Hedge Fund Database

MAWER INVESTMENT MANAGEMENT LTD.

Adviser information for MAWER INVESTMENT MANAGEMENT LTD. last updated from Form ADV on March 29th, 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 Canada

Employees

Total Number of Employees 240
Investment Advisory/Research 80
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 0
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 13,662 $49.1B
Non-Discretionary 8 $490.4M
Total 13,670 $49.6B

Clients

Type Number RAUM
Individuals 5,005 $2.5B
HNW Individuals 713 $2.9B
Banking or thrift institutions 0 $0
Investment companies 1 $155.2M
Business development companies 0 $0
Pooled investment vehicles 97 $23.9B
Pension and profit sharing plans 121 $7.5B
Charitable organizations 186 $3.2B
State or municipal gov entities 9 $3.8B
Other investment advisers <5 $244.5M
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions <5 $737.5M
Corporations or other businesses 807 $4.6B
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 99

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 clientsPublication of periodicals or newslettersEducational seminars/workshops
Compensation % of AUMPerformance-based fees
Other Business Activities CANADIAN MUTUAL FUND SALES

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 1.6B
Both for Same 0
Portfolio Manager to Program Sponsor
DIAMOND PORTFOLIO SERVICE NATIONAL BANK FINANCIAL INC.
ACCESS+ MANAGER SELECTION PROGRAM RBC DOMINION SECURITIES INC.
VINTAGE INVESTMENT PROGRAM IA PRIVATE WEALTH INC.
PRIVATE WEALTH MANAGEMENT PROGRAMS PROVISUS WEALTH MANAGEMENT LTD.
MASTERS PRIVATE ACCOUNT PROGRAM MANULIFE SECURITIES INC.
PREMIER PROGRAM TD ASSET MANAGEMENT INC. / TD WATERHOUSE INVESTMENT ADVICE
CREDENTIAL QTRADE SECURITIES INC. PROGRAM CREDENTIAL QTRADE SECURITIES INC.
SIGNATURE SERIES SMA PROGRAM RICHARDSON WEALTH LTD.
AMBASSADOR PORTFOLIO SERVICE NATIONAL BANK FINANCIAL INC.
BPIC PROGRAM BMO PRIVATE INVESTMENT COUNSEL INC.
SEPARATELY MANAGED ACCOUNT PROGRAM CANACCORD GENUITY CORP.
SMA PROGRAM MANULIFE PRIVATE WEALTH, A DIVISION OF MANULIFE ASSET MANAGEMENT LTD.
PRIVATE WEALTH 1859 NATIONAL BANK FINANCIAL INC.
PARTNERS PLATFORM RAYMOND JAMES LTD.
SUMMIT PROGRAM SCOTIA MCLEOD INC.
CIBC WOOD GUNDY INVESTMENT CONSULTING SERVICE CIBC ASSET MANAGEMENT INC. / CIBC WORLD MARKETS INC.

Identifiers

SEC RIA File Number 801-74336
SEC ERA File Number 801-74336
SEC CIK Numbers 1538449
SEC CRD Numbers 159100
Legal Entity Identifier 549300TDINW3ZOSQAR28

Principal Office

600, 517 10TH AVENUE S.W.
ALBERTA
CALGARY
Canada
Monday - Friday, 7:30AM-4:30PM
Tel: 403-262-4673, Fax: 403-262-4099

Websites

www.linkedin.com/company/mawer-investment-management/ www.twitter.com/mawer_invest www.mawer.com www.youtube.com/c/mawerinvestmentmanagementltdcalgary

Chief Compliance Officer

MARIE-CLAUDE LEPAGE
HEAD, RISK MANAGEMENT
79 WELLINGTON STREET WEST, SUITE 3410
P.O. BOX 276, TD SOUTH TOWER
TORONTO
Canada
Tel: 1-833-776-0552
Fax: 403-262-4099
(Full email address available in API data)

Regulatory Contact

JAEL SHI
INSTITUTIONAL COMPLIANCE LEAD
79 WELLINGTON STREET WEST, SUITE 3410
P.O. BOX 276, TD SOUTH TOWER
TORONTO
Canada
Tel: 416-865-3920
(Full email address available in API data)

