Management

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James P. Dowd

Founder and Managing Director

James Dowd is Founder and Managing Director of North Capital Private Securities (NCPS), a registered broker-dealer focused on the marketing and distribution of private funds and the securities of private companies, North Capital Investment Technology (NCIT), which provides technology for the financial services industry, and North Capital Inc., a registered investment advisor. NCPS is the designated broker-dealer for many securities funding platforms in the seed equity, real estate and private fund markets.

Prior to forming North Capital, Mr. Dowd, who has 30 years of experience in the global financial markets, was a Senior Managing Director and Head of the Hedge Fund Advisory and Fund of Funds Team at Bear Stearns Asset Management. At Bear, he led the portfolio management team in advising clients and allocating capital to non-affiliate hedge funds. Before Bear, Mr. Dowd was Founder and Managing Partner at North Capital, LLC, a Registered Investment Advisor, Commodities Trading Advisor and Commodities Pool Operator. Mr. Dowd launched North Capital, LLC following three years with Tokai Asia Limited (Hong Kong), a proprietary trading subsidiary of Tokai Bank Group, where he was responsible for arbitrage strategies, focusing on convertible bond and options arbitrage. He also spent nine years with Bankers Trust in New York, London and Tokyo where he was promoted to Managing Director and Head of Derivatives Trading for Asia, Branch Manager of BT Asia Securities Ltd. Tokyo, and a Partner of Bankers Trust. Mr. Dowd began his career with Samuel Montagu Capital Markets Inc., a boutique investment bank.

Mr. Dowd is a graduate of Georgetown University, where he earned a bachelor’s of science in ForeignService (BSFS), majoring in international economics, finance and commerce. He holds the CharteredFinancial Analyst designation and is a Certified Public Accountant.He serves on the boards of directors of several privately held companies and is a founding trustee of the Young Women’s Choral Projects of San Francisco.

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Craig Goos

Managing Director and Principal

Craig K. Goos is a Managing Director and Principal of North Capital Private Securities (NCPS), a registered broker-dealer focused on the marketing and distribution of private funds and the securities of private companies, North Capital Investment Technology (NCIT), which provides technology for the financial services industry, and North Capital Inc., a registered investment advisor. NCPS is the designated broker-dealer for many securities funding platforms in the seed equity, real estate and private fund markets.

Mr. Goos has nearly 20 years of experience in the financial markets. Prior to joining North Capital in 2011, he was a Managing Director and Head of the Alternative Investments Group at UBS Wealth Management. At UBS he managed a team responsible for manufacturing and distributing alternative investment strategies for wealth management clients. This included a wide range of investment products including hedge funds, managed futures and private equity. Before UBS, Mr. Goos was a Managing Director and Product Manager at Bear Stearns and Bear Stearns Asset Management. At Bear, he held a senior role in the marketing and product management of alternative investment products. Mr. Goos joined Bear following six years with Oppenheimer & Co., wherehe was a product specialist in the Alternative Investment Group and was a member of Due Diligence and Risk Committees for Alternative Investments. At Oppenheimer, he helped create one of the first ’40 Act, multi-manager, funds of hedge funds. He began his financial services career as a financial advisor with Dean Witter & Co (Morgan Stanley Dean Witter) in the Private Client Services Group.

Mr. Goos is a graduate of the University of Northern Iowa, where he earned a bachelor of arts in General Studies. He currently serves on the Board of Managers of the Fairfield YMCA, and on the Finance Committee of the Cardinal Shehan Center, a non-profit organization focused on enriching lives through learning.

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Stephanie Holt

Chief Financial Officer

Stephanie Holt is the Chief Financial Officer of North Capital Private Securities (NCPS), a registered broker-dealer focused on the marketing and distribution of private funds and the securities of private companies, North Capital Investment Technology (NCIT), which provides technology for the financial services industry, and North Capital Inc., a registered investment advisor. NCPS is the designated broker-dealer for many securities funding platforms in the seed equity, real estate and private fund markets.

As CFO, Mrs. Holt is responsible for the financial management of the company. She has held senior finance positions in public and private technology companies for over 20 years. Prior to North Capital, Mrs. Holt worked in senior finance roles at two technology start-ups as well as spending five years at Advanced Micro Devices (AMD), spending two years as Controller in Singapore in charge of finance for AMD’s back-end manufacturing division. She also worked at Ledgent (formerly Abacus Staffing for Accounting) as a Senior Finance Recruiter.

Mrs. Holt is a graduate of University of California, Riverside, where she earned a bachelor’s of arts in Business Economics. She earned her MBA from the University of Redlands, CA.

Team

Jim Dowd

James Dowd

Founder & Managing Director

Craig Goos

Craig Goos

Managing Director

Stephanie Holt

Stephanie Holt

Chief Financial Officer

Grant Nelson

Grant Nelson

Origination & Due Diligence

Linsey Harkness

Linsey Harkness

Compliance Officer

Sara Borazan

Sara Borazan

Investor Relations

Mike Weaver

Mike Weaver

Investor Relations

Minh Le

Origination & Due Diligence

Jessi Mills

Associate - Graphic Designer