James Brody
Compliance Officer bij Sofinnova Investments, Inc.
Profiel
Jim joined Sofinnova in 2016 as a Chief Compliance Officer for Sofinnova and a Chief Operating Officer for Sofinnova BioEquities (Public Equity).
Before Sofinnova, Jim was the Chief Compliance Officer and Managing Director of Operations at Apex Capital, LLC, a US long/short equity fund that managed ~$1.6B at peak.
Prior to this, he was a Relationship Manager at Pershing (a subsidiary of The Bank of New York Mellon), a Director of Operations at Nollenberger Capital Partners, Wells Fargo Securities, and a Manager at Robertson Stephens.
Jim received his M.B.A.
from the University of San Francisco and he graduated with a B.S.
from the University of Oregon.
Actieve functies van James Brody
Bedrijven | Functie | Begin |
---|---|---|
Sofinnova Investments, Inc.
Sofinnova Investments, Inc. Investment ManagersFinance Sofinnova Investment Inc (Sofinnova Investment) is a venture capital firm founded in 1976 by Jacques F. vallle & Joel F. Martin. The firm is headquartered in Menlo Park, California. | Compliance Officer | 01-07-2016 |
Sofinnova BioEquities LP
Sofinnova BioEquities LP Investment Trusts/Mutual FundsMiscellaneous Sofinnova BioEquities LP operates as a hedge fund. The company is headquartered in Menlo Park, CA. | Chief Operating Officer | 01-07-2016 |
Eerdere bekende functies van James Brody
Bedrijven | Functie | Einde |
---|---|---|
Apex Capital LLC
Apex Capital LLC Investment ManagersFinance Founded in 1995, Apex Capital LLC is a hedge fund manager located in Orinda, California. | Compliance Officer | 01-04-2016 |
Pershing LLC
Pershing LLC Investment Banks/BrokersFinance Founded in 1939, Pershing LLC is a broker/dealer headquartered in Jersey City, New Jersey. The firm is a subsidiary of the Bank of New York Mellon Corp. (NYSE: BK). The firm helps financial services firms and advisors succeed by providing the technology, operational, trading, investment and practice management solutions they need to serve investors. Pershing offers securities processing, trading and operations management, investment technology, asset-gathering solutions and practice management support. The firm serves a wide range of financial organizations including: banks, discount brokerages, full-service brokerages, registered investment advisors, independent contractors, institutional firms, global firms and small- to mid-sized firms. Pershing also offers financial products including annuities, mutual funds and money funds, as well as business tools, cash management services, investor and lending services, retirement products and wealth management. In addition, they offer trading and execution services in listed and OTC securities, fixed-income securities and mutual funds. | Corporate Officer/Principal | 01-01-2011 |
Wells Fargo Securities LLC
Wells Fargo Securities LLC Investment Banks/BrokersFinance Wells Fargo Securities LLC (WFS) is the broker/dealer subsidiary of EVEREN Capital Corp., ultimately owned by Wells Fargo & Co. (NYSE: WFC). Headquartered in New York, WFS delivers a comprehensive suite of banking, capital markets and advisory solutions, such as a full complement of sales, trading and research capabilities, to corporate, government and institutional clients. | Private Equity Investor | 01-10-2006 |
Robertson Stephens
Robertson Stephens Investment ManagersFinance Part of Bank of America Corp., Robertson Stephens is an independent SEC-registered investment advisor that provides wealth management solutions for high-net-worth individuals and family offices nationwide. The private company is based in San Francisco, CA, with additional offices in NY, Sun Valley (ID), Holmdel (NJ), Austin (TX), Seattle (WA), CO, and TX. Robertson Stephens' mission is to transform the wealth management experience by delivering institutional-quality investment solutions, comprehensive wealth planning, and intelligent digital solutions all within a fiduciary relationship where the client is their highest priority. The company is committed to transparent advice, strong investment outcomes, sophisticated digital solutions, and high-quality client services. | Corporate Officer/Principal | 01-01-2002 |
Nollenberger Capital Partners, Inc.