Industry Affiliates

MAWER INVESTMENT MANAGEMENT SINGAPORE PTE. LTD. Other investment adviser, including financial planners
MAWER INVESTMENT MANAGEMENT U.S. FUND LLC Sponsor, GP, manager of pooled investment vehicles
MAWER PARTNERS GP INC. Sponsor, GP, manager of pooled investment vehicles

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
MAWER BALANCED FUND PUBLIC MUTUAL FUND IN CANADA $3,577.1M $0.0M 54770
MAWER CANADIAN BOND FUND PUBLIC MUTUAL FUND IN CANADA $2,883.8M $0.0M 6590
MAWER CANADIAN EQUITY FUND PUBLIC MUTUAL FUND IN CANADA $2,821.5M $0.0M 19809
MAWER CANADIAN MONEY MARKET FUND PUBLIC MUTUAL FUND IN CANADA $477.9M $0.0M 3640
MAWER EAFE LARGE CAP FUND LLC INTERNATIONAL EQUITY FUND $1.1M $10.0M 1
MAWER EMERGING MARKETS EQUITY FUND PUBLIC MUTUAL FUND IN CANADA $254.3M $0.0M 3454
MAWER EMERGING MARKETS EQUITY FUND LLC EMERGING MARKETS EQUITY FUND $0.8M $10.0M 1
MAWER GLOBAL BALANCED FUND PUBLIC MUTUAL FUND IN CANADA $1,177.0M $0.0M 10748
MAWER GLOBAL EQUITY FUND PUBLIC MUTUAL FUND IN CANADA $9,254.0M $0.0M 23858
MAWER GLOBAL EQUITY FUND LLC GLOBAL EQUITY FUND $1.3M $10.0M 1
MAWER GLOBAL SMALL CAP FUND PUBLIC MUTUAL FUND IN CANADA $2,489.9M $0.0M 25155
MAWER INTERNATIONAL EQUITY FUND PUBLIC MUTUAL FUND IN CANADA $5,504.6M $0.0M 23995
MAWER NEW CANADA FUND PUBLIC MUTUAL FUND IN CANADA $1,083.3M $0.0M 5406
MAWER TAX EFFECTIVE BALANCED FUND PUBLIC MUTUAL FUND IN CANADA $1,210.5M $0.0M 12186
MAWER U.S. EQUITY FUND PUBLIC MUTUAL FUND IN CANADA $3,286.6M $0.0M 14274
MAWER U.S. EQUITY FUND LLC U.S. EQUITY FUND $1.3M $10.0M 1

