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 Securities LLC

No RAUM reportedNew York, New YorkCRD 44254SEC 801-100377website IAPD

Latest filing Jun 30, 2026

First filing on the tape Jun 9, 2015 · 44 filings

SEC status approved since Jul 7, 2015

RAUM

reported, Item 5.F

Discretionary

n/a

of RAUM

Private clients

n/a

$0 individuals and HNW

Advisors

173

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

211

164 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

44 filings and snapshots on the tape

RAUM$0 as of Jun 30, 2026

Jan 8, 2025$0 then

HNW client RAUM: no history

State-registered IARs (5.B.3)164 as of Jun 30, 2026

Mar 30, 201613 then

Employees (5.A)211 as of Jun 30, 2026

Mar 30, 201644 then

Private funds: no history

RAUM n/a over the last fiscal yearIARs 110 to 164offices 32 to 30

Practice profile

derived from the filing of Jun 30, 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)
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: $0derivedRAUM 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: 1.2derivedItem 5.A over advisors
Advisors per office: 5.6derived31 offices incl. principal (1.F.5)
RAUM growth, one year: unknownderivedbetween the last two annual amendments
Advisor growth, one year: +49%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: fixed fees, commissions, otherreportedItem 5.E
Advisory activities: pension consulting, selection of other advisers, educational seminars, otherreportedItem 5.G
Ownership: controlled by a public reporting companyderived
Firms absorbed, 24 months: 1derivedhalf or more of a firm's advisors moved here within 14 days
Advisor book size: not public; not estimatedreported

Also answered yes on Form ADV

is a broker-dealer (6.A.1)
is an insurance broker or agent (6.A.6)
has discretionary authority over which securities are bought or sold (8.C.1)
controlled by a public reporting company (10.A)

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: 2,528reported
Charitable clients: n/areported
Accounts: 0reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: fixed, commissionsreported
Class basis: private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=178.0derived

Advisors registered through the firm

153 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
Ryan Michael StoverCertified Financial Planner	San Diego, Ca	Sep 1, 2015	21 y	3
William Joseph Peartree	San Diego, Ca	Sep 1, 2015	29 y	4
William Patrick Gray	Saddlebrook, Nj	Oct 16, 2015	39 y	0
Bradley Jaffe Altman	Boston, Ma	Jan 4, 2016	20 y	1
Bernabe Villanueva	Saddlebrook, Nj	Jan 21, 2016	14 y	2
Benjamin Diven Zietz	Fargo, Nd	Mar 7, 2016	16 y	2
Chris George Pulos	Dayton, Oh	Jun 22, 2016	33 y	3
Nathan Dean Rasmussen	Boston, Ma	Aug 8, 2016	20 y	2
Andrew Bryan Bayliss	Boston, Ma	Oct 31, 2016	21 y	0
Cameron Malachy Neiheisel	Grandview Heights, Oh	Oct 20, 2017	13 y	1
Zachary Adam Rosenoff	Boston, Ma	Nov 7, 2017	14 y	0
Craig J ReidCertified Financial Planner	Leawood, Ks	Jan 12, 2018	15 y	3
Erik PflaumCertified Financial Planner	San Diego, Ca	May 23, 2018	15 y	3
Jeffrey W StephensChartered Financial Consultant	San Diego, Ca	Aug 1, 2018	40 y	7
Melissa Marie Spowal	St. Louis, Mo	Apr 1, 2019	27 y	4
Gary Michael Reding	Chesterfield, Mo	Apr 1, 2019	19 y	2
Marc Allan Zimmerman	Parkland, Fl	May 29, 2019	20 y	1
Ryan James EspingChartered Financial Analyst	San Diego, Ca	Jul 16, 2019	16 y	2
Linh Pham Dipippa	San Francisco, Ca	Oct 7, 2019	26 y	0
Robert Michael Kelley	Boston, Ma	Feb 7, 2020	33 y	3
Philip M Mazurek	Minneapolis, Mn	Apr 1, 2020	11 y	2
Richard Peter Cordova	Schaumburg, Il	Apr 1, 2020	26 y	7
Moira Margaret Hagy	Minneapolis, Mn	Apr 1, 2020	17 y	4
Jennifer Bates Conklyn	Boston, Ma	Jun 23, 2020	14 y	0
Michael Edward Warlof	San Diego, Ca	Dec 17, 2020	10 y	0
Rebecca Louise Hafer	Boston, Ma	Jan 13, 2021	25 y	4
Seth Adam Fineman	Minneapolis, Mn	Feb 23, 2021	30 y	4
Mitchel Glen Milless	Minneapolis, Mn	Mar 12, 2021	18 y	0
Brian Edward BartkusCertified Financial Planner	Boston, Ma	Mar 30, 2021	29 y	2
Alexandra Louise Moen	Minneapolis, Mn	Jul 28, 2021	17 y	1
Michael Anthony Muscarella	Boston, Ma	Jul 30, 2021	20 y	0
Daniel Bernard Cison	Dallas, Tx	Aug 25, 2021	13 y	2
Melissa Lee Lacey	San Diego, Ca	Sep 27, 2021	31 y	3
Michael Steven Favaloro	Boston, Ma	Oct 6, 2021	15 y	0
Jennifer Kate Sahady	Boston, Ma	Jan 25, 2022	12 y	3
Cy William Freeman	San Diego, Ca	Mar 1, 2022	12 y	1
Amanda Savini	Boston, Ma	Mar 2, 2022	24 y	0
Peter Joseph Valotta	Boston, Ma	Mar 7, 2022	18 y	2
Ryan Matthew Brennan	Conshohocken, Pa	Apr 28, 2022	10 y	0
Victoria Ann MercadoCertified Financial Planner	Schaumburg, Il	Sep 23, 2022	16 y	4

