SLC MANAGEMENT
SUN LIFE CAPITAL MANAGEMENT (U.S.) LLC Legal Name
Adviser information for SLC MANAGEMENT last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 220 |
|---|---|
| Investment Advisory/Research | 101 |
| Registered Broker-Dealer Representatives | 14 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 600 | $60.6B |
| Non-Discretionary | 66 | $8.8B |
| Total | 666 | $69.5B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 3 | $16.4M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 2 | $2.2B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 6 | $984.9M |
| Pension and profit sharing plans | 90 | $5.3B |
| Charitable organizations | 2 | $50.9M |
| State or municipal gov entities | 13 | $3.4B |
| Other investment advisers | 4 | $4.6B |
| Insurance companies | 113 | $52.0B |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 3 | $641.7M |
| Other | 5 | $326.3M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 2 |
| No. of Non-U.S. Clients | 8 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)MORTGAGE AND REAL ESTATE ADVISORY AND ADMINISTRATIVE SERVICES |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesCOST, COST PLUS PERCENTAGE |
| Other Business Activities | Registered representative of a broker-dealerCommodity pool operator or commodity trading advisor |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 30.3M |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| CUSTOM INVESTMENT OUTSOURCING ("CIO") AKA FIDUCIARY ASSET MANAGEMENT | MORGAN STANLEY SMITH BARNEY LLC |
Identifiers
| SEC RIA File Number | 801-39938 |
|---|---|
| SEC ERA File Number | 801-39938 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 109684 |
| Legal Entity Identifier | 5493001YL0M8HWNPEN55 |
Principal Office
96 WORCESTER STREETWELLESLEY HILLS
MA
United States
Monday - Friday, 9:00 A.M. TO 5:00 P.M.
Tel: 781-446-1903, Fax: None
Chief Compliance Officer
JOE HANLON
CHIEF COMPLIANCE OFFICER
96 WORCESTER STREET
WELLESLEY HILLS
MA
United States
Tel:
7814461138
J*********@****************M
(Full email address available in API data)
Regulatory Contact
THOMAS MURRAY
SENIOR DIRECTOR, COMPLIANCE
WELLESLEY HILLS
3RD FLOOR
NEW YORK
MA
United States
Tel:
7814461903
T************@****************M
(Full email address available in API data)
Industry Affiliates
| ADVISORS ASSET MANAGEMENT, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| BENTALLGREENOAK (CANADA) LIMITED PARTNERSHIP | Sponsor or syndicator of limited partnerships |
| BENTALLGREENOAK (U.S.) LIMITED PARTNERSHIP | Other investment adviser, including financial plannersSponsor or syndicator of limited partnerships |
| BENTALLGREENOAK REAL ESTATE US LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| BENTALLGREENOAK STRATEGIC CAPITAL PARTNERS | Other investment adviser, including financial planners |
| BGO US REAL ESTATE LP | Other investment adviser, including financial planners |
| CRESCENT CAP ADVISORS, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| CRESCENT CAPITAL GROUP LP | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| DENTICARE OF ALABAMA, INC. | Insurance company or agency |
| GO EQUITY GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| INDEPENDENCE LIFE AND ANNUITY COMPANY | Insurance company or agency |
| INFRARED CAPITAL PARTNERS (US) LLC | Other investment adviser, including financial planners |
| INFRARED CAPITAL PARTNERS LIMITED | Other investment adviser, including financial planners |
| MFS INSTITUTIONAL ADVISORS INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| MFS INVESTMENT MANAGEMENT | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| PROFESSIONAL INSURANCE COMPANY | Insurance company or agency |
| SLC MANAGEMENT MAC GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| SLC MANAGEMENT TIPS PARTNERS MANAGEMENT, LLC | Sponsor, GP, manager of pooled investment vehicles |
| SLC MANAGEMENT U.S. PRIVATE CREDIT GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| SLCAL, INC. | Real estate broker or dealer |
