Soundvest Capital Management Ltd. (Ottawa, Ontario)

Name: Soundvest Capital Management Ltd.
Address: 100 Sparks Street, Ottawa, Ontario, Kip5 B7
Telephone: 613-236-7361

Soundvest Capital Management Ltd. is a large advisory firm based in Ottawa, Ontario. It manages $262.41 million of regulatory assets for 70 client accounts. It has been registered with the SEC as an adviser since 2003.

Soundvest Capital Management provides portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm also engages as soundvest pooled fund.

Soundvest Capital Management: assets under management

The assets under management (AUM) of Soundvest Capital Management Ltd. is $262.41 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -10% since the beginning of its operation, and $260.5 million of the total AUM is attributable to clients outside of the United States.

The firm manages $262.41 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $3.75 million each.

Investments

The firm invests in investment grade corporate bonds the most. They account for 42% of the total AUM. The second-largest asset type is exchange traded securities, which make up 40% of the firm’s portfolio. Investments in cash and cash equivalents form 18% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Soundvest Capital Management Ltd. for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Audrey June Charlebois serves?

The firm provides services to insurance companies, investment companies, charitable organizations, high net worth individuals, and pooled investment vehicles. The largest group of clients of Audrey June Charlebois is insurance companies with 1 clients and $131.98 million of assets under management. Among the 10 most similar advisory firms, Soundvest Capital Management has the highest percentage of insurance companies out of all clients.

The amount of regulatory assets under management is $262.41 million for 70 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 98% of the firm’s clients are foreign persons or businesses.

Soundvest Capital Management also advises several private funds.

Careers at Soundvest Capital Management Ltd.

The company employs 8 people that are either part- or full-time employees. 38 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone 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.

Audrey June Charlebois has been acting as President since 1 Apr 2006. Soundvest Capital Holdings Ltd. joined the executive team most recently as the Owner.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Kevin Wilfred Charlebois	President	1 Mar 2003	Other	4378298
Ernest Meszaros	Vice president	1 Mar 2003	Other	4378321
Kevin Charlebois Investments	Owner	1 Mar 2003	25% - 50%	n/a
Charlebois Family Trust	Owner	1 Mar 2003	Other	n/a
2005662 Ontario Inc.	Owner	1 Mar 2003	50% - 75%	n/a
Bruce Keith Robertson	Director	1 Mar 2003	Other	4653714
Bryan Kenneth Davis	Director	1 Mar 2003	Other	4653723
John Budden	Director	1 Mar 2003	Other	2604114
Kevin Cash	Director	1 Jul 2005	Other	5113706
Brookfield Asset Management Inc.	Owner	1 Dec 2005	50% - 75%	n/a
Audrey June Charlebois	Director	1 Apr 2006	Other	4653545
Kevin Wilfred Charlebois	President & director & chief compliance officer	1 Jan 2009	Other	4378298
Gabrielle Elisabeth Lenz	Controller	1 Sep 2011	Other	6048993
Brian Hurley	Director	1 Mar 2015	Other	6631647
Soundvest Capital Holdings Ltd.	Owner	1 Jan 2017	50% - 75%	none

Indirect Owners

The SEC currently registers 3 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Audrey June Charlebois	Owner	1 Mar 2003	25% - 50%	4653545
Brascan Financial Corporation	Owner	1 Mar 2003	75% - 100%	n/a
Charlebois Family (2016) Trust	Owner	1 Dec 2016	75% - 100%	n/a

Based in Ottawa, Ontario

The principal office where Soundvest Capital Management Ltd. performs its advisory services is located at 100 Sparks Street, Ottawa, Ontario, Kip5 B7, 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 613-236-7361 or by fax 613-236-6130. The normal business hours are 9:00 am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at soundvestcapital.com.