Mawer Investment Management Ltd. (Calgary)

Name: Mawer Investment Management Ltd.
Address: 600, 517 10 Th Avenue S.W., Calgary, T2 R 0 A8
Telephone: 403-262-4673

Mawer Investment Management Ltd. is a large advisory firm based in Calgary. It manages $32.5 billion of regulatory assets for 8,565 client accounts. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdiction of Texas.

Mawer Investment Management provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, publication of newsletters, and educational seminars and workshops. It doesn't provide financial planning services to its clients. On top of advisory services, the firm also engages as canadian mutual fund sales.

Mawer Investment Management: assets under management

The assets under management (AUM) of Mawer Investment Management Ltd. is $32.5 billion. The firm's AUM has grown by 209% since the beginning of its operation, and $31.12 billion of the total AUM is attributable to clients outside of the United States.

The firm manages $32.5 billion in discretionary accounts and $4.97 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $3.81 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $118.34 thousand.

Investments

The firm invests in exchange traded securities the most. They account for 62% of the total AUM. The second-largest asset type is pooled investment vehicles, which make up 16% of the firm’s portfolio. Investments in sovereign bonds form 10% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Mawer Investment Management Ltd. for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients William Richard Stone serves?

The firm provides services to individuals, investment companies, charitable organizations, other investment advisers, high net worth individuals, pooled investment vehicles, corporations or other businesses, pension and profit sharing plans, and sovereign wealth funds and foreign official institutions. The largest group of clients of William Richard Stone is pooled investment vehicles with 76 clients and $14.79 billion of assets under management. Among the 8 most similar advisory firms, Mawer Investment Management has the 4th lowest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $32.5 billion for 4,209 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 99% of the firm’s clients are foreign persons or businesses.

Mawer Investment Management also advises several private funds. Namely, twelve other private funds. The minimum investment commitment required of non-related persons is $5,000 for each fund.

Careers at Mawer Investment Management Ltd.

The company employs 152 people that are either part- or full-time employees. 43 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There’s a single person with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

William Richard Stone has been acting as President since 1 Jun 2003. Paul Joseph Moroz joined the executive team most recently as the Chief Investment Officer, Director, Shareholder.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
James Colin Hall	Chairman, chief investment officer, shareholder	1 Mar 2003	Other	5988948
Craig Douglas Senyk	Institutional portfolio manager, director, shareholder	1 Mar 2003	Other	5989003
Gerald Astley Cooper Key	Director, shareholder	1 Jun 2003	Other	5988919
William Rhind Maclachlan	Shareholder	1 Jun 2003	Other	5988931
Martin Dale Ferguson	Director, shareholder	1 Jun 2003	Other	5988941
Senyk Investment Management Ltd.	Shareholder	1 Jun 2003	Other	00-0000000
Darrell Alan Anderson	Director, shareholder	1 Jun 2003	Other	5988933
William Richard Stone	Director	1 Jun 2003	Other	5988958
Gregory Darren Peterson	Director, shareholder	1 Jan 2005	Other	5989009
David James Ragan	Director, shareholder	1 Jan 2007	Other	5989021
Michael Jason Crofts	Director, shareholder	1 Jan 2007	Other	5989024
Elizabeth Hamilton Keen	Director, shareholder	1 Mar 2008	Other	5989027
Michael Steven Jacob Mezei	President, director, shareholder	1 Jul 2009	Other	4394473
Jamie Robert Hyndman	Director of marketing, director, shareholder	1 May 2010	Other	5988951
Sonia Leigh Maloney	Director of operations	1 May 2010	Other	5989913
Paul Joseph Moroz	Deputy chief investment officer, director, shareholder	1 Mar 2012	Other	6171320
Vijay Viswanathan	Director of research, shareholder	1 Apr 2012	Other	6171328
Nadine Pearl Krenosky	Chief compliance officer	1 Jan 2013	Other	6171332
Scott R Campbell	Shareholder, director of institutional portfolio management	1 Jan 2014	Other	6319393
Krieghoff Capital Management Ltd.	Shareholder	1 Jan 2015	Other	00-0000000
Western Plains Management Ltd	Shareholder	1 Jan 2015	Other	00-0000000
Allison Kim Webb	Chief marketing officer	1 Jan 2015	Other	6624657
Olivia Min Woo	Director, shareholder	1 Jan 2015	Other	6624067
Beth Margery Hamilton Keen	Director of private client management, shareholder	1 Jan 2015	Other	6624655
Jamie Robert Hyndman	Director of institutional portfolio management, shareholder	1 Jan 2015	Other	6624660
John David Erickson	Chief technology officer	1 Jan 2015	Other	6624676
Diana Gabriel	Controller/shareholder	1 Dec 2015	Other	6631590
Loralie Lillian Johnson	Manager, finance, shareholder	1 Dec 2015	Other	6631602
Tanya Lynne Ellston	Fund administrator officer, shareholder	1 Jan 2016	Other	6770841
Geoffrey Grafton Ritchie	General counsel, corporate secretary	1 Apr 2016	Other	6286157
Colin Frank Hans Zvaniga	Chief operating officer	1 Sep 2016	Other	6772034
Sara Poldaas	Manager, investment operations	1 Dec 2016	Other	6772042
Mental Models Incorporated	Shareholder	1 Dec 2016	Other	00-0000000
Paul Joseph Moroz	Chief investment officer, director, shareholder	1 Jan 2018	Other	6171320
Olivia Min Woo	Director of individual client management, shareholder	1 Jan 2018	Other	6624067
Christian Helmut Deckart	Deputy chief investment officer, shareholder	1 Jan 2018	Other	6930891

Indirect Owners

The SEC currently registers 3 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
James Colin Hall	Shareholder	1 Dec 1999	75% - 100%	5988948
Craig Douglas Senyk	Shareholder,	1 Jun 2003	75% - 100%	5989003
David James Ragan	Shareholder	1 Dec 2016	50% - 75%	5989021

Based in Calgary

The principal office where Mawer Investment Management Ltd. performs its advisory services is located at 600, 517 10 Th Avenue S.W., Calgary, T2 R 0 A8, which is also the mailing address of the firm. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number 403-262-4673 or by fax 403-262-4099. The normal business hours are 7:30am-4:30pm on Monday - Friday. You can find more information about the New York firm at mawer.com.