DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

SEC-registered adviser

Manulife Investment Management (US) LLC

Asset manager (funds and pooled vehicles)Boston, MassachusettsCRD 106435SEC 801-42023websiteIAPD
Latest filing Mar 25, 2026
First filing on the tape Dec 22, 2011 · 44 filings
SEC status approved since Aug 4, 1992
RAUM
$228B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.6%
$1.4B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
267
146 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
44 filings and snapshots on the tape
RAUM$228B as of Mar 25, 2026
Mar 30, 2012$117B then
HNW client RAUM$270M as of Mar 25, 2026
Mar 30, 2018$126M then
State-registered IARs (5.B.3)12 as of Mar 25, 2026
Mar 28, 20131 then
Employees (5.A)267 as of Mar 25, 2026
Mar 28, 2013241 then
Private funds1 as of Mar 28, 2024
Mar 28, 20131 then
RAUM +13% over the last fiscal year+9.6% a year over threeIARs 11 to 12offices 2 to 1
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
RAUM per advisor
$19BderivedRAUM over IAPD advisors; not a book size
Clients per advisor
294derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$46.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
22.3derivedItem 5.A over advisors
Advisors per office
6.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+13%derivedbetween the last two annual amendments
Advisor growth, one year
+9.1%derivedItem 5.B.3 between annual amendments
Client growth, one year
-1.9%derived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisersreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$146B64%
  • Pooled investment vehicles$45B20%
  • Insurance companies$16B6.9%
  • Sovereign wealth funds$5.4B2.4%
  • State and municipal entities$5.3B2.3%
  • Pension and profit-sharing plans$4.9B2.1%
  • Corporations and businesses$3.1B1.4%
  • Individuals$1.1B0.5%
  • Charitable organizations$761M0.3%
  • High-net-worth individuals$270M0.1%
Individual clients
3,373reported
HNW clients
151reported
Pension plan clients
105reported
Charitable clients
762reported
Accounts
4,861reported
Financial planning clients
reported
Wrap fee programs
$0 sponsored, $2.8B managedreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
private_client_share=0.01 fund_share=0.84 institutional_share=0.14 related_bd=true related_bank=true bd_reps=17.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
7 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
Manulife Investment Management Total Return Bond Fund LPOther Private Fund$630M16Mar 29, 2012
Manulife Absolute Return Mortgage Securities Master Fund Ltd.no longer reportedHedge Fund$141M4Aug 30, 2012
Straits Global Abs Cdo I, Ltdno longer reportedSecuritized Asset Fund$31.3M25Mar 29, 2012
Independence V Cdo, Ltdno longer reportedSecuritized Asset Fund$22.5M25Mar 29, 2012
Independence Vii Cdo Ltdno longer reportedSecuritized Asset Fund$17.7M25Mar 29, 2012
Independence IV Cdo, Ltd.no longer reportedSecuritized Asset Fund$15.9M25Mar 29, 2012
Infiniti Spc Limited, Acting For The Account Of Potomac Synthetic Cdo 2007-2 Segregated Portfoliono longer reportedSecuritized Asset Fund$00Mar 29, 2012
Owners and control persons
Schedule A and B, latest filing
  • Adam William Auger · Directorcontrol
    since 09/2023 · owns less than 5%
  • Majella Patricia Carrington · Directorcontrol
    since 01/2019 · owns less than 5%
  • Kenneth Damato · Vice President, Chief Administrative Officercontrol