Control Persons

Name Type Entity Title Since Ownership
HALL, JAMES, COLIN Individual – PRESIDENT, DIRECTOR, SHAREHOLDER 01/2023 5-10%
SENYK, CRAIG, DOUGLAS Individual – CHAIR, SHAREHOLDER 01/2023 < 5%
RAGAN, DAVID, JAMES Individual – DIRECTOR, SHAREHOLDER 01/2007 < 5%
SENYK INVESTMENT MANAGEMENT LTD. Foreign Entity – SHAREHOLDER 06/2003 5-10%
SENYK, CRAIG, DOUGLAS Individual SENYK INVESTMENT MANAGEMENT LTD. SHAREHOLDER 06/2003 > 75%
MOROZ, PAUL, JOSEPH Individual – CHIEF INVESTMENT OFFICER, SHAREHOLDER 01/2018 < 5%
VISWANATHAN, VIJAY, NMN Individual – DIRECTOR OF RESEARCH, SHAREHOLDER 04/2012 < 5%
HALL, JAMES, COLIN Individual KRIEGHOFF CAPITAL MANAGEMENT LTD. SHAREHOLDER 12/1999 > 75%
KRIEGHOFF CAPITAL MANAGEMENT LTD. Foreign Entity – SHAREHOLDER 01/2015 5-10%
WOO, OLIVIA, MIN Individual – DIRECTOR, SHAREHOLDER 01/2018 < 5%
Webb, Allison, Kim Individual – CHIEF MARKETING AND PEOPLE OFFICER, SHAREHOLDER 12/2023 < 5%
RITCHIE, GEOFFREY, GRAFTON Individual – VICE CHAIR, GENERAL COUNSEL, SHAREHOLDER 03/2023 < 5%
POLDAAS, SARA, NMN Individual – DIRECTOR, DIRECTOR OF PORTFOLIO SERVICES, SHAREHOLDER 01/2020 < 5%
RAGAN, DAVID, JAMES Individual CONFLUENCE CAPITAL CORP. SHAREHOLDER 04/2016 > 75%
Deckart, Christian, Helmut Individual – DIRECTOR, DEPUTY CHIEF INVESTMENT OFFICER, SHAREHOLDER 01/2020 < 5%
BROLEY, ROBERT, NMN Individual – DIRECTOR OF CLIENT MANAGEMENT, SHAREHOLDER 03/2023 < 5%
FOURNELL, PATRICK, NMN Individual – DIRECTOR, SHAREHOLDER 01/2020 < 5%
DAWOOD, NAHID, NMN Individual – CHIEF COMPLIANCE OFFICER (CANADA), SHAREHOLDER 02/2024 < 5%
VAN SPRONSEN, ELYSE, NMN Individual – CORPORATE SECRETARY, SHAREHOLDER 03/2023 < 5%
MAWHINNEY, GEORGE, NICHOLAS Individual – CHIEF FINANCIAL OFFICER, MAWER INVESTMENT FUNDS, SHAREHOLDER 02/2024 < 5%
MCNEIL, JOHN, NMN Individual – CONTROLLER 10/2021 < 5%
MITTERTREINER, PHILIP, MICHAEL Individual – CHIEF LEARNING OFFICER 10/2021 < 5%
RISING ROCK LTD. Foreign Entity – SHAREHOLDER 01/2022 5-10%
LAMPERT, PETER, WRAY Individual RISING ROCK LTD. SHAREHOLDER 12/2011 50-75%
LEPAGE, MARIE-CLAUDE, NMN Individual – HEAD, RISK MANAGEMENT AND CHIEF COMPLIANCE OFFICER (USA) 03/2023 < 5%
CONFLUENCE CAPITAL CORP. Foreign Entity – SHAREHOLDER 06/2021 5-10%
JEFF MO ENTERPRISES INC. Foreign Entity – SHAREHOLDER 06/2022 5-10%
MO, JEFFREY, YUFEI Individual JEFF MO ENTERPRISES INC. SHAREHOLDER 12/2011 > 75%
JACKSON, KRISTINA, NMN Individual – ASSISTANT CORPORATE SECRETARY 03/2023 < 5%
BUCHANAN, DAVID, MARC Individual – DIRECTOR OF INDIVIDUAL CLIENT MANAGEMENT 03/2023 < 5%
CAMPBELL, ROBERT, DUNCAN Individual – DIRECTOR, SHAREHOLDER 01/2024 < 5%
MCDONALD, ASHLEY, DAWN Individual – HEAD OF TAX 09/2023 < 5%
ANDERSON, JUSTIN, DAVID Individual – CHIEF TECHNOLOGY OFFICER, SHAREHOLDER 09/2023 < 5%

No. Employees, Historic

3001500202020212022202320242025170 on 3/30/2020170 on 6/30/2020170 on 7/6/2020206 on 3/31/2021205 on 3/31/2022205 on 4/21/2022205 on 4/28/2022219 on 3/31/2023219 on 5/1/2023240 on 3/29/2024

RAUM, Historic

70B35B020202021202220232024202542984542317 on 3/30/202042984542317 on 6/30/202042984542317 on 7/6/202053605457874 on 3/31/202166416598035 on 3/31/202266416598035 on 4/21/202266416598035 on 4/28/202246113030228 on 3/31/202346113030228 on 5/1/202349565578549 on 3/29/2024

