Our total assets under management (AUM) is approximately $260 million for approximately 220 client relationships.

 

The three main types of portfolio management our team employs include, but are not limited to:

• Quality Canadian Growth Strategy; $100 million in AUM
• Canadian Diversified Income Strategy; $55 million in AUM
• Customized portfolio solutions for clients who the above portfolios are not suitable. Those assets total $105 million
• Some clients employ all of the above listed options

 

Any Ontario Securities Commission, IIROC, or other Ontario regulatory material violations/audit findings?

• None

 

Summary of the greater investment team that supports your group?

• We have a Branch Manager (Alisha Watts) and a Branch Administrator (Alisha Britton) on site at our offices. They are responsible for each of team support, compliance and administration at the branch level.
• From a risk management perspective, we have a regional compliance officer. There is also an oversight committee for discretionary accounts, which ensure that all accounts are constantly invested according to the guidelines set out in each Investment Policy Statement.
• We have an institutional desk for any large equity, fixed income and structured product transactions at our firm

 

What resources are available to you when deciding on investments?

• CIBC has analysts covering every sector in the Canadian investment landscape, providing research on most of the companies on the TSX.
• I receive daily research from most of the other major financial institutions in Canada.
• Our team specifically uses Morningstar CPMS as a stock screener. At a cost of approximately $1,000/mth, this service compiles independent financial data for nearly every company that one would consider investment in within Canada.