{ "crd_number": 285521, "slug": "mackenzie-investments-asia-limited-hong-kong-285521", "primary_business_name": "MACKENZIE INVESTMENTS ASIA LIMITED", "legal_name": "MACKENZIE INVESTMENTS ASIA LIMITED", "dbas": [], "city": "Hong Kong", "state": null, "country": "Hong Kong", "cbsa_code": null, "metro": null, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2016-12-06", "years_registered": 9, "period": "2026-10-01", "filing_date": "2026-03-30", "carried_forward": false, "raum_total": 2532913464.0, "raum_discretionary": 2532913464.0, "raum_non_discretionary": 0.0, "raum_band": "1b_5b", "raum_band_label": "$1 billion to $5 billion", "total_employees": 13, "advisory_employees": 7, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "state_municipal": { "raum": 684636634.0, "count": null, "fewer_than_5": true }, "pooled_investment_vehicles": { "raum": 1848276830.0, "count": 6 } }, "compensation_types": [ "percentage_of_aum" ], "advisory_activities": [ "portfolio_management_businesses_institutional", "portfolio_management_pooled_vehicles" ], "wrap_fee_participant": false, "disclosure_yes_count": 2, "states_registered": [], "websites": [ "https://mackenzieinvestments.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/285521", "disclosure_items": [ { "item": "11.D(2)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?" }, { "item": "11.D(4)", "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?" } ], "city_as_filed": "HONG KONG", "url": "https://advisorcensus.com/firm/mackenzie-investments-asia-limited-hong-kong-285521", "display_name": "Mackenzie Investments Asia Limited", "summary": "Mackenzie Investments Asia Limited is an SEC-registered investment advisory firm in Hong Kong, Hong Kong, registered since 2016, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 30, 2026.", "citation": "AdvisorCensus. Mackenzie Investments Asia Limited (CRD 285521): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management" ], "advisory_activity_labels": [ "Portfolio management for pooled investment vehicles (other than investment companies)", "Portfolio management for businesses (other than small businesses) or institutional clients" ], "quick_answers": [ { "q": "How is Mackenzie Investments Asia Limited compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Mackenzie Investments Asia Limited reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Mackenzie Investments Asia Limited located?", "a": "Mackenzie Investments Asia Limited's principal office is in Hong Kong, Hong Kong, according to its Form ADV." }, { "q": "Is Mackenzie Investments Asia Limited registered with the SEC or a state?", "a": "Mackenzie Investments Asia Limited is an SEC-registered investment advisory firm, registered since 2016. Status as filed: Approved. CRD 285521." }, { "q": "How much does Mackenzie Investments Asia Limited manage?", "a": "Mackenzie Investments Asia Limited reports $2,532,913,464 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (100% discretionary)." }, { "q": "How have Mackenzie Investments Asia Limited's assets and staff changed since 2021?", "a": "In the Form ADV data for Mackenzie Investments Asia Limited: Regulatory assets under management: $2,739,785,838 in the October 2021 data and $2,532,913,464 in the October 2026 data, down 8%. Total employees: 13 in October 2021 and 13 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Mackenzie Investments Asia Limited serve?", "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (6)." }, { "q": "Which custodians does Mackenzie Investments Asia Limited use?", "a": "Mackenzie Investments Asia Limited's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Northern Trust and State Street Trust Company Canada as custodians holding 10% or more of its separately managed account assets." }, { "q": "Does Mackenzie Investments Asia Limited report any disciplinary disclosures?", "a": "Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation) and 11.D(4) (another regulator's order in the past ten years). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/285521" }, { "q": "What changed in Mackenzie Investments Asia Limited's recent Form ADV filings?", "a": "In the April 2026 filing data: Regulatory assets under management went from $2,124,202,452 to $2,532,913,464 (+19%)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 2739785838.0, "total_employees": 13, "filing_date": "2021-03-31" }, { "period": "2022-10-01", "regulatory_assets_under_management": 2715967109.0, "total_employees": 12, "filing_date": "2022-03-30" }, { "period": "2023-10-01", "regulatory_assets_under_management": 2231038162.0, "total_employees": 13, "filing_date": "2023-03-31" }, { "period": "2024-10-01", "regulatory_assets_under_management": 2170832405.0, "total_employees": 13, "filing_date": "2024-05-02" }, { "period": "2025-10-01", "regulatory_assets_under_management": 2124202452.0, "total_employees": 13, "filing_date": "2025-03-28" }, { "period": "2026-10-01", "regulatory_assets_under_management": 2532913464.0, "total_employees": 13, "filing_date": "2026-03-30" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Regulatory assets under management went from $2,124,202,452 to $2,532,913,464 (+19%)." ] } ], "fees_from_brochure": null, "custodians": [ { "name": "Northern Trust", "name_as_filed": "NORTHERN TRUST", "affiliated": false }, { "name": "State Street Trust Company Canada", "name_as_filed": "STATE STREET TRUST COMPANY CANADA", "affiliated": false } ], "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.", "markdown_url": "https://advisorcensus.com/firm/mackenzie-investments-asia-limited-hong-kong-285521.md", "clients": [ { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 6, "fewer_than_5": false, "raum": 1848276830.0 }, { "type": "state_municipal", "label": "State or municipal government entities (including government pension plans)", "count": null, "fewer_than_5": true, "raum": 684636634.0 } ], "disclosure_line": "Reports 2 disclosure items on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/285521", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }