{"url":"https://nivawealth.com/firms/sun-life-capital-management-u-s-109684","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/109684","regulatoryAum":76410239323,"crd":"109684","secFileNumber":"801-39938","legalName":"Sun Life Capital Management (u.s.) LLC","displayName":"Sun Life Capital Management (u.s.)","website":null,"linkedinUrl":"https://www.linkedin.com/company/s-l-c-management/about","founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"96 Worcester Street","city":"Wellesley Hills","state":"MA","stateName":"Massachusetts","country":"United States","postalCode":"02481-5699"},"tradeNames":["SLC Fixed Income","SLC Management"],"registration":{"secApproved":"28 October 1991","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":207,"advisory":108,"brokerDealerReps":19,"insuranceAgents":0,"promoters":0},"aum":{"discretionary":66429406539,"discretionaryAccounts":631,"nonDiscretionary":9980832784,"nonDiscretionaryAccounts":59,"wrapProgram":null,"nonUsClientsPct":5,"nonAumClients":2},"clientTypes":[{"label":"High-net-worth individuals","clients":2,"regulatoryAum":4773759},{"label":"Investment companies","clients":5,"regulatoryAum":2533352646},{"label":"Pooled investment vehicles","clients":5,"regulatoryAum":1237339596},{"label":"Pension and profit-sharing plans","clients":110,"regulatoryAum":5967033962},{"label":"Charitable organizations","clients":5,"regulatoryAum":84225727},{"label":"State or municipal government entities","clients":16,"regulatoryAum":4804967646},{"label":"Other investment advisers","clients":3,"regulatoryAum":3471248204},{"label":"Insurance companies","clients":127,"regulatoryAum":57328967171},{"label":"Corporations and other businesses","clients":3,"regulatoryAum":503682160},{"label":"Other","clients":4,"regulatoryAum":474648452}],"fees":[],"feeNotes":[],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"Citibank","shortName":"Citibank","location":"Jersey City, NJ","smaAssets":34064774327}],"custodyNote":"Sun Life Capital Management (u.s.) has custody of $800.8M for 5 clients.","otherCustodians":[],"leadership":[{"name":"Stephen Peacher","title":"President and Manager, Board of Managers","crd":"1567536"},{"name":"Marlene Van den Hoogen","title":"SVP, Chief Financial Officer, Treasurer","crd":"7118002"},{"name":"Joseph Hanlon","title":"Chief Compliance Officer","crd":"4863662"},{"name":"Randolph Brown","title":"CIO, Sun Life, Manager, Board of Managers","crd":"1399450"},{"name":"Amy Deangelo","title":"Manager, Board of Managers","crd":"4203407"},{"name":"Colleen Kallas","title":"Secretary","crd":"6910605"},{"name":"Sandra Perri","title":"Manager, Board of Managers","crd":"8064604"},{"name":"Jonathan Ross","title":"Manager, Board of Managers","crd":"8063770"}],"ownership":[{"label":"Sun Life Investment Management U.S., LLC","detail":"Sole member in the 75% or more ownership band and a control person, since January 2020."},{"label":"Sun Life Financial Inc.","detail":"Indirect owner: a sole shareholder of Sun Life Global Investments Inc. in the 75% or more band and a control person, since November 2004.","parent":"Sun Life Global Investments Inc."},{"label":"Sun Life Global Investments Inc.","detail":"Indirect owner: a sole shareholder of Sun Life 2007-1 Financing Corp. in the 75% or more band and a control person, since November 2016.","parent":"Sun Life 2007-1 Financing Corp."},{"label":"Sun Life 2007-1 Financing Corp.","detail":"Indirect owner: a sole shareholder of Sun Life Assurance Company of Canada - U.S. Operations Holdings, Inc. in the 75% or more band and a control person, since July 2020.","parent":"Sun Life Assurance Company of Canada - U.S. Operations Holdings, Inc."},{"label":"Sun Life Assurance Company of Canada - U.S. Operations Holdings, Inc.","detail":"Indirect owner: a sole shareholder of SLC Asset Management LLC in the 75% or more band and a control person, since January 2020.","parent":"SLC Asset Management LLC"},{"label":"Sun Life Financial (u.s.) Holdings, Inc.","detail":"Indirect owner: a sole shareholder of Sun Life Financial (u.s.) Investments LLC in the 75% or more band and a control person, since January 2020.","parent":"Sun Life Financial (u.s.) Investments LLC"},{"label":"Sun Life Financial (u.s.) Investments LLC","detail":"Indirect owner: a sole shareholder of Sun Life Investment Management U.S., LLC in the 75% or more band and a control person, since January 2020.","parent":"Sun Life Investment Management U.S., LLC"},{"label":"SLC Asset Management