Nollenberger Capital Partners, Inc. Investment Banks/BrokersFinance Nollenberger Capital Partners, Inc. offers securities brokerage, asset management, equity research and fixed income trading to institutional and wealthy individual investors. Founded in 2002 by Chief Executive Officer Bruce Nollenberger, Nollenberger Capital Partners, Inc. is headquartered in San Francisco with offices in Newport Beach, California, San Jose, California and New York City. | Director/Board Member | - |
Opleiding van James Brody
University of Oregon | Undergraduate Degree |
University of San Francisco | Masters Business Admin |
Ervaring
Beklede functies
Actief
Inactief
Beursgenoteerde bedrijven
Bedrijven in privébezit
Connecties
Eerstegraads connecties
Bedrijven verbonden in de eerste graad
Man
Vrouw
Besturend
Uitvoerend
Verwante bedrijven
Bedrijven in privébezit | 7 |
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Apex Capital LLC
Apex Capital LLC Investment ManagersFinance Founded in 1995, Apex Capital LLC is a hedge fund manager located in Orinda, California. | Finance |
Nollenberger Capital Partners, Inc.
Nollenberger Capital Partners, Inc. Investment Banks/BrokersFinance Nollenberger Capital Partners, Inc. offers securities brokerage, asset management, equity research and fixed income trading to institutional and wealthy individual investors. Founded in 2002 by Chief Executive Officer Bruce Nollenberger, Nollenberger Capital Partners, Inc. is headquartered in San Francisco with offices in Newport Beach, California, San Jose, California and New York City. | Finance |
Sofinnova Investments, Inc.
Sofinnova Investments, Inc. Investment ManagersFinance Sofinnova Investment Inc (Sofinnova Investment) is a venture capital firm founded in 1976 by Jacques F. vallle & Joel F. Martin. The firm is headquartered in Menlo Park, California. | Finance |
Pershing LLC
Pershing LLC Investment Banks/BrokersFinance Founded in 1939, Pershing LLC is a broker/dealer headquartered in Jersey City, New Jersey. The firm is a subsidiary of the Bank of New York Mellon Corp. (NYSE: BK). The firm helps financial services firms and advisors succeed by providing the technology, operational, trading, investment and practice management solutions they need to serve investors. Pershing offers securities processing, trading and operations management, investment technology, asset-gathering solutions and practice management support. The firm serves a wide range of financial organizations including: banks, discount brokerages, full-service brokerages, registered investment advisors, independent contractors, institutional firms, global firms and small- to mid-sized firms. Pershing also offers financial products including annuities, mutual funds and money funds, as well as business tools, cash management services, investor and lending services, retirement products and wealth management. In addition, they offer trading and execution services in listed and OTC securities, fixed-income securities and mutual funds. | Finance |
Wells Fargo Securities LLC
Wells Fargo Securities LLC Investment Banks/BrokersFinance Wells Fargo Securities LLC (WFS) is the broker/dealer subsidiary of EVEREN Capital Corp., ultimately owned by Wells Fargo & Co. (NYSE: WFC). Headquartered in New York, WFS delivers a comprehensive suite of banking, capital markets and advisory solutions, such as a full complement of sales, trading and research capabilities, to corporate, government and institutional clients. | Finance |
Robertson Stephens
Robertson Stephens Investment ManagersFinance Part of Bank of America Corp., Robertson Stephens is an independent SEC-registered investment advisor that provides wealth management solutions for high-net-worth individuals and family offices nationwide. The private company is based in San Francisco, CA, with additional offices in NY, Sun Valley (ID), Holmdel (NJ), Austin (TX), Seattle (WA), CO, and TX. Robertson Stephens' mission is to transform the wealth management experience by delivering institutional-quality investment solutions, comprehensive wealth planning, and intelligent digital solutions all within a fiduciary relationship where the client is their highest priority. The company is committed to transparent advice, strong investment outcomes, sophisticated digital solutions, and high-quality client services. | Finance |
Sofinnova BioEquities LP
Sofinnova BioEquities LP Investment Trusts/Mutual FundsMiscellaneous Sofinnova BioEquities LP operates as a hedge fund. The company is headquartered in Menlo Park, CA. | Miscellaneous |