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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 10b 100b

MFS MCLEAN BUDDEN

MCLEAN BUDDEN LIMITED., CRD 111338

TORONTO, ONTARIO

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Search this name across graphsid dfx:ria:df4f6168-ef67-3836-8d98-91ad16c7a570

Data as of Oct 3, 2012 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 0
On other graphs: 0
Observed: Dec 20, 2011 to Oct 3, 2012
6 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: $28BItem 5.F on the latest filing (2012-10-03); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $28B
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
Accounts: 679
SEC number: 801-60118
CRD: 111338
Filings on the tape: 6
First filed: Dec 20, 2011
Latest filed: Oct 3, 2012
Organised: Corporation

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
FORSTER PAZIENZA, MARGO, CHRISTINA	VICE PRESIDENT, COMPLIANCE, CHIEF COMPLIANCE OFFICER	Na	yes	06/2012	Jun 28, 2012	Oct 3, 2012
GEREMIA, CAROL, WILLIAM	Director	Na	yes	06/2012	Jun 28, 2012	Oct 3, 2012
KOTSOPOULOS, PETER	CHIEF EXECUTIVE OFFICER, DIRECTOR	Na	yes	06/2012	Jun 28, 2012	Oct 3, 2012
LOCKHART, BARBARA, SUZANNE	SENIOR VICE PRESIDENT, FINANCE & ADMINISTRATION	Na	yes	12/2009	Dec 20, 2011	Oct 3, 2012
MANSI, ROBERTSON, GEORGE	Director	Na	yes	06/2012	Jun 28, 2012	Oct 3, 2012
MFS INSTITUTIONAL ADVISORS INC.	PARENT COMPANY	E	yes	11/2011	Dec 20, 2011	Oct 3, 2012
MFS INVESTMENT MANAGEMENT	Shareholder	E	yes	11/1992	Dec 20, 2011	Oct 3, 2012
ROBERGE, MICHAEL, WILLIAM	CHAIRMAN, DIRECTOR	Na	yes	06/2012	Jun 28, 2012	Oct 3, 2012
SUN LIFE ASSURANCE COMPANY OF CANADA - U.S. OPERATIONS HOLDINGS, INC.	Shareholder	E	yes	01/2005	Mar 30, 2012	Oct 3, 2012
SUN LIFE FINANCIAL (U.S.) HOLDINGS, INC.	Shareholder	E	yes	09/2001	Mar 30, 2012	Oct 3, 2012
SUN LIFE FINANCIAL (U.S.) INVESTMENTS LLC	Shareholder	E	yes	12/1997	Mar 30, 2012	Oct 3, 2012
SUN LIFE FINANCIAL INC.	Shareholder	E	yes	03/2000	Mar 30, 2012	Oct 3, 2012
SUN LIFE GLOBAL INVESTMENTS INC.	Shareholder	E	yes	11/2004	Mar 30, 2012	Oct 3, 2012
SUN LIFE OF CANADA (U.S.) FINANCIAL SERVICES HOLDINGS, INC.	Shareholder	E	yes	09/1992	Mar 30, 2012	Oct 3, 2012

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
MASSACHUSETTS FINANCIAL SERVICES COMPANY	n/a	Asset manager	$514B	Y	yes	n/a
MFS INSTITUTIONAL ADVISORS INC.	n/a	Other adviser	$114B	Y	yes	n/a
SUN CAPITAL ADVISERS LLC	n/a	Institutional manager	$76B	N	yes	n/a
MFS FUND DISTRIBUTORS, INC.	n/a	n/a	n/a	N	yes	n/a
MFS INTERNATIONAL (U.K.) LIMITED	n/a	n/a	n/a	N	yes	n/a
MFS INTERNATIONAL LTD	n/a	n/a	n/a	N	yes	n/a
MFS INVESTMENT MANAGEMENT K.K.	n/a	n/a	n/a	N	yes	n/a
SUN LIFE GLOBAL INVESTMENTS (CANADA) INC.	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
MONTREAL, QUEBEC	n/a	Canada	n/a	no
VANCOUVER, BRITISH COLUMBIA	n/a	Canada	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
2011	Mar 30, 2012	$28B	$28B	n/a	n/a	n/a	n/a	n/a

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
2011	$28B	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Affiliated with (3)

→ MFS INSTITUTIONAL ADVISORS INC.Registered adviserother investment adviser, bank, pooled vehicle sponsor, control, common control
factForm ADV
→ SLC MANAGEMENTRegistered adviserother investment adviser, common control
factForm ADV
→ MFS INVESTMENT MANAGEMENTRegistered adviserother investment adviser, bank, pooled vehicle sponsor, control, common control
factForm ADV

Controls (13)