| SLGI ASSET MANAGEMENT INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| SUN LIFE AND HEALTH INSURANCE COMPANY (U.S.) | Insurance company or agency |
| SUN LIFE ASSURANCE COMPANY OF CANADA | Insurance company or agency |
| SUN LIFE ASSURANCE COMPANY OF CANADA (U.K.) LIMITED | Insurance company or agency |
| SUN LIFE CAPITAL MANAGEMENT (CANADA) INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| SUN LIFE FINANCIAL (BERMUDA) REINSURANCE LTD. | Insurance company or agency |
| SUN LIFE FINANCIAL (U.S.) REINSURANCE COMPANY | Insurance company or agency |
| SUN LIFE FINANCIAL (U.S.) REINSURANCE COMPANY II | Insurance company or agency |
| SUN LIFE FINANCIAL TRUST INC. | Trust company |
| SUN LIFE HONG KONG LIMITED | Insurance company or agency |
| SUN LIFE INSTITUTIONAL DISTRIBUTORS (U.S.) LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| UDC DENTAL CALIFORNIA, INC. | Insurance company or agency |
| UDC OHIO, INC. | Insurance company or agency |
| UNION SECURITY DENTALCARE OF GEORGIA, INC. | Insurance company or agency |
| UNION SECURITY DENTALCARE OF NEW JERSEY, INC. | Insurance company or agency |
| UNITED DENTAL CARE OF ARIZONA, INC. | Insurance company or agency |
| UNITED DENTAL CARE OF COLORADO, INC. | Insurance company or agency |
| UNITED DENTAL CARE OF MISSOURI, INC. | Insurance company or agency |
| UNITED DENTAL CARE OF NEW MEXICO, INC. | Insurance company or agency |
| UNITED DENTAL CARE OF TEXAS, INC. | Insurance company or agency |
| UNITED DENTAL CARE OF UTAH, INC. | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| SERIES 2 SLC MANAGEMENT CORE FIXED INCOME WITH DEFENSIVE RISK PREMIA | Hedge Fund | $11.6M | $25.0M | 2 |
| SERIES 6 SLC MANAGEMENT ENHANCED U.S. EQUITIES WITH DEFENSIVE RISK PREMIA | Hedge Fund | $0.0M | $25.0M | 0 |
| SLC MANAGEMENT MULTI-ASSET CREDIT FUND LP | MULTI-ASSET CREDIT FUND | $96.6M | $10.0M | 2 |
| SLC MANAGEMENT MULTI-ASSET CREDIT FUND US LP | MULTI-ASSET CREDIT FUND | $5.0M | $10.0M | 2 |
| SLC MANAGEMENT U.S. INTERMEDIATE INVESTMENT GRADE PRIVATE CREDIT FUND, L.P. | PRIVATE CREDIT | $277.1M | $10.0M | 3 |
| SLC MANAGEMENT U.S. INVESTMENT GRADE PRIVATE CREDIT FUND, L.P. | PRIVATE CREDIT | $420.8M | $10.0M | 8 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SUN LIFE FINANCIAL INC. | Foreign Entity | SUN LIFE GLOBAL INVESTMENTS INC. | SOLE SHAREHOLDER | 12/2004 | > 75% |
| SUN LIFE GLOBAL INVESTMENTS INC. | Foreign Entity | SUN LIFE 2007-1 FINANCING CORP. | SOLE SHAREHOLDER | 12/2004 | > 75% |
| SUN LIFE INVESTMENT MANAGEMENT U.S., INC. | Domestic Entity | – | SOLE MEMBER | 01/2020 | > 75% |
| BROWN, RANDOLPH, BRILL | Individual | – | CIO, SUN LIFE, MANAGER, BOARD OF MANAGERS | 02/2016 | < 5% |
| SUN LIFE 2007-1 FINANCING CORP. | Foreign Entity | SUN LIFE ASSURANCE COMPANY OF CANADA - U.S. OPERATIONS HOLDINGS, INC. | SOLE SHAREHOLDER | 11/2016 | 50-75% |
| Kallas, Colleen, Louise | Individual | – | SECRETARY | 11/2017 | < 5% |
| Van den Hoogen, Marlene, Frances | Individual | – | SVP, CHIEF FINANCIAL OFFICER, TREASURER | 05/2019 | < 5% |
| PEACHER, STEPHEN, C | Individual | – | PRESIDENT AND MANAGER, BOARD OF MANAGERS | 01/2020 | < 5% |
| ROMAIN, PATRICK, RICHARD | Individual | – | MANAGER, BOARD OF MANAGERS | 01/2020 | < 5% |
| SUN LIFE ASSURANCE COMPANY OF CANADA - U.S. OPERATIONS HOLDINGS, INC. | Domestic Entity | SUN LIFE FINANCIAL (U.S.) HOLDINGS, INC. | SOLE SHAREHOLDER | 01/2020 | > 75% |
| SUN LIFE FINANCIAL (U.S.) HOLDINGS, INC. | Domestic Entity | SUN LIFE FINANCIAL (U.S.) INVESTMENTS LLC | SOLE SHAREHOLDER | 01/2020 | > 75% |
| SUN LIFE FINANCIAL (U.S.) INVESTMENTS LLC | Domestic Entity | SUN LIFE INVESTMENT MANAGEMENT U.S., INC. | SOLE SHAREHOLDER | 01/2020 | > 75% |
| DEANGELO, AMY, ELIZABETH | Individual | – | MANAGER, BOARD OF MANAGERS | 02/2023 | < 5% |
| HANLON, JOSEPH, A (MI ONLY) | Individual | – | CHIEF COMPLIANCE OFFICER | 04/2023 | < 5% |
| SHAW, CANDACE, GAIL | Individual | – | CHIEF OPERATING OFFICER | 05/2023 | < 5% |
| CALLON, PATRICIA | Individual | – | CHAIR AND MANAGER, BOARD OF MANAGERS | 07/2023 | < 5% |