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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

DECLARATION MANAGEMENT & RESEARCH LLC

CRD 105930

BOSTON, MA

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Search this name across graphsid dfx:ria:4babb628-0fe3-82bc-653e-6b8517addd56

Data as of Mar 29, 2016 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 26
Dated events: 0
On other graphs: 0
Observed: Dec 14, 2011 to Mar 29, 2016
17 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $4.7BItem 5.F on the latest filing (2016-03-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $4.7B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees: 3
Accounts: 30
Private funds: 8Schedule D 7.B(1)
Private fund GAV: $693Mgross asset value as reported per fund; never fund size
Custody, client assets: $454M
SEC number: 801-35030
CRD: 105930
Filings on the tape: 17
First filed: Dec 14, 2011
Latest filed: Mar 29, 2016
Organised: Limited Liability Company, Delaware

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
INDEPENDENCE III CDO, LTD.	Securitized Asset Fund	$97.7M	Mar 25, 2013	25	Mar 29, 2012	dropped	n/a
INDEPENDENCE II CDO, LTD.	Securitized Asset Fund	$82.4M	Apr 1, 2013	25	Mar 29, 2012	dropped	n/a
INDEPENDENCE VI CDO, LTD.	Securitized Asset Fund	$67.0M	Mar 29, 2016	34	Mar 29, 2012	reported	n/a
INDEPENDENCE I CDO, LTD	Securitized Asset Fund	$33.7M	Mar 29, 2016	25	Mar 29, 2012	reported	n/a
INFINITI SPC LIMITED, ACTING FOR THE ACCOUNT OF POTOMAC SYNTHETIC CDO 2007-1 SEGREGATED PORTFOLIO	Securitized Asset Fund	$18.4M	Aug 27, 2015	3	Mar 29, 2012	reported	n/a

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
CONKEY, CHRISTOPHER, PAUL	Director	Na	yes	03/2013	Mar 7, 2013	Mar 29, 2016
CRONSON, HOWARD, RUSSELL	CHIEF FINANCIAL OFFICER	Na	yes	05/2014	Jun 19, 2014	Mar 29, 2016
DONAHUE, PAUL, MARTIN	CHIEF COMPLIANCE OFFICER	Na	yes	03/2015	Mar 31, 2015	Mar 29, 2016
EVANS, BARRY, HART	President	Na	yes	11/2008	Dec 14, 2011	Mar 29, 2016
FLANAGAN, CAROLYN, MARIE	GENERAL COUNSEL	Na	yes	06/2013	Mar 28, 2014	Mar 29, 2016
JOHN HANCOCK FINANCIAL CORPORATION	Shareholder	E	yes	12/2009	Jul 9, 2012	Mar 29, 2016
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.)	Member	E	yes	12/2009	Dec 14, 2011	Mar 29, 2016
JOHN HANCOCK SUBSIDIARIES LLC	Member	E	yes	05/2007	Dec 14, 2011	Mar 29, 2016
LANDERS, DIANE, ROBIN	CHIEF OPERATING OFFICER	Na	yes	06/2012	Jul 9, 2012	Mar 29, 2016
MANULIFE FINANCIAL CORPORATION	Shareholder	E	yes	09/1999	Dec 14, 2011	Mar 29, 2016
MANULIFE HOLDINGS (ALBERTA) LIMITED	Member	E	yes	12/2009	Dec 14, 2011	Mar 29, 2016
SAELI, FRANK, JOSEPH	Director	Na	yes	11/2011	Dec 14, 2011	Mar 29, 2016
THE MANUFACTURERS INVESTMENT CORPORATION	Shareholder	E	yes	01/2002	Dec 14, 2011	Mar 29, 2016
THE MANUFACTURERS LIFE INSURANCE COMPANY	Shareholder	E	yes	12/2003	Apr 1, 2013	Mar 29, 2016

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
MANULIFE ASSET MANAGEMENT (US) LLC	n/a	Asset manager	$228B	N	yes	n/a
JOHN HANCOCK ADVISERS, LLC	n/a	Asset manager	$212B	N	yes	n/a
JOHN HANCOCK INVESTMENT MANAGEMENT SERVICES, LLC	n/a	Asset manager	$69B	N	yes	n/a
HANCOCK NATURAL RESOURCE GROUP, INC	n/a	Asset manager	$6.7B	N	yes	n/a
JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC	n/a	Bd affiliated wealth	$2.2B	N	yes	n/a
MANULIFE ASSET MANAGEMENT (NORTH AMERICA) LIMITED	n/a	Institutional manager	$378M	N	yes	n/a
HANCOCK CAPITAL INVESTMENT MANAGEMENT LLC	n/a	n/a	n/a	N	yes	n/a
JOHN HANCOCK DISTRIBUTORS LLC	n/a	n/a	n/a	N	yes	n/a
JOHN HANCOCK LIFE & HEALTH INSURANCE COMPANY	n/a	n/a	n/a	N	yes	n/a
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.)	n/a	n/a	n/a	Y	yes	n/a
MANULIFE ASSET MANAGEMENT LIMITED	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Portsmouth	Nh	United States	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 29, 2016	$4.7B	$4.7B	3	3	n/a	8	$693M
2014	Mar 31, 2015	$5.6B	$5.4B	8	7	n/a	9	$845M
2013	Mar 28, 2014	$5.3B	$5.1B	9	7	n/a	9	$578M
2012	Apr 1, 2013	$6.9B	$6.6B	31	25	n/a	10	$636M
2011	Mar 29, 2012	$9.1B	$8.7B	n/a	n/a	n/a	11	$608M

