012
  • Advisory activities · 5 to 4
    Dec 17, 2011 to Mar 6, 2012
  • Assets in custody · $113M to $0
    Dec 17, 2011 to Mar 6, 2012
  • Insurance-licensed employees · unset to 0.0
    Dec 17, 2011 to Mar 6, 2012
  • Private funds · 1 to unset
    Dec 17, 2011 to Mar 6, 2012
  • Discretionary RAUM · $31B to $32B
    Dec 17, 2011 to Mar 6, 2012
  • RAUM · $31B to $32B
    Dec 17, 2011 to Mar 6, 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