MACKENZIE INVESTMENTS
MACKENZIE INVESTMENTS CORPORATION Legal Name
Adviser information for MACKENZIE INVESTMENTS 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 | 13 |
|---|---|
| Investment Advisory/Research | 9 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 0 |
| 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 | 38 | $7.6B |
| Non-Discretionary | 0 | $0 |
| Total | 38 | $7.6B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 2 | $758.3M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 31 | $6.7B |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | <5 | $225.0M |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 94 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-77541 |
|---|---|
| SEC ERA File Number | 801-77541 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 165899 |
| Legal Entity Identifier | None |
Principal Office
TWO INTERNATIONAL PLACESUITE 2320
BOSTON
MA
United States
Monday - Friday, 8:30 AM - 5:00 PM
Tel: 617-439-9500, Fax: None
Websites
Chief Compliance Officer
GILLIAN SEIDLER
VICE-PRESIDENT, COMPLIANCE
180 QUEEN STREET WEST
TORONTO
Canada
Tel:
416-967-2359
G*******@***************M
(Full email address available in API data)
Regulatory Contact
JANA HILLS
SENIOR MANAGER
180 SIMCOE STREET
12TH FLOOR
TORONTO
Canada
Tel:
416-922-5322 EX. 5351
Fax:
416-922-7062
J*****@***********************M
(Full email address available in API data)
Industry Affiliates
| CANADA LIFE INVESTMENT MANAGEMENT, LTD. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| CHINA ASSET MANAGEMENT CO., LTD. | Other investment adviser, including financial planners |
| COUNSEL PORTFOLIO SERVICES INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| I.G. INVESTMENT MANAGEMENT, LTD. | Other investment adviser, including financial plannersInsurance company or agencySponsor, GP, manager of pooled investment vehicles |
| INVESTORS GROUP FINANCIAL SERVICES INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerInsurance company or agency |
| INVESTORS GROUP INSURANCE SERVICES INC. | Insurance company or agency |
| INVESTORS GROUP SECURITIES INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerInsurance company or agency |
| INVESTORS GROUP TRUST CO. LTD. | Trust company |
| IPC INVESTMENT CORPORATION | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| IPC SECURITIES CORPORATION | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| MACKENZIE EM FUNDS MANAGEMENT (CAYMAN) LTD. | Sponsor, GP, manager of pooled investment vehicles |
| MACKENZIE INVESTMENTS | 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 |
| MACKENZIE INVESTMENTS ASIA LIMITED | Other investment adviser, including financial planners |
| MACKENZIE INVESTMENTS EUROPE LIMITED | Other investment adviser, including financial planners |
| MEMLS FUND MANAGEMENT (CAYMAN) LTD. | Sponsor, GP, manager of pooled investment vehicles |
| MMLP GP INC. | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| MACKENZIE EMERGING MARKETS SMALL CAP FUND (CAYMAN) LTD. | PUBLIC EQUITY FUND | $45.0M | $1.0M | 2 |
| MACKENZIE EMERGING MARKETS SMALL CAP MASTER FUND (CAYMAN) LP | PUBLIC EQUITY FUND | $55.4M | $1.0M | 9 |
| MACKENZIE INTERNATIONAL QUANTITATIVE LARGE CAP FUND (CAYMAN) LTD. | PUBLIC EQUITY FUND | $45.4M | $1.0M | 1 |
| MACKENZIE INTERNATIONAL QUANTITATIVE LARGE CAP MASTER FUND (CAYMAN) LP | PUBLIC EQUITY FUND | $45.4M | $1.0M | 1 |
| MACKENZIE INTERNATIONAL QUANTITATIVE SMALL CAP FUND (CAYMAN) LTD. | PUBLIC EQUITY FUND | $43.5M | $1.0M | 1 |
| MACKENZIE INTERNATIONAL QUANTITATIVE SMALL CAP MASTER FUND (CAYMAN) LP | PUBLIC EQUITY FUND | $43.5M | $1.0M | 1 |
| MACKENZIE US QUANTITATIVE AMPLIFIED CORE FUND (CAYMAN) LTD. | Hedge Fund | $95.5M | $1.0M | 1 |
| MACKENZIE US QUANTITATIVE AMPLIFIED CORE MASTER FUND (CAYMAN) LP | Hedge Fund | $95.5M | $1.0M | 1 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MACKENZIE FINANCIAL CORPORATION | Foreign Entity | – | SHAREHOLDER | 09/2012 | > 75% |
| POWER FINANCIAL CORPORATION | Foreign Entity | IGM FINANCIAL INC. | SHAREHOLDER | 04/1940 | 50-75% |
| POWER CORPORATION OF CANADA | Foreign Entity | POWER FINANCIAL CORPORATION | SHAREHOLDER | 12/2008 | > 75% |
| IGM FINANCIAL INC. | Foreign Entity | MACKENZIE INC. | SHAREHOLDER | 08/1978 | > 75% |
| MACKENZIE INC. | Foreign Entity | MACKENZIE FINANCIAL CORPORATION | SHAREHOLDER | 01/2003 | > 75% |
| GOULD, JOSEPH, LUKE GREGOIRE | Individual | – | DIRECTOR, PRESIDENT AND CEO | 07/2022 | < 5% |
| THE DESMARAIS FAMILY RESIDUARY TRUST | Foreign Entity | POWER CORPORATION OF CANADA | SHAREHOLDER | 10/2013 | 50-75% |
| DESMARAIS, PAUL, GUY | Individual | THE DESMARAIS FAMILY RESIDUARY TRUST | TRUSTEE | 10/2013 | |
| DESMARAIS, ANDRE, ROGER | Individual | THE DESMARAIS FAMILY RESIDUARY TRUST | TRUSTEE | 10/2013 | |
| DATTA, ARUP, KUMAR | Individual | – | SENIOR VICE-PRESIDENT, INVESTMENT MANAGEMENT AND GENERAL MANAGER | 09/2017 | < 5% |
| DESMARAIS, SOPHIE | Individual | THE DESMARAIS FAMILY RESIDUARY TRUST | TRUSTEE | 03/2018 | |
| SEIDLER, GILLIAN, ELOISE | Individual | – | CHIEF COMPLIANCE OFFICER | 05/2018 | < 5% |
| Goldberg, Rhonda, Suzanne | Individual | – | DIRECTOR | 12/2020 | < 5% |
| Locke, Steven, Gregory | Individual | – | DIRECTOR AND SENIOR VICE-PRESIDENT, CHIEF INVESTMENT OFFICER | 12/2020 | < 5% |
| REITER CURRIE, CYNTHIA, ANN | Individual | – | DIRECTOR | 12/2020 | < 5% |
| Potter, Keith, David Bernard | Individual | – | DIRECTOR, EXECUTIVE VICE-PRESIDENT AND CFO | 07/2022 | < 5% |
| Westlind, Nicholas, Lars | Individual | – | DIRECTOR | 05/2023 | < 5% |
| DOER, GARY, ALBERT | Individual | THE DESMARAIS FAMILY RESIDUARY TRUST | TRUSTEE | 05/2023 | |
| FLEMING, GREGORY, JAMES | Individual | THE DESMARAIS FAMILY RESIDUARY TRUST | TRUSTEE | 02/2024 |