← MFS INSTITUTIONAL ADVISORS INC.OwnerPARENT COMPANY, ownership code E, domestic entity
Dec 20, 2011 to presentfactForm ADV
← MFS INVESTMENT MANAGEMENTOwnerSHAREHOLDER, ownership code E, domestic entity
Dec 20, 2011 to presentfactForm ADV
← GEREMIA, CAROL, WILLIAMOwnerDIRECTOR, ownership code NA, individual
Jun 28, 2012 to presentfactForm ADV
← MANSI, ROBERTSON, GEORGEOwnerDIRECTOR, ownership code NA, individual
Jun 28, 2012 to presentfactForm ADV
← ROBERGE, MICHAEL, WILLIAMOwnerCHAIRMAN, DIRECTOR, ownership code NA, individual
Jun 28, 2012 to presentfactForm ADV
← KOTSOPOULOS, PETEROwnerCHIEF EXECUTIVE OFFICER, DIRECTOR, ownership code NA, individual
Jun 28, 2012 to presentfactForm ADV
← FORSTER PAZIENZA, MARGO, CHRISTINAOwnerVICE PRESIDENT, COMPLIANCE, CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jun 28, 2012 to presentfactForm ADV
← LOCKHART, BARBARA, SUZANNEOwnerSENIOR VICE PRESIDENT, FINANCE & ADMINISTRATION, ownership code NA, individual
Dec 20, 2011 to presentfactForm ADV
← SUN LIFE ASSURANCE COMPANY OF CANADA - U.S. OPERATIONS HOLDINGS, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← SUN LIFE FINANCIAL (U.S.) HOLDINGS, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← SUN LIFE FINANCIAL (U.S.) INVESTMENTS LLCOwnerSHAREHOLDER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← SUN LIFE GLOBAL INVESTMENTS INC.OwnerSHAREHOLDER, ownership code E, foreign entity
Mar 30, 2012 to presentfactForm ADV
← SUN LIFE OF CANADA (U.S.) FINANCIAL SERVICES HOLDINGS, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:df4f6168-ef67-3836-8d98-91ad16c7a570
First observed: Dec 20, 2011
Last observed: Oct 3, 2012 170 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.

MFS MCLEAN BUDDEN

MCLEAN BUDDEN LIMITED., CRD 111338

TORONTO, ONTARIO

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:df4f6168-ef67-3836-8d98-91ad16c7a570

Data as of Oct 3, 2012 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:16 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FORSTER PAZIENZA, MARGO, CHRISTINA

VICE PRESIDENT, COMPLIANCE, CHIEF COMPLIANCE OFFICER

yes

06/2012

Jun 28, 2012

Oct 3, 2012

GEREMIA, CAROL, WILLIAM

Director

yes

06/2012

Jun 28, 2012

Oct 3, 2012

KOTSOPOULOS, PETER

CHIEF EXECUTIVE OFFICER, DIRECTOR

yes

06/2012

Jun 28, 2012

Oct 3, 2012

LOCKHART, BARBARA, SUZANNE

SENIOR VICE PRESIDENT, FINANCE & ADMINISTRATION

yes

12/2009

Dec 20, 2011

Oct 3, 2012

MANSI, ROBERTSON, GEORGE

Director

yes

06/2012

Jun 28, 2012

Oct 3, 2012

MFS INSTITUTIONAL ADVISORS INC.

PARENT COMPANY

yes

11/2011

Dec 20, 2011

Oct 3, 2012

MFS INVESTMENT MANAGEMENT

Shareholder

yes

11/1992

Dec 20, 2011

Oct 3, 2012

ROBERGE, MICHAEL, WILLIAM

CHAIRMAN, DIRECTOR

yes

06/2012

Jun 28, 2012

Oct 3, 2012

SUN LIFE ASSURANCE COMPANY OF CANADA - U.S. OPERATIONS HOLDINGS, INC.

Shareholder

yes

01/2005

Mar 30, 2012

Oct 3, 2012

SUN LIFE FINANCIAL (U.S.) HOLDINGS, INC.

Shareholder

yes

09/2001

Mar 30, 2012

Oct 3, 2012

SUN LIFE FINANCIAL (U.S.) INVESTMENTS LLC

Shareholder

yes

12/1997

Mar 30, 2012

Oct 3, 2012

SUN LIFE FINANCIAL INC.

Shareholder

yes

03/2000

Mar 30, 2012

Oct 3, 2012

SUN LIFE GLOBAL INVESTMENTS INC.

Shareholder

yes

11/2004

Mar 30, 2012

Oct 3, 2012

SUN LIFE OF CANADA (U.S.) FINANCIAL SERVICES HOLDINGS, INC.

Shareholder

yes

09/1992

Mar 30, 2012

Oct 3, 2012

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

MASSACHUSETTS FINANCIAL SERVICES COMPANY

n/a

Asset manager

$514B

yes

n/a

MFS INSTITUTIONAL ADVISORS INC.

n/a

Other adviser

$114B

yes

n/a

SUN CAPITAL ADVISERS LLC

n/a

Institutional manager

$76B

yes

n/a

MFS FUND DISTRIBUTORS, INC.

n/a

yes

n/a

MFS INTERNATIONAL (U.K.) LIMITED

n/a

yes

n/a

MFS INTERNATIONAL LTD

n/a

yes

n/a

MFS INVESTMENT MANAGEMENT K.K.

n/a

yes

n/a

SUN LIFE GLOBAL INVESTMENTS (CANADA) INC.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

MONTREAL, QUEBEC

n/a

Canada

n/a

VANCOUVER, BRITISH COLUMBIA

n/a

Canada

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 30, 2012

$28B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$28B

n/a