No. Clients, Historic

8,0004,00002020202120222023202420255609 on 3/30/20205609 on 6/30/20205609 on 7/6/20206929 on 3/31/20217253 on 3/31/20227253 on 4/21/20227253 on 4/28/20227081 on 3/31/20237081 on 5/1/20236941 on 3/29/2024

Holdings

From latest 13F, filed August 7th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABBOTT LABS COM 148M 1M –
ABBVIE INC COM 50M 290K –
ACCENTURE PLC IRELAND SHS CLASS A 202K 666 Guardian Partners Inc.
ACCENTURE PLC IRELAND SHS CLASS A 240M 792K –
ADVANCED DRAIN SYS INC DEL COM 8M 47K –
ALLEGION PLC ORD SHS 30M 255K –
ALPHABET INC CAP STK CL C 1M 7K Guardian Partners Inc.
ALPHABET INC CAP STK CL C 1B 6M –
ALPHABET INC CAP STK CL A 9M 48K –
AMAZON.COM INC COM 686K 4K Guardian Partners Inc.
AMAZON.COM INC COM 674M 3M –
AMERICAN ELECTRIC POWER CO INC COM 75M 851K –
AMETEK INC COM 77M 460K –
AMPHENOL CORP NEW CL A 990K 15K Guardian Partners Inc.
AMPHENOL CORP NEW CL A 1B 15M –
AON PLC SHS CL A 1M 4K Guardian Partners Inc.
AON PLC SHS CL A 1B 4M –
APPLE INC COM 623K 3K –
APTARGROUP INC COM 151M 1M –
BARRETT BUSINESS SVCS INC COM 18M 545K –
BECTON DICKINSON & CO COM 125M 537K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 305K 750 –
BIO RAD LABS INC CL A 37M 134K –
BOOKING HOLDINGS INC COM 1M 279 Guardian Partners Inc.
BOOKING HOLDINGS INC COM 760M 192K –
BORGWARNER INC COM 38M 1M –
BWX TECHNOLOGIES INC COM 82M 862K –
CACI INTL INC CL A 10M 24K –
CARLISLE COS INC COM 14M 34K –
CARRIER GLOBAL CORPORATION COM 49M 779K –
CBIZ INC COM 59M 792K –
CDW CORP COM 945K 4K Guardian Partners Inc.
CDW CORP COM 694M 3M –
CENCORA INC COM 169M 749K –
CHARLES RIV LABS INTL INC COM 15M 74K –
CME GROUP INC COM 182M 926K –
COGNIZANT TECHNOLOGY SOLUTIO CL A 57M 843K –
COMPANIA CERVECERIAS UNIDAS SPONSORED ADR 34M 3M –
CONCENTRIX CORP COM 11M 170K –
CORPAY INC COM SHS 426K 2K Guardian Partners Inc.
CORPAY INC COM SHS 313M 1M –
CVS HEALTH CORP COM 60M 1M –
DANAHER CORPORATION COM 112M 448K –
DEERE & CO COM 243K 651 Guardian Partners Inc.
DEERE & CO COM 167M 446K –
DOLLAR GEN CORP NEW COM 64M 486K –
DONNELLEY FINL SOLUTIONS INC COM 126M 2M –
ENDAVA PLC ADS 5M 168K –
EURONET WORLDWIDE INC COM 13M 130K –
FEDEX CORP COM 976K 3K Guardian Partners Inc.
FEDEX CORP COM 671M 2M –
FERGUSON PLC NEW SHS 8M 42K –
FIRST CTZNS BANCSHARES INC N CL A 16M 9K –
FTI CONSULTING INC COM 988K 5K Guardian Partners Inc.
FTI CONSULTING INC COM 817M 4M –
GALLAGHER ARTHUR J & CO COM 210M 812K –
GLOBAL INDUSTRIAL COMPANY COM 57M 2M –
HDFC BANK LTD SPONSORED ADS 100M 2M –
HERSHEY CO COM 71M 385K –
HUMANA INC COM 14M 38K –
ICON PLC SHS 120M 382K –
