MANULIFE INVESTMENT MANAGEMENT (US) LLC
Adviser information for MANULIFE INVESTMENT MANAGEMENT (US) LLC 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 | 246 |
|---|---|
| Investment Advisory/Research | 138 |
| Registered Broker-Dealer Representatives | 18 |
| Registered State Investment Advisers | 9 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 9 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 3,804 | $188.1B |
| Non-Discretionary | 5 | $655.7M |
| Total | 3,809 | $188.8B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 2,605 | $784.8M |
| HNW Individuals | 109 | $175.9M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 122 | $124.2B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 94 | $32.5B |
| Pension and profit sharing plans | 88 | $3.9B |
| Charitable organizations | 600 | $520.4M |
| State or municipal gov entities | 16 | $4.3B |
| Other investment advisers | 2 | $214.3M |
| Insurance companies | 16 | $13.3B |
| Sovereign wealth funds and foreign official institutions | 11 | $7.2B |
| Corporations or other businesses | 141 | $1.2B |
| Other | <5 | $525.1M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 40 |
| No. of Non-U.S. Clients | 28 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 1.7B |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| SELECT UMA | MORGAN STANLEY SMITH BARNEY VENTURE SERVICES LLC |
| STRATIS CWM | J.P. MORGAN SECURITIES LLC |
| PERSONALIZED UMA (PUMA) , SELECT UMA | WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC |
| ACCESS AND STRATEGIC WEALTH PORTFOLIO (SWP), ADVISOR ALLOCATION PROGRAM (AAP) | UBS FINANCIAL SERVICES INC. |
| MANAGED ACCOUNT PROGRAM, THIRD PARTY MODEL PROGRAM, THIRD PARTY STRATEGIST PROGRAM | ENVESTNET PORTFOLIO SOLUTIONS, INC. |
| CONSULTING SOLUTIONS | RBC CAPITAL MARKETS, LLC |
| MANAGED ACCOUNT SELECT, MODEL MARKET CENTER | CHARLES SCHWAB & CO., INC. |
| FIDELITY MANAGED ACCOUNT XCHANGE PROGRAM (FMAX) | FIDELITY INSTITUTIONAL WEALTH ADVISER LLC |
| FREEDOM UNIFIED MANAGED ACCOUNT, SEPERATE MANAGED ACCOUNT | RAYMOND JAMES & ASSOCIATES, INC. |
| INVESTMENT ADVISORY PROGRAM (IAP), SELECT PORTFOLIO SOLUTIONS (SPS), UNIFIED MANAGED ACCOUNT PROGRAM, MERRILL LYNCH INVESTMENT | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
| MANAGED INVESTMENT PROGRAM , SELECT UMA | TD ASSET MANAGEMENT |
| MORNINGSTAR PLATFORM, ADVISORY RELATIONSHIP | MORNINGSTAR INVESTMENT SERVICES LLC |
| MANAGED SIGNALS | VESTMARK ADVISORY SOLUTIONS, INC. |
| MARKETPLACE | INTERACTIVE BROKERS LLC |
| MASTERS PRIVATE ACCOUNT PROGRAM | MANULIFE SECURITIES |
| MODEL DATA DISTRIBUTION | ADHESION WEALTH ADVISOR SOLUTIONS |
| SELECT SEPARATE ACCOUNT PROGRAM, AMERIPRISE ACTIVE PORTFOLIO PROGRAM, AMERIPRISE SIGNATURE WEALTH | AMERIPRISE FINANCIAL SERVICES, LLC |
| SEPARATELY MANAGED ACCOUNT PLATFORM | CANACCORD GENUITY WEALTH MANAGEMENT |
| SEPARATELY MANAGED ACCOUNT PROGRAM (SMA PROGRAM) | MANULIFE PRIVATE WEALTH |
| SIGFIG WEALTH MANAGEMENT LLC | SIGFIG WEALTH MANAGEMENT LLC |
| UNIFIED MANAGED ACCOUNT PROGRAM, SEPARATELY MANAGED ACCOUNT PROGRAM, THIRD PARTY PROGRAM | BNY MELLON ADVISORS, INC. |
| MODEL WEALTH PORTFOLIOS (STRATEGIST), MODEL WEALTH PORTFOLIO (SMA), MANAGER SELECT/MANAGER ACCESS SELECT MODEL PROGRAMS | LPL FINANCIAL LLC |
| ADVISORY PROGRAM | SMARTX ADVISORY SOLUTIONS |
| MODEL PROGRAM | SIMPLICITY SOLUTIONS, LLC |
| AIM STRATEGIST | ADVYZON INVESTMENT MANAGEMENT, LLC |
| MODEL PORTFOLIO PROGRAM | GEOWEALTH MANAGEMENT LLC |
| SMA PLATFORM | WELLINGTON-ALTUS USA INC. |
Principal Office
197 CLARENDON STBOSTON
MA
United States
Monday - Friday, 8:30 A.M. UNTIL 5:00 P.M.