All 153 advisors at Mma Securities LLC

Advisor movement

9 left, 24 joined in 12 months

net +15 in 12 months2 left in 90 days5 joined in 90 daysdeparture rate 5.2% of current headcount17 left over 36 months

Left, latest

Roxana Gomez to Integrated Wealth Concepts LLC
Sep 17, 2026 · Other
Alison Paige Ayd to Onedigital
Aug 26, 2026 · Other
Ras Emerson Smith to Allworth Financial, L.P.
May 22, 2026 · Other
Douglas Howard Kublin to Morgan Stanley
Feb 21, 2026 · Other
Brent Alan Wieck to Adamsbrown Wealth Consultants LLC
Nov 26, 2025 · Other
Duane Moppin to Adamsbrown Wealth Consultants LLC
Nov 26, 2025 · Other
Cody Matthew Lewallen to Mma Asset Management LLC
Nov 21, 2025 · Other
Peter Joseph Thompson to Stancorp Investment Advisers, Inc.
Oct 17, 2025 · Other
Richard Burton Rowehl to Revolve Wealth Partners, LLC
Oct 3, 2025 · Other
Cody Matthew Lippert to Ima Advisory Services, Inc.
Jul 2, 2025 · Other
Dylan James Cooke to Mma Asset Management LLC
Jun 25, 2025 · Other
Maria Victoria Arabskyj to Monarch Plan Advisors
Oct 23, 2024 · Other
Laura Thai Stenberg to Hub Investment Partners, LLC
Jun 13, 2024 · Other
Gary Lynn Gunning to Osaic Wealth, Inc.
Apr 30, 2024 · Other
Robin Leigh Slater to D.A. Davidson & Co.
Apr 17, 2024 · Other

Joined, latest

Ian Robert Mccormick from Morgan Stanley
Aug 31, 2026 · Other
Polly Jane Brooks from Principal Securities, Inc.
Aug 21, 2026 · Other
Juan David Arbelaez-Calad from Merrill Lynch, Pierce, Fenner & Smith Incorporated
Jul 22, 2026 · Other
Theresa Milana from Stifel, Nicolaus & Company, Incorporated
Jul 10, 2026 · Other
Kimberly J Wade from Usi Securities, Inc.
Jun 23, 2026 · Other
Kevin James Bowler from Sagepoint Financial, Inc.
Jun 11, 2026 · Other
Kevin Conlon Wallace from Onedigital
May 8, 2026 · Other
Paige Tallette Larson from Retirement And Wealth At Alliant, LLC
May 4, 2026 · Other
Pedro Alberto Reyes from LPL Financial LLC
Apr 7, 2026 · Other
Amy Beauchene from Missionsquare Retirement
Mar 31, 2026 · Other
Sara Katherine Kleihauer from Edward Jones
Mar 13, 2026 · Other
Rachel Marie Thomas from Hantz Financial Services, Inc.
Feb 5, 2026 · Other
Brian David Stout from Confluence Financial Partners
Jan 8, 2026 · Other
Kevin Jenpin Chen from Precept Advisory Group LLC
Jan 8, 2026 · Other
Vincent Timothy Ko from Precept Advisory Group LLC
Jan 5, 2026 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 joined from Precept Advisory Group LLC
Jan 30, 2026 · Irvine, Ca
4 joined from Precept Advisory Group LLC
Jan 8, 2026 · Irvine, Ca · Firm absorbed
2 joined from LPL Financial LLC
Apr 3, 2023 · San Diego, Ca
8 joined from LPL Financial LLC
Apr 3, 2023 · Greensboro, Nc
3 joined from Kestra Advisory Services, LLC
Jul 1, 2020 · Chicago, Il
4 joined from Mma Asset Management LLC
Dec 31, 2019 · Conshohocken, Pa · Firm absorbed
5 joined from The Centurion Group, LLC
Dec 31, 2019 · Plymouth Meeting, Pa · Firm absorbed
2 joined from Sagepoint Financial, Inc.
Jul 6, 2018 · San Diego, Ca