INSPERITY INC COM 553K 6K Guardian Partners Inc.
INSPERITY INC COM 473M 5M –
INTERACTIVE BROKERS GROUP IN COM CL A 14M 113K –
INTERCONTINENTAL EXCHANGE IN COM 706K 5K Guardian Partners Inc.
INTERCONTINENTAL EXCHANGE IN COM 631M 5M –
ITT INC COM 49M 380K –
JOHNSON & JOHNSON COM 423K 3K Guardian Partners Inc.
JOHNSON & JOHNSON COM 370M 3M –
JPMORGAN CHASE & CO COM 99M 489K –
KASPI KZ JSC SPONSORED ADS 127M 981K –
KLA CORP COM NEW 9M 11K –
LAUDER ESTEE COS INC CL A 34M 318K –
LPL FINL HLDGS INC COM 12M 42K –
MARSH & MCLENNAN COS INC COM 2M 8K Guardian Partners Inc.
MARSH & MCLENNAN COS INC COM 1B 7M –
MARTIN MARIETTA MATLS INC COM 145M 268K –
MASTERBRAND INC COMMON STOCK 10M 673K –
MASTERCARD INC CL A 149M 338K –
MATCH GROUP INC NEW COM 11M 375K –
MCCORMICK & CO INC COM NON VTG 39M 551K –
MERCADOLIBRE INC COM 3M 2K –
MICROSOFT CORP COM 2M 4K Guardian Partners Inc.
MICROSOFT CORP COM 1B 3M –
MODERNA INC COM 329K 3K Guardian Partners Inc.
MODERNA INC COM 226M 2M –
NIKE INC CL B 112M 1M –
OREILLY AUTOMOTIVE INC COM 8M 7K –
PATHWARD FINANCIAL INC COM 12M 219K –
PAYCHEX INC COM 123M 1M –
PC CONNECTION INC COM 23M 360K –
PEPSICO INC COM 45M 272K –
PROCTER AND GAMBLE CO COM 364K 2K Guardian Partners Inc.
PROCTER AND GAMBLE CO COM 448M 3M –
RB GLOBAL INC COM 8M 101K –
RESMED INC COM 14M 74K –
ROBERT HALF INC. COM 338K 5K Guardian Partners Inc.
ROBERT HALF INC. COM 232M 4M –
RYAN SPECIALTY HOLDINGS INC CL A 38M 657K –
S&P GLOBAL INC COM 370K 829 Guardian Partners Inc.
S&P GLOBAL INC COM 328M 734K –
SHARKNINJA INC COM SHS 22M 295K –
SHELL PLC SPON ADS 351M 5M –
SHERWIN WILLIAMS CO COM 98M 329K –
SNAP ON INC COM 241K 922 Guardian Partners Inc.
SNAP ON INC COM 165M 631K –
SOUTHERN CO COM 73M 946K –
SOUTHERN COPPER CORP COM 207M 2M –
STATE STR CORP COM 93M 1M –
TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 38M 221K –
TENCENT MUSIC ENTMT GROUP SPON ADS 5M 369K –
TEXAS INSTRS INC COM 66M 341K –
TRADEWEB MKTS INC CL A 62M 583K –
TRINET GROUP INC COM 463K 5K Guardian Partners Inc.
TRINET GROUP INC COM 392M 4M –
ULTA BEAUTY INC COM 14M 36K –
UNITEDHEALTH GROUP INC COM 1M 3K Guardian Partners Inc.
UNITEDHEALTH GROUP INC COM 1B 2M –
VALVOLINE INC COM 18M 424K –
VERISIGN INC COM 11M 62K –
VERISK ANALYTICS INC COM 140M 520K –
VERIZON COMMUNICATIONS INC COM 161M 4M –
VISA INC COM CL A 423K 2K Guardian Partners Inc.
VISA INC COM CL A 571M 2M –
WARNER MUSIC GROUP CORP COM CL A 9M 294K –
WATERS CORP COM 156M 538K –
WINMARK CORP COM 56M 158K –
XP INC CL A 492K 28K Guardian Partners Inc.
XP INC CL A 343M 19M –
XPEL INC COM 12M 338K –