    since 03/2015 · owns less than 5%
  • Martin Paul Donahue · Vice President, Chief Compliance Officercontrol
    since 03/2015 · owns less than 5%
  • Marie Carolyn Flanagan · Vice President, Secretary, General Counselcontrol
    since 01/2007 · owns less than 5%
  • Robin Diane Landers · President And Chief Operating Officer And Directorcontrol
    since 06/2016 · owns less than 5%
  • John Andrew Mcfetridge · Directorcontrol
    since 09/2023 · owns less than 5%
  • Howard Jeffrey Nataupsky · Chief Financial Officer, Controller, Treasurercontrol
    since 04/2017 · owns less than 5%
Entity owners
  • John Hancock Subsidiaries LLC · Member
    direct · owns 75% or more
  • John Hancock Financial Corporation · Shareholder
    indirect · owns 75% or more of The Manufacturers Investment Corporation
  • John Hancock Life Insurance Company (U.S.A.) · Shareholder
    indirect · owns 75% or more of John Hancock Subsidiaries LLC
  • Manulife Financial Corporation · Shareholder
    indirect · owns 75% or more of The Manufacturers Life Insurance Company · public reporting company
  • Manulife Holdings (Alberta) Limited · Shareholder
    indirect · owns 75% or more of John Hancock Financial Corporation
  • The Manufacturers Investment Corporation · Shareholder
    indirect · owns 75% or more of John Hancock Life Insurance Company (U.S.A.)
  • The Manufacturers Life Insurance Company · Shareholder
    indirect · owns 75% or more of Manulife Holdings (Alberta) Limited
Related persons
Schedule D 7.A
Advisers that list Manulife Investment Management (US) LLC as a related person
Offices
Schedule D 1.F, the 25 largest
  • Chicago, IL6 employees
What changed
consecutive filings, newest first
  • Accounts · 4,946 to 4,861
    Aug 6, 2025 to Mar 25, 2026
  • Advisory employees · 144 to 146
    Aug 6, 2025 to Mar 25, 2026
  • BD registered reps · 19 to 17
    Aug 6, 2025 to Mar 25, 2026
  • Charity clients · 784 to 762
    Aug 6, 2025 to Mar 25, 2026
  • Corporate clients · 195 to 203
    Aug 6, 2025 to Mar 25, 2026
  • HNW clients · 138 to 151
    Aug 6, 2025 to Mar 25, 2026
  • Individual clients · 3,455 to 3,373
    Aug 6, 2025 to Mar 25, 2026
  • Pension plan clients · 111 to 105
    Aug 6, 2025 to Mar 25, 2026
  • Pooled vehicle clients · 111 to 110
    Aug 6, 2025 to Mar 25, 2026
  • Employees · 270 to 267
    Aug 6, 2025 to Mar 25, 2026
  • Insurance-licensed employees · 11 to 12
    Aug 6, 2025 to Mar 25, 2026
  • State-registered IARs · 11 to 12
    Aug 6, 2025 to Mar 25, 2026
  • Other offices · 2 to 1
    Aug 6, 2025 to Mar 25, 2026
  • Discretionary RAUM · $201B to $228B
    Aug 6, 2025 to Mar 25, 2026
  • HNW RAUM · $235M to $270M
    Aug 6, 2025 to Mar 25, 2026
  • Individual RAUM · $1.1B to $1.1B
    Aug 6, 2025 to Mar 25, 2026
  • Non-discretionary RAUM · $658M to $37.0M
    Aug 6, 2025 to Mar 25, 2026
  • Pension RAUM · $4.1B to $4.9B
    Aug 6, 2025 to Mar 25, 2026
  • Pooled vehicle RAUM · $43B to $45B
    Aug 6, 2025 to Mar 25, 2026
  • RAUM · $201B to $228B
    Aug 6, 2025 to Mar 25, 2026
  • Wrap assets (manager) · $2.6B to $2.8B
    Aug 6, 2025 to Mar 25, 2026
  • Financial planning clients · unset to
    Mar 27, 2025 to Jul 22, 2025
  • Accounts · 3,809 to 4,946
    Oct 4, 2024 to Mar 27, 2025
  • Advisory employees · 138 to 144
    Oct 4, 2024 to Mar 27, 2025
  • BD registered reps · 18 to 19
    Oct 4, 2024 to Mar 27, 2025
  • Charity clients · 600 to 784