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

Brian Edward Bartkus · Senior Supervisory Principalcontrol
since 04/2020 · owns less than 5%
Craig J Reid · Presidentcontrol
since 04/2020 · owns less than 5%
Kevin Duane Turton · Chief Compliance Officercontrol
since 06/2023 · owns less than 5%
Kimberly Lynn Blackmore · Finop, Pfo And Poo
since 07/2012 · owns less than 5%

Entity owners

Marsh Insurance & Investments LLC · Owner
direct · owns 75% or more · public reporting company
Guy Carpenter & Company, LLC · Owner
indirect · owns 75% or more of Seabury & Smith LLC
Marsh & Mclennan Companies, Inc. · Parent Company
indirect · owns 75% or more of Marsh LLC · public reporting company
Marsh LLC · Owner
indirect · owns 75% or more of Marsh USA LLC
Marsh USA LLC · Owner
indirect · owns 75% or more of Guy Carpenter & Company, LLC
Seabury & Smith LLC · Owner
indirect · owns 75% or more of Marsh Insurance & Investments LLC

Related persons

Schedule D 7.A

Guy Carpenter & Company, LLC
real estatey
Jlt Wealth Management
investment advisern
Marsh & Mclennan Agency, LLC
real estatey
Marsh Insurance & Investments LLC
real estatey
Marsh LLC
real estatey
Marsh USA LLC
real estatey
Mercer (US) Inc.
LP sponsorreal estaten
Mercer Global Investments Canada Limited
investment adviserbankpooled vehicle sponsorn
Mercer Investments LLC
investment adviserbankpooled vehicle sponsorLP sponsornRAUM $226B
Mma Asset Management LLC
investment advisernRAUM $788M
Mmc Securities (Ireland) Limited
broker-dealerinvestment advisern
Mmc Securities Limited
broker-dealerinvestment advisern
Mmc Securities LLC
broker-dealern

Advisers that list Mma Securities LLC as a related person

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left
Boston, Ma	70	6	1
San Diego, Ca	34	13	1
Minneapolis, Mn	26	3	2
Conshohocken, Pa	23	2	0
Schaumburg, Il	10	2	0
Dallas, Tx	10	1	0
New York, Ny · principal	7	2	1
St Louis, Mo	6	2	0
Charlotte, Nc	5	0	1
Saddlebrook, Nj	5	1	0
Aliso Viejo, Ca	4	4	0
Greensboro, Nc	4	0	0
Canonsburg, Pa	3	2	0
Portland, Or	2	1	0
Raleigh, Nc	2	0	0
Alpharetta, Ga	2	1	0
San Francisco, Ca	2	0	0
Leawood, Ks	2	0	1
Troy, Mi	2	1	0
Pittsburgh, Pa	2	2	0

All 25 offices

Post-acquisition retention

advisors of absorbed firms still registered here after the move

Firms absorbed: 3 since 2015, 1 in 24 monthsderived
Advisors acquired: 13derived
Still registered after 90 days: 100% of 13derived
After 180 days: 100% of 13derived
After 365 days: 100% of 9derived
After 730 days: 100% of 9derived
Team lift-outs after: 0derivedteams that left this firm within two years of an absorption

Lower bound: a person who left the industry is on neither side of the tape, and a re-registration to an affiliated CRD of the same group counts as a departure.