LLC","detail":"Indirect owner: a sole shareholder of SLC Asset Management (us Holdings) LLC in the 75% or more band and a control person, since March 2025.","parent":"SLC Asset Management (us Holdings) LLC"},{"label":"SLC Asset Management (us Holdings) LLC","detail":"Indirect owner: a sole shareholder of Sun Life Investment Management U.S., LLC in the 75% or more band and a control person, since November 2025.","parent":"Sun Life Investment Management U.S., LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":4,"privateResidences":0},"listedOfficeAddresses":4,"officesByState":[{"state":"Connecticut","offices":1,"addresses":[{"street":"One Financial Plaza, 9th Floor","city":"Hartford"}]},{"state":"Massachusetts","offices":1,"addresses":[{"street":"96 Worcester Street","city":"Wellesley Hills","headquarters":true}]},{"state":"New York","offices":1,"addresses":[{"street":"500 Fifth Avenue","city":"New York"}]},{"state":"Washington","offices":1,"addresses":[{"street":"15809 Bear Creek Pkwy","city":"Redmond"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"781-446-1903","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)","Other"],"activities":["Portfolio management for investment companies","Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients","Selection of other advisers (including private fund managers)","Other"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":1},{"label":"U.S. government/agency bonds","percent":16},{"label":"U.S. state and local bonds","percent":6},{"label":"Investment grade corporate bonds","percent":40},{"label":"Securities issued by registered investment companies or business development companies","percent":1},{"label":"Cash and cash equivalents","percent":3},{"label":"Other","percent":31,"detail":"Other Assets Include Corporate Loans, Limited Partnership Assets, Mortgages, Abs, CMBS, CMO, Preferred Securities and Real Estate."}],"privateFunds":4},"sources":{"adv1FilingDate":"31 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/109684/PDF/109684.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Sun Life Capital Management (u.s.) have?","answer":"Sun Life Capital Management (u.s.) has 280 clients and manages $76.4 billion for them, as of March 2026. They include 127 insurance companies, 110 pension and profit-sharing plans and 16 state or municipal government entities.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Sun Life Capital Management (u.s.) offer?","answer":"Sun Life Capital Management (u.s.) provides portfolio management for investment companies, portfolio management for pooled vehicles, portfolio management for institutions, selecting other managers and other activities.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Sun Life Capital Management (u.s.) use?","answer":"Sun Life Capital Management (u.s.)’s separately managed account assets are held at Citibank (Jersey City, NJ), with $34,064,774,327. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 31 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Sun Life Capital Management (u.s.) have?","answer":"Sun Life Capital Management (u.s.) has 0 investment adviser representatives registered with state securities authorities, out of 207 employees, and 108 perform investment advisory functions. 19 are registered representatives of a broker-dealer and 0 are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Sun Life Capital Management (u.s.) invest in?","answer":"At the end of its last fiscal year, Sun Life Capital Management (u.s.)’s separately managed accounts held 40% investment grade corporate bonds, 31% other assets include corporate loans, limited partnership assets, mortgages, abs, cmbs, cmo, preferred securities and real estate., 16% U.S. government and agency bonds, 6% state and local bonds, 3% cash and equivalents, 1% exchange-traded equities and 1% registered funds (mutual funds, ETFs, BDCs). It advises 4 private funds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Sun Life Capital Management (u.s.)?","answer":"Sun Life Capital Management (u.s.) is owned through a chain of holding companies by Sun Life Financial Inc. and Sun Life Financial (u.s.) Holdings, Inc. Its direct owner is Sun Life Investment Management U.S., LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Sun Life Capital Management (u.s.) get paid?","answer":"Sun Life Capital Management (u.s.) is paid through a percentage of assets under management, fixed fees and other arrangements. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}