MFS INSTITUTIONAL ADVISORS INC.
Adviser information for MFS INSTITUTIONAL ADVISORS INC. 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 1300 |
|---|---|
| Investment Advisory/Research | 332 |
| Registered Broker-Dealer Representatives | 126 |
| Registered State Investment Advisers | 11 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 8,586 | $128.5B |
| Non-Discretionary | 0 | $0 |
| Total | 8,586 | $128.5B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 6,005 | $1.5B |
| HNW Individuals | 299 | $785.6M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $264.6M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 126 | $43.5B |
| Pension and profit sharing plans | 198 | $33.6B |
| Charitable organizations | 97 | $1.8B |
| State or municipal gov entities | 49 | $17.1B |
| Other investment advisers | 0 | $0 |
| Insurance companies | 25 | $7.2B |
| Sovereign wealth funds and foreign official institutions | 17 | $20.6B |
| Corporations or other businesses | 115 | $352.3M |
| Other | 1,654 | $1.8B |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 16 |
| No. of Non-U.S. Clients | 2 |
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 clientsPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMPerformance-based feesTRANSFER PRICING ARRANGEMENTS WITH AFFILIATES |
| 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 | 3.7B |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| SELECT UMA | MORGAN STANLEY |
| SELECT SEPARATE PROGRAM | AMERIPRISE FINANCIAL SERVICES, LLC |
| MANAGER SELECT PROGRAM | LPL FINANCIAL LLC |
| STRATEGIC TRUST PROGRAM | WELLS FARGO BANK, N.A. |
| STRATEGIC WEALTH PORTFOLIO PROGRAM | UBS FINANCIAL SERVICES INC. |
| ACCESS ADVISORY PROGRAM | UBS FINANCIAL SERVICES INC. |
| CONSULTING SERVICES PROGRAM | RAYMOND JAMES & ASSOCIATES, INC. |
| MANAGER ACCESS SELECT PROGRAM | LPL FINANCIAL LLC |
| MANAGED ACCOUNTS CONSULTING PROGRAM | UBS FINANCIAL SERVICES INC. |
| PREMIER PORTFOLIO SERVICES PROGRAM | AMERIPRISE FINANCIAL SERVICES, LLC |
Principal Office
111 HUNTINGTON AVENUEBOSTON
MA
United States
Monday - Friday, 9:00 A.M. - 5:00 P.M.
Tel: 617-954-5000, Fax: None
Chief Compliance Officer
ROSA LICEA-MAILLOUX
111 HUNTINGTON AVENUE
BOSTON
MA
United States
Tel:
617-954-7552
R*****@******M
(Full email address available in API data)
Regulatory Contact
NEVIS BREGASI
DEPUTY GENERAL COUNSEL
111 HUNTINGTON AVENUE
BOSTON
MA
United States
Tel:
617-954-5598
N*******@******M
(Full email address available in API data)
Industry Affiliates
| MFS DO BRASIL DESENVOLVIMENTO DE MERCADO LTDA. | Other investment adviser, including financial planners |
| MFS FUND DISTRIBUTORS, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| MFS HERITAGE TRUST COMPANY | Trust companySponsor, GP, manager of pooled investment vehicles |
| MFS INTERNATIONAL (HONG KONG) LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| MFS INTERNATIONAL (U.K.) LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| MFS INTERNATIONAL AUSTRALIA PTY LTD | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| MFS INTERNATIONAL SINGAPORE PTE. LTD. | Other investment adviser, including financial planners |
| MFS INVESTMENT MANAGEMENT | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| MFS INVESTMENT MANAGEMENT CANADA | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| MFS INVESTMENT MANAGEMENT COMPANY (LUX) S.A R.L. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| MFS INVESTMENT MANAGEMENT K.K. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| SLC MANAGEMENT | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| 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 ASSURANCE COMPANY OF CANADA (U.K.) LIMITED | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| MFS CORE PLUS FIXED INCOME LLC | Hedge Fund | $332.6M | $0.0M | 6 |
| MFS EMERGING MARKETS DEBT LLC I | Hedge Fund | $103.4M | $0.0M | 4 |
| MFS GLOBAL AGGREGATE OPPORTUNISTIC LLC | Hedge Fund | $51.3M | $0.0M | 2 |
| MFS GLOBAL EQUITY LLC | PRIVATE EQUITY FUND WITH REDEMPTION RIGHTS IN THE ORDINARY COURSE | $97.7M | $0.0M | 2 |
| MFS INTERNATIONAL CONCENTRATED EQUITY LLC | PRIVATE EQUITY FUND WITH REDEMPTION RIGHTS IN THE ORDINARY COURSE | $20.3M | $0.0M | 3 |
| MFS INTERNATIONAL GROWTH LLC | PRIVATE EQUITY FUND WITH REDEMPTION RIGHTS IN THE ORDINARY COURSE | $291.7M | $0.0M | 15 |
| MFS INTERNATIONAL GROWTH LLC II | PRIVATE EQUITY FUND WITH REDEMPTION RIGHTS IN THE ORDINARY COURSE | $367.8M | $0.0M | 5 |
| MFS INTERNATIONAL RESEARCH EQUITY LLC | PRIVATE EQUITY FUND WITH REDEMPTION RIGHTS IN THE ORDINARY COURSE | $35.7M | $0.0M | 4 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SUN LIFE FINANCIAL (U.S.) INVESTMENTS LLC | Domestic Entity | SUN LIFE OF CANADA (U.S.) FINANCIAL SERVICES HOLDINGS, INC. | SHAREHOLDER | 10/2001 | > 75% |
| MASSACHUSETTS FINANCIAL SERVICES COMPANY | Domestic Entity | – | PARENT COMPANY | 11/1992 | > 75% |
| GEREMIA, CAROL, WILLIAM | Individual | – | PRESIDENT AND SECRETARY | 10/2012 | < 5% |
| SUN LIFE OF CANADA (U.S.) FINANCIAL SERVICES HOLDINGS, INC. | Domestic Entity | MASSACHUSETTS FINANCIAL SERVICES COMPANY | SHAREHOLDER | 12/1997 | > 75% |
| SUN LIFE FINANCIAL (U.S.) HOLDINGS, INC. | Domestic Entity | SUN LIFE FINANCIAL (U.S.) INVESTMENTS LLC | SHAREHOLDER | 10/2001 | > 75% |
| SUN LIFE ASSURANCE COMPANY OF CANADA - U.S. OPERATIONS HOLDINGS, INC. | Domestic Entity | SUN LIFE FINANCIAL (U.S.) HOLDINGS, INC. | SHAREHOLDER | 10/2001 | > 75% |
| SUN LIFE GLOBAL INVESTMENTS INC. | Foreign Entity | SUN LIFE 2007-1 FINANCING CORP. | SHAREHOLDER | 11/2016 | > 75% |
| SUN LIFE FINANCIAL INC. | Foreign Entity | SUN LIFE GLOBAL INVESTMENTS INC. | SHAREHOLDER | 11/2004 | > 75% |
| MANSI, ROBERTSON, GEORGE | Individual | – | DIRECTOR | 03/2013 | < 5% |
| UPATHAM-COSTELLO, CHARUDA | Individual | – | DIRECTOR AND TREASURER | 01/2022 | < 5% |
| SUN LIFE 2007-1 FINANCING CORP. | Foreign Entity | SUN LIFE ASSURANCE COMPANY OF CANADA - U.S. OPERATIONS HOLDINGS, INC. | SHAREHOLDER | 11/2016 | > 75% |
| KEENAN, MICHAEL, SEAN | Individual | – | DIRECTOR | 11/2018 | < 5% |
| HARDIN, HEIDI, WALTER | Individual | – | DIRECTOR AND CHAIR OF THE BOARD | 01/2022 | < 5% |
| LICEA-MAILLOUX, ROSA, ESMERALDA | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2022 | < 5% |
| THOMPSON-DOLBERRY, MICHELLE | Individual | – | DIRECTOR | 01/2024 | < 5% |