DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

BROOKFIELD SOUNDVEST CAPITAL MANAGEMENT LTD.

SOUNDVEST CAPITAL MANAGEMENT LTD., CRD 126536

OTTAWA, ONTARIO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:8a35fdc4-1520-f641-2e4b-0c0b2f66f6ca

Data as of Mar 28, 2018 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Mar 28, 2018
7 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $262MItem 5.F on the latest filing (2018-03-28); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $262M
Private client RAUM: $81.2MderivedItem 5.D individuals plus high net worth individuals
Private client share: 31%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 70
Individual clients: 0
High net worth clients: 60
SEC number: 801-61995
CRD: 126536
Filings on the tape: 7
First filed: Mar 30, 2012
Latest filed: Mar 28, 2018
Organised: Corporation

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BROOKFIELD ASSET MANAGEMENT INC.	Owner	D	yes	12/2005	Mar 30, 2012	Mar 28, 2018
CHARLEBOIS FAMILY (2016) TRUST	Owner	E	yes	12/2016	Mar 27, 2017	Mar 28, 2018
CHARLEBOIS, AUDREY, JUNE	Director	Na	yes	04/2006	Mar 30, 2012	Mar 28, 2018
CHARLEBOIS, KEVIN, WILFRED	PRESIDENT & DIRECTOR & CHIEF COMPLIANCE OFFICER	Na	yes	01/2009	Mar 30, 2012	Mar 28, 2018
Hurley, Brian	Director	Na	yes	03/2015	Mar 29, 2016	Mar 28, 2018
SOUNDVEST CAPITAL HOLDINGS LTD.	Owner	D	yes	01/2017	Mar 27, 2017	Mar 28, 2018
LENZ, GABRIELLE, ELISABETH	Controller	Na	no	09/2011	Mar 30, 2012	Mar 28, 2018

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
BROOKFIELD ASSET MANAGEMENT PIC CANADA, LP	n/a	Asset manager	$152B	N	yes	n/a
BROOKFIELD ASSET MANAGEMENT PIC US, LLC	n/a	Asset manager	$105B	N	yes	n/a
BROOKFIELD FINANCIAL CORP.	n/a	n/a	n/a	N	yes	n/a
BROOKFIELD INVESTMENT MANAGEMENT (CANADA) INC.	n/a	n/a	n/a	Y	yes	n/a
BROOKFIELD INVESTMENT MANAGEMENT (UK) LIMITED	n/a	n/a	n/a	N	yes	n/a
BROOKFIELD PRIVATE ADVISORS LLC	n/a	n/a	n/a	N	yes	n/a
CRYSTAL RIVER CAPITAL ADVISERS LLC	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017	Mar 28, 2018	$262M	$262M	8	3	0	n/a	n/a
2016	Mar 27, 2017	$224M	$224M	8	3	n/a	n/a	n/a
2015	Mar 29, 2016	$191M	$191M	9	3	n/a	n/a	n/a
2014	Mar 26, 2015	$265M	$265M	9	3	n/a	n/a	n/a
2013	Mar 25, 2014	$292M	$292M	9	3	n/a	n/a	n/a
2012	Mar 19, 2013	$283M	$283M	9	3	n/a	n/a	n/a
2011	Mar 30, 2012	$277M	$277M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$262M	$224M	17.3%	$265M	-0.3%	8	8	0	n/a

Relationships

Affiliated with (2)

→ BROOKFIELD ASSET MANAGEMENT PIC US, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ BROOKFIELD ASSET MANAGEMENT PIC CANADA, LPRegistered adviserother investment adviser, common control
factForm ADV

Controls (6)

← CHARLEBOIS, KEVIN, WILFREDOwnerPRESIDENT & DIRECTOR & CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← CHARLEBOIS, AUDREY, JUNEOwnerDIRECTOR, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← Hurley, BrianOwnerDIRECTOR, ownership code NA, individual
Mar 29, 2016 to presentfactForm ADV
← BROOKFIELD ASSET MANAGEMENT INC.OwnerOWNER, ownership code D, foreign entity
Mar 30, 2012 to presentfactForm ADV
← CHARLEBOIS FAMILY (2016) TRUSTOwnerOWNER, ownership code E, foreign entity
Mar 27, 2017 to presentfactForm ADV
← SOUNDVEST CAPITAL HOLDINGS LTD.OwnerOWNER, ownership code D, foreign entity
Mar 27, 2017 to presentfactForm ADV

Owns (1)

← LENZ, GABRIELLE, ELISABETHOwnerCONTROLLER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8a35fdc4-1520-f641-2e4b-0c0b2f66f6ca
First observed: Mar 30, 2012
Last observed: Mar 28, 2018 103 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

BROOKFIELD SOUNDVEST CAPITAL MANAGEMENT LTD.

SOUNDVEST CAPITAL MANAGEMENT LTD., CRD 126536

OTTAWA, ONTARIO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:8a35fdc4-1520-f641-2e4b-0c0b2f66f6ca

Data as of Mar 28, 2018 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:27 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BROOKFIELD ASSET MANAGEMENT INC.

Owner

yes

12/2005

Mar 30, 2012

Mar 28, 2018

CHARLEBOIS FAMILY (2016) TRUST

Owner

yes

12/2016

Mar 27, 2017

Mar 28, 2018

CHARLEBOIS, AUDREY, JUNE

Director

yes

04/2006

Mar 30, 2012

Mar 28, 2018

CHARLEBOIS, KEVIN, WILFRED

PRESIDENT & DIRECTOR & CHIEF COMPLIANCE OFFICER

yes

01/2009

Mar 30, 2012

Mar 28, 2018

Hurley, Brian

Director

yes

03/2015

Mar 29, 2016

Mar 28, 2018

SOUNDVEST CAPITAL HOLDINGS LTD.

Owner

yes

01/2017

Mar 27, 2017

Mar 28, 2018

LENZ, GABRIELLE, ELISABETH

Controller

09/2011

Mar 30, 2012

Mar 28, 2018

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

BROOKFIELD ASSET MANAGEMENT PIC CANADA, LP

n/a

Asset manager

$152B

yes

n/a

BROOKFIELD ASSET MANAGEMENT PIC US, LLC

n/a

Asset manager

$105B

yes

n/a

BROOKFIELD FINANCIAL CORP.

n/a

yes

n/a

BROOKFIELD INVESTMENT MANAGEMENT (CANADA) INC.

n/a

yes

n/a

BROOKFIELD INVESTMENT MANAGEMENT (UK) LIMITED

n/a

yes

n/a

BROOKFIELD PRIVATE ADVISORS LLC

n/a

yes

n/a

CRYSTAL RIVER CAPITAL ADVISERS LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Mar 28, 2018

$262M

n/a

2016

Mar 27, 2017

$224M

n/a

2015

Mar 29, 2016

$191M

n/a

2014

Mar 26, 2015

$265M

n/a

2013

Mar 25, 2014

$292M

n/a

2012

Mar 19, 2013

$283M

n/a

2011

Mar 30, 2012

$277M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$262M

$224M

17.3%

$265M

-0.3%

n/a