Offices

Schedule D 1.F, the 25 largest

San Diego, CA14 employees
Boston, MA14 employees
Schaumburg, IL11 employees
Conshohocken, PA10 employees
Dallas, TX6 employees
Greensboro, NC5 employees
Charlotte, NC5 employees
Minneapolis, MN4 employees
Saddle Brook, NJ3 employees
St. Louis, MO3 employees
Bethesda, MD3 employees
Dayton, OH3 employees
Chicago, IL2 employees
Fargo, ND2 employees
Palm Beach, FL2 employees
New York, NY2 employees
New York, NY2 employees
Lexington, KY1 employees
Austin, TX1 employees
Troy, MI1 employees
Loveland, OH1 employees
Fairfax, VA1 employees
, 1 employees
, 1 employees
, 1 employees

What changed

consecutive filings, newest first

Advisory employees · 110 to 164
Oct 29, 2025 to Mar 27, 2026
BD registered reps · 161 to 178
Oct 29, 2025 to Mar 27, 2026
Pension plan clients · 2,021 to 2,528
Oct 29, 2025 to Mar 27, 2026
Employees · 179 to 211
Oct 29, 2025 to Mar 27, 2026
Insurance-licensed employees · 16 to 18
Oct 29, 2025 to Mar 27, 2026
State-registered IARs · 110 to 164
Oct 29, 2025 to Mar 27, 2026
Other offices · 32 to 30
Oct 29, 2025 to Mar 27, 2026
Financial planning clients · 0 to 0
Aug 11, 2025 to Oct 29, 2025
Advisory employees · 87 to 110
Jan 8, 2025 to Mar 27, 2025
BD registered reps · 181 to 161
Jan 8, 2025 to Mar 27, 2025
Employees · 181 to 179
Jan 8, 2025 to Mar 27, 2025
Insurance-licensed employees · 18 to 16
Jan 8, 2025 to Mar 27, 2025
State-registered IARs · 87 to 110
Jan 8, 2025 to Mar 27, 2025
Accounts · unset to 0.0
Jun 12, 2024 to Jan 8, 2025
Other offices · 27 to 32
Jun 12, 2024 to Jan 8, 2025
Discretionary RAUM · unset to 0.0
Jun 12, 2024 to Jan 8, 2025
Non-discretionary RAUM · unset to 0.0
Jun 12, 2024 to Jan 8, 2025
RAUM · unset to 0.0
Jun 12, 2024 to Jan 8, 2025
BD registered reps · 169 to 181
Jun 5, 2023 to Mar 31, 2024
Pension plan clients · 1,707 to 2,021
Jun 5, 2023 to Mar 31, 2024
Employees · 169 to 181
Jun 5, 2023 to Mar 31, 2024
Insurance-licensed employees · 10 to 18
Jun 5, 2023 to Mar 31, 2024
Advisory employees · 70 to 87
Feb 7, 2023 to Mar 31, 2023
BD registered reps · 141 to 169
Feb 7, 2023 to Mar 31, 2023
Pension plan clients · 1,596 to 1,707
Feb 7, 2023 to Mar 31, 2023
Employees · 141 to 169
Feb 7, 2023 to Mar 31, 2023
State-registered IARs · 70 to 87
Feb 7, 2023 to Mar 31, 2023
Other offices · 22 to 27
Feb 7, 2023 to Mar 31, 2023
Related bank · false to true
Jun 17, 2022 to Aug 19, 2022
Advisory employees · 86 to 70
Mar 29, 2021 to Mar 29, 2022
BD registered reps · 133 to 141
Mar 29, 2021 to Mar 29, 2022
Pension plan clients · 1,404 to 1,596
Mar 29, 2021 to Mar 29, 2022
Employees · 133 to 141
Mar 29, 2021 to Mar 29, 2022
Insurance-licensed employees · 8 to 10
Mar 29, 2021 to Mar 29, 2022
State-registered IARs · 64 to 70
Mar 29, 2021 to Mar 29, 2022
Other offices · 19 to 22
Mar 29, 2021 to Mar 29, 2022
Advisory employees · 92 to 86
Jan 4, 2021 to Mar 29, 2021
BD registered reps · 112 to 133
Jan 4, 2021 to Mar 29, 2021
Pension plan clients · 1,195 to 1,404
Jan 4, 2021 to Mar 29, 2021
Employees · 117 to 133
Jan 4, 2021 to Mar 29, 2021