Tel: 617-375-1500, Fax: 617-375-1665
Chief Compliance Officer
PAUL M. DONAHUE
VICE PRESIDENT
197 CLARENDON ST
BOSTON
MA
United States
Tel:
617-663-3357
P*******@*************M
(Full email address available in API data)
Regulatory Contact
CAROLYN FLANAGAN
VICE PRESIDENT & GENERAL COUNSEL
197 CLARENDON ST
BOSTON
MA
United States
Tel:
617-375-1547
C********@*************M
(Full email address available in API data)
Industry Affiliates
| JOHN HANCOCK DISTRIBUTORS LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| JOHN HANCOCK INVESTMENT MANAGEMENT LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| JOHN HANCOCK LIFE AND HEALTH INSURANCE COMPANY | Commodity pool operator or commodity trading advisorInsurance company or agency |
| JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) | Commodity pool operator or commodity trading advisorInsurance company or agencySponsor or syndicator of limited partnershipsSponsor, GP, manager of pooled investment vehicles |
| JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK | Commodity pool operator or commodity trading advisorInsurance company or agency |
| JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC | Other investment adviser, including financial planners |
| JOHN HANCOCK TRUST COMPANY | Commodity pool operator or commodity trading advisorTrust companySponsor, GP, manager of pooled investment vehicles |
| JOHN HANCOCK VARIABLE TRUST ADVISERS LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| MANULIFE FINANCIAL CORPORATION | Insurance company or agency |
| MANULIFE INVESTMENT MANAGEMENT (EUROPE) LIMITED | Other investment adviser, including financial planners |
| MANULIFE INVESTMENT MANAGEMENT (HONG KONG) LIMITED | Other investment adviser, including financial planners |
| MANULIFE INVESTMENT MANAGEMENT (IRELAND) LIMITED | Other investment adviser, including financial planners |
| MANULIFE INVESTMENT MANAGEMENT (JAPAN) LIMITED | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| MANULIFE INVESTMENT MANAGEMENT (M) BERHAD | Other investment adviser, including financial plannersPension consultant |
| MANULIFE INVESTMENT MANAGEMENT (NORTH AMERICA) LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| MANULIFE INVESTMENT MANAGEMENT (SINGAPORE) PTE LTD | Other investment adviser, including financial planners |
| MANULIFE INVESTMENT MANAGEMENT (TAIWAN) CO., LTD | Other investment adviser, including financial planners |
| MANULIFE INVESTMENT MANAGEMENT DISTRIBUTORS INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| MANULIFE INVESTMENT MANAGEMENT LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor or syndicator of limited partnerships |
| MANULIFE INVESTMENT MANAGEMENT PRIVATE MARKETS (US) LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| MANULIFE INVESTMENT MANAGEMENT TIMBERLAND AND AGRICULTURE INC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| MANULIFE JOHN HANCOCK BROKERAGE SERVICES LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| THE MANUFACTURERS LIFE INSURANCE CO. (PHILS.), INC. | Insurance company or agency |
| THE MANUFACTURERS LIFE INSURANCE COMPANY | Insurance company or agencySponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| MANULIFE INVESTMENT MANAGEMENT TOTAL RETURN BOND FUND LP | PRIVATE FUND THAT PROVIDES INVESTORS WITH REDEMPTION RIGHTS IN THE ORDINARY COURSE | $630.1M | $1.0M | 16 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) | Domestic Entity | JOHN HANCOCK SUBSIDIARIES LLC | SHAREHOLDER | 12/2009 | > 75% |
| THE MANUFACTURERS INVESTMENT CORPORATION | Domestic Entity | JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) | SHAREHOLDER | 01/2002 | > 75% |
| MANULIFE FINANCIAL CORPORATION | Foreign Entity | THE MANUFACTURERS LIFE INSURANCE COMPANY | SHAREHOLDER | 09/1999 | > 75% |
| LANDERS, DIANE, ROBIN | Individual | – | PRESIDENT AND CHIEF OPERATING OFFICER AND DIRECTOR | 06/2016 | < 5% |
| JOHN HANCOCK FINANCIAL CORPORATION | Domestic Entity | THE MANUFACTURERS INVESTMENT CORPORATION | SHAREHOLDER | 12/2009 | > 75% |
| MANULIFE HOLDINGS (ALBERTA) LIMITED | Foreign Entity | JOHN HANCOCK FINANCIAL CORPORATION | SHAREHOLDER | 12/2009 | > 75% |
| THE MANUFACTURERS LIFE INSURANCE COMPANY | Foreign Entity | MANULIFE HOLDINGS (ALBERTA) LIMITED | SHAREHOLDER | 12/2003 | > 75% |
| FLANAGAN, CAROLYN, MARIE | Individual | – | VICE PRESIDENT, SECRETARY, GENERAL COUNSEL | 01/2007 | < 5% |
| CONKEY, CHRISTOPHER, PAUL | Individual | – | EXECUTIVE VICE PRESIDENT, CHIEF INVESTMENT OFFICER AND DIRECTOR | 06/2010 | < 5% |
| ARNOTT, ANDREW, GRANT | Individual | – | DIRECTOR | 05/2014 | < 5% |
| DONAHUE, PAUL, MARTIN | Individual | – | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 03/2015 | < 5% |
| DAMATO, KENNETH | Individual | – | VICE PRESIDENT, CHIEF ADMINISTRATIVE OFFICER | 03/2015 | < 5% |
| JOHN HANCOCK SUBSIDIARIES LLC | Domestic Entity | – | MEMBER | 10/2015 | > 75% |
| NATAUPSKY, JEFFREY, HOWARD | Individual | – | CHIEF FINANCIAL OFFICER, CONTROLLER, TREASURER | 04/2017 | < 5% |
| CARRINGTON, PATRICIA, MAJELLA | Individual | – | DIRECTOR | 01/2019 | < 5% |