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$4.7B	$5.6B	-14.7%	$6.9B	-11.8%	3	8	n/a	n/a

Relationships

Affiliated with (7)

→ JOHN HANCOCK INVESTMENT MANAGEMENT LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ MANULIFE INVESTMENT MANAGEMENT (US) LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ MANULIFE INVESTMENT MANAGEMENT TIMBERLAND AND AGRICULTURE INCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ MANULIFE INVESTMENT MANAGEMENT (NORTH AMERICA) LIMITEDRegistered adviserother investment adviser, bank, common control
factForm ADV
→ JOHN HANCOCK VARIABLE TRUST ADVISERS LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLCRegistered adviserother investment adviser, common control
factForm ADV
← SIGNATOR FINANCIAL SERVICES, INC.Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV

Advises (5)

→ INDEPENDENCE I CDO, LTDPrivate fundSecuritized Asset Fund, IA
Mar 29, 2012 to presentfactForm ADV
→ INDEPENDENCE VI CDO, LTD.Private fundSecuritized Asset Fund, IA
Mar 29, 2012 to presentfactForm ADV
→ INFINITI SPC LIMITED, ACTING FOR THE ACCOUNT OF POTOMAC SYNTHETIC CDO 2007-1 SEGREGATED PORTFOLIOPrivate fundSecuritized Asset Fund, IA
Mar 29, 2012 to presentfactForm ADV
→ INDEPENDENCE II CDO, LTD.Private fundSecuritized Asset Fund, IA, no longer reported
Mar 29, 2012 to Apr 1, 2013factForm ADV
→ INDEPENDENCE III CDO, LTD.Private fundSecuritized Asset Fund, IA, no longer reported
Mar 29, 2012 to Mar 25, 2013factForm ADV

Controls (14)

← SAELI, FRANK, JOSEPHOwnerDIRECTOR, ownership code NA, individual
Dec 14, 2011 to presentfactForm ADV
← EVANS, BARRY, HARTOwnerPRESIDENT, ownership code NA, individual
Dec 14, 2011 to presentfactForm ADV
← LANDERS, DIANE, ROBINOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Jul 9, 2012 to presentfactForm ADV
← DONAHUE, PAUL, MARTINOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 31, 2015 to presentfactForm ADV
← CRONSON, HOWARD, RUSSELLOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Jun 19, 2014 to presentfactForm ADV
← CONKEY, CHRISTOPHER, PAULOwnerDIRECTOR, ownership code NA, individual
Mar 7, 2013 to presentfactForm ADV
← FLANAGAN, CAROLYN, MARIEOwnerGENERAL COUNSEL, ownership code NA, individual
Mar 28, 2014 to presentfactForm ADV
← JOHN HANCOCK FINANCIAL CORPORATIONOwnerSHAREHOLDER, ownership code E, domestic entity
Jul 9, 2012 to presentfactForm ADV
← JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.)OwnerMEMBER, ownership code E, domestic entity
Dec 14, 2011 to presentfactForm ADV
← JOHN HANCOCK SUBSIDIARIES LLCOwnerMEMBER, ownership code E, domestic entity
Dec 14, 2011 to presentfactForm ADV
← MANULIFE FINANCIAL CORPORATIONOwnerSHAREHOLDER, ownership code E, foreign entity
Dec 14, 2011 to presentfactForm ADV
← MANULIFE HOLDINGS (ALBERTA) LIMITEDOwnerMEMBER, ownership code E, foreign entity
Dec 14, 2011 to presentfactForm ADV
← THE MANUFACTURERS INVESTMENT CORPORATIONOwnerSHAREHOLDER, ownership code E, domestic entity
Dec 14, 2011 to presentfactForm ADV
← THE MANUFACTURERS LIFE INSURANCE COMPANYOwnerSHAREHOLDER, ownership code E, foreign entity
Apr 1, 2013 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4babb628-0fe3-82bc-653e-6b8517addd56
First observed: Dec 14, 2011
Last observed: Mar 29, 2016 127 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

DECLARATION MANAGEMENT & RESEARCH LLC

CRD 105930

BOSTON, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:4babb628-0fe3-82bc-653e-6b8517addd56

Data as of Mar 29, 2016 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:49 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

INDEPENDENCE III CDO, LTD.