Signals

38 dated events

Roxana Gomez left Mma Securities LLC for Integrated Wealth Concepts LLC (registered 2026-08-25)
Sep 17, 2026 · Advisor changed firm · fact
Alison Paige Ayd left Mma Securities Llc for Onedigital (registered 2026-08-10)
Aug 26, 2026 · Advisor changed firm · fact
Ras Emerson Smith left Mma Securities Llc for Allworth Financial, L.P. (registered 2026-08-05)
May 22, 2026 · Advisor changed firm · fact
Mma Securities Llc reported 164 state-registered advisory representatives, up from 110 (2025-10-29 to 2026-03-27)
Mar 27, 2026 · Advisor headcount change · derived
Douglas Howard Kublin left Mma Securities Llc for Morgan Stanley (registered 2026-02-05)
Feb 21, 2026 · Advisor changed firm · fact
2 advisors left Precept Advisory Group LLC (Irvine, CA) for Mma Securities LLC on the same day
Jan 30, 2026 · Team lift-out · derived
Precept Advisory Group LLC's advisors moved to Mma Securities LLC (Irvine, CA): 4 of 7 registered, within 6 days
Jan 8, 2026 · Firm absorbed (people side) · derived
Brent Alan Wieck left Mma Securities Llc for Adamsbrown Wealth Consultants Llc (registered 2026-01-20)
Nov 26, 2025 · Advisor changed firm · fact
Duane Moppin left Mma Securities Llc for Adamsbrown Wealth Consultants Llc (registered 2025-12-11)
Nov 26, 2025 · Advisor changed firm · fact
Cody Matthew Lewallen left Mma Securities Llc for Mma Asset Management Llc (registered 2025-01-22)
Nov 21, 2025 · Advisor changed firm · fact
Peter Joseph Thompson left Mma Securities Llc for Stancorp Investment Advisers, Inc. (registered 2026-01-15)
Oct 17, 2025 · Advisor changed firm · fact
Richard Burton Rowehl left Mma Securities Llc for Revolve Wealth Partners, Llc (registered 2025-10-10)
Oct 3, 2025 · Advisor changed firm · fact
Cody Matthew Lippert left Mma Securities Llc for Ima Advisory Services, Inc. (registered 2025-07-07)
Jul 2, 2025 · Advisor changed firm · fact
Dylan James Cooke left Mma Securities Llc for Mma Asset Management Llc (registered 2022-07-05)
Jun 25, 2025 · Advisor changed firm · fact
Mma Securities Llc reported 110 state-registered advisory representatives, up from 87 (2025-01-08 to 2025-03-27)
Mar 27, 2025 · Advisor headcount change · derived
Mma Securities Llc reported 32 offices beyond its principal office, up from 27 (2024-06-12 to 2025-01-08)
Jan 8, 2025 · Office count change · derived
Maria Victoria Arabskyj left Mma Securities Llc for Monarch Plan Advisors (registered 2026-09-05)
Oct 23, 2024 · Advisor changed firm · fact
Laura Thai Stenberg left Mma Securities Llc for Hub Investment Partners, Llc (registered 2025-03-13)
Jun 13, 2024 · Advisor changed firm · fact
Gary Lynn Gunning left Mma Securities Llc for Osaic Wealth, Inc. (registered 2024-01-10)
Apr 30, 2024 · Advisor changed firm · fact
Robin Leigh Slater left Mma Securities Llc for D.A. Davidson & Co. (registered 2024-06-11)
Apr 17, 2024 · Advisor changed firm · fact
Levi Fetterhoff left Mma Securities Llc for Edward Jones (registered 2024-05-28)
Mar 15, 2024 · Advisor changed firm · fact
Jeffrey Scott Broaddus left Mma Securities Llc for Isc Advisors, Inc. (registered 2023-10-11)
Oct 12, 2023 · Advisor changed firm · fact
Robert Patrick Gibson left Mma Securities Llc for World Investment Advisors, Llc (registered 2023-09-20)
Sep 11, 2023 · Advisor changed firm · fact
Kevin James Duffin left Mma Securities Llc for Cetera Investment Advisers Llc (registered 2023-11-24)
Aug 7, 2023 · Advisor changed firm · fact
Kevin Duane Turton (Chief Compliance Officer) appeared on Schedule A of Mma Securities Llc
Jun 5, 2023 · Control person joined · fact
Zachary Harrison Hull left Mma Securities Llc for Wealthspire Retirement Advisory (registered 2023-06-01)
May 15, 2023 · Advisor changed firm · fact
2 advisors left LPL Financial LLC (San Diego, CA) for Mma Securities LLC on the same day
Apr 3, 2023 · Team lift-out · derived
7 advisors left LPL Financial LLC (Greensboro, NC) for Mma Securities LLC on the same day
Apr 3, 2023 · Team lift-out · derived
Mma Securities Llc reported 87 state-registered advisory representatives, up from 70 (2023-02-07 to 2023-03-31)
Mar 31, 2023 · Advisor headcount change · derived
Mma Securities Llc reported 27 offices beyond its principal office, up from 22 (2023-02-07 to 2023-03-31)
Mar 31, 2023 · Office count 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

Website: compassfp.comreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone: 212-345-5000reportedpublic record, Form ADV, Jun 30, 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: No RAUM reportedderiveda 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