    Oct 4, 2024 to Mar 27, 2025
  • Corporate clients · 141 to 195
    Oct 4, 2024 to Mar 27, 2025
  • HNW clients · 109 to 138
    Oct 4, 2024 to Mar 27, 2025
  • Individual clients · 2,605 to 3,455
    Oct 4, 2024 to Mar 27, 2025
  • Pension plan clients · 88 to 111
    Oct 4, 2024 to Mar 27, 2025
  • Pooled vehicle clients · 94 to 111
    Oct 4, 2024 to Mar 27, 2025
  • Assets in custody · 630118396.0 to unset
    Oct 4, 2024 to Mar 27, 2025
  • Custody of client assets · true to false
    Oct 4, 2024 to Mar 27, 2025
  • Employees · 246 to 270
    Oct 4, 2024 to Mar 27, 2025
  • Insurance-licensed employees · 9 to 11
    Oct 4, 2024 to Mar 27, 2025
  • State-registered IARs · 9 to 11
    Oct 4, 2024 to Mar 27, 2025
  • Other offices · 1 to 2
    Oct 4, 2024 to Mar 27, 2025
  • Private funds · 1 to unset
    Oct 4, 2024 to Mar 27, 2025
  • Discretionary RAUM · $188B to $201B
    Oct 4, 2024 to Mar 27, 2025
  • HNW RAUM · $176M to $235M
    Oct 4, 2024 to Mar 27, 2025
Signals
10 dated events
  • Paul Christopher Conkey (Executive Vice President, Chief Investment Officer And Director) no longer on Schedule A of Manulife Investment Management (Us) Llc (listed 2024-03-28, absent 2024-05-14)
    May 14, 2024 · Control person left · inference
  • Grant Andrew Arnott (Director) no longer on Schedule A of Manulife Investment Management (Us) Llc (listed 2024-03-28, absent 2024-05-14)
    May 14, 2024 · Control person left · inference
  • Adam William Auger (Director) appeared on Schedule A of Manulife Investment Management (Us) Llc
    May 14, 2024 · Control person joined · fact
  • John Andrew Mcfetridge (Director) appeared on Schedule A of Manulife Investment Management (Us) Llc
    May 14, 2024 · Control person joined · fact
  • Joseph Todd Cassler (Director) no longer on Schedule A of Manulife Investment Management (Us) Llc (listed 2022-09-07, absent 2023-03-30)
    Mar 30, 2023 · Control person left · inference
  • Raymon Paul Lorentz (Director) no longer on Schedule A of Manulife Investment Management (Us) Llc (listed 2020-03-27, absent 2020-03-31)
    Mar 31, 2020 · Control person left · inference
  • Majella Patricia Rosch (Director) appeared on Schedule A of Manulife Investment Management (Us) Llc
    Mar 29, 2019 · Control person joined · fact
  • Joseph Todd Cassler (Director) appeared on Schedule A of Manulife Investment Management (Us) Llc
    Mar 29, 2019 · Control person joined · fact
  • Emilio Luca Pontillo (Director) no longer on Schedule A of Manulife Investment Management (Us) Llc (listed 2018-03-30, absent 2019-03-29)
    Mar 29, 2019 · Control person left · inference
  • Joseph Frank Saeli (Director) no longer on Schedule A of Manulife Investment Management (Us) Llc (listed 2018-03-30, absent 2019-03-29)
    Mar 29, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
How to reach
public business contact points only, each with its source
Firm profile
linkedin.com/company/manulife-wealth-asset-managementreportedpublic record, Form ADV, Sep 17, 2026
Website
manulifeim.comreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone
617-375-1500reportedpublic record, Form ADV, Mar 25, 2026
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026
Across the graphs

Manulife Investment Management (US) LLC is the same institution as 1 record in Real Estate Funds.

Real Estate Funds1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

Checking your plan…