Securitized Asset Fund

$97.7M

Mar 25, 2013

Mar 29, 2012

dropped

n/a

INDEPENDENCE II CDO, LTD.

Securitized Asset Fund

$82.4M

Apr 1, 2013

Mar 29, 2012

dropped

n/a

INDEPENDENCE VI CDO, LTD.

Securitized Asset Fund

$67.0M

Mar 29, 2016

Mar 29, 2012

reported

n/a

INDEPENDENCE I CDO, LTD

Securitized Asset Fund

$33.7M

Mar 29, 2016

Mar 29, 2012

reported

n/a

INFINITI SPC LIMITED, ACTING FOR THE ACCOUNT OF POTOMAC SYNTHETIC CDO 2007-1 SEGREGATED PORTFOLIO

Securitized Asset Fund

$18.4M

Aug 27, 2015

Mar 29, 2012

reported

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CONKEY, CHRISTOPHER, PAUL

Director

yes

03/2013

Mar 7, 2013

Mar 29, 2016

CRONSON, HOWARD, RUSSELL

CHIEF FINANCIAL OFFICER

yes

05/2014

Jun 19, 2014

Mar 29, 2016

DONAHUE, PAUL, MARTIN

CHIEF COMPLIANCE OFFICER

yes

03/2015

Mar 31, 2015

Mar 29, 2016

EVANS, BARRY, HART

President

yes

11/2008

Dec 14, 2011

Mar 29, 2016

FLANAGAN, CAROLYN, MARIE

GENERAL COUNSEL

yes

06/2013

Mar 28, 2014

Mar 29, 2016

JOHN HANCOCK FINANCIAL CORPORATION

Shareholder

yes

12/2009

Jul 9, 2012

Mar 29, 2016

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.)

Member

yes

12/2009

Dec 14, 2011

Mar 29, 2016

JOHN HANCOCK SUBSIDIARIES LLC

Member

yes

05/2007

Dec 14, 2011

Mar 29, 2016

LANDERS, DIANE, ROBIN

CHIEF OPERATING OFFICER

yes

06/2012

Jul 9, 2012

Mar 29, 2016

MANULIFE FINANCIAL CORPORATION

Shareholder

yes

09/1999

Dec 14, 2011

Mar 29, 2016

MANULIFE HOLDINGS (ALBERTA) LIMITED

Member

yes

12/2009

Dec 14, 2011

Mar 29, 2016

SAELI, FRANK, JOSEPH

Director

yes

11/2011

Dec 14, 2011

Mar 29, 2016

THE MANUFACTURERS INVESTMENT CORPORATION

Shareholder

yes

01/2002

Dec 14, 2011

Mar 29, 2016

THE MANUFACTURERS LIFE INSURANCE COMPANY

Shareholder

yes

12/2003

Apr 1, 2013

Mar 29, 2016

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

MANULIFE ASSET MANAGEMENT (US) LLC

n/a

Asset manager

$228B

yes

n/a

JOHN HANCOCK ADVISERS, LLC

n/a

Asset manager

$212B

yes

n/a

JOHN HANCOCK INVESTMENT MANAGEMENT SERVICES, LLC

n/a

Asset manager

$69B

yes

n/a

HANCOCK NATURAL RESOURCE GROUP, INC

n/a

Asset manager

$6.7B

yes

n/a

JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC

n/a

Bd affiliated wealth

$2.2B

yes

n/a

MANULIFE ASSET MANAGEMENT (NORTH AMERICA) LIMITED

n/a

Institutional manager

$378M

yes

n/a

HANCOCK CAPITAL INVESTMENT MANAGEMENT LLC

n/a

yes

n/a

JOHN HANCOCK DISTRIBUTORS LLC

n/a

yes

n/a

JOHN HANCOCK LIFE & HEALTH INSURANCE COMPANY

n/a

yes

n/a

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.)

n/a

yes

n/a

MANULIFE ASSET MANAGEMENT LIMITED

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Portsmouth

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2015

Mar 29, 2016

$4.7B

n/a

$693M

2014

Mar 31, 2015

$5.6B

$5.4B

n/a

$845M

2013

Mar 28, 2014

$5.3B

$5.1B

n/a

$578M

2012

Apr 1, 2013

$6.9B

$6.6B

n/a

$636M

2011

Mar 29, 2012

$9.1B

$8.7B

n/a

$608M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2015

$4.7B

$5.6B

-14.7%

$6.9B

-11.8%

n/a