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 Foreign Service (BSFS), majoring in international economics, finance and commerce. He holds the Chartered Financial 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.
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., where he 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 BA 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.
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, Ms. 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, Ms. 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.
Ms. Holt is a graduate of University of California, Riverside, where she earned a BA in Business Economics. She earned her MBA from the University of Redlands, CA.
Director of Compliance
Linsey Harkness is the Compliance Officer for North Capital Private Securities. Prior to joining North Capital in 2014, Ms. Harkness worked in real estate. She also spent seven years at Contango Capital Advisors and Western National Trust Company, both part of the wealth management arm of Zions Bancorporation.
Ms. Harkness is a graduate of Westminster College of Salt Lake City, where she earned a BS in Accounting.
Richard "Grant" Nelson
Director of Origination
Richard “Grant” Nelson is an analyst at North Capital Private Securities. Prior to joining North Capital in 2015, Mr. Nelson served in the United States Air Force as an avionics technician, earning the rank of Senior Airman. His experience also includes an internship as an analyst for the Utah Shakespeare Festival, during which time he specialized in statistics.
Mr. Nelson is a graduate of the University of Utah, where he received a BS in Economics and an MS in Finance.
Director of Platforms
Sara Borazan is the Director-Principal of Platforms, responsible for sales, on-boarding, and management of platform relationships for North Capital Private Securities Corp. She is an honors graduate of the University of Utah with a Bachelor's of Arts in Economics. Prior to joining North Capital, Ms. Borazan was a marketing manager with Regus. Ms. Borazan holds the Series 7, 63, and 24 registrations and is a supervisory registered principal with North Capital.
Michael T. Weaver, Jr.
Director of Private Funds
Michael Weaver is a Director at North Capital Private Securities (NCPS). Mr. Weaver started his career in financial services as an Analyst in the Fixed-Income Sales & Trading (S&T) Program at Banc of America Securities. As an Analyst, Mr. Weaver worked in the Structured Securities Group, where he structured CDO’s and CLO’s and in the Central Funding Group, where he was an interest rate trader. Mr. Weaver was promoted to Associate in the Central Funding Group with specific responsibility for trading Agency Specials, Strips, TIPS, Off-the-run Treasuries and the on the run 30 year UST bond in repo. Mr. Weaver also has experience as a Summer Analyst in Investment Banking at Goldman Sachs, a Summer Associate in S&T at Deutsche Bank and an Intern at MKP Capital Management.
Mr. Weaver graduated Magna Cum Laude from Morehouse College, where he earned a BA in Business Administration with a concentration in Finance. While at Morehouse, he was inducted into Phi Beta Kappa and Beta Gamma Sigma. Mr. Weaver also holds an MBA from Cornell University, where he was a Roy H. Park Leadership Fellow. He is currently a Level III Candidate in the CFA program.
Associate - Origination and Due Diligence
Minh Le is an Associate at North Capital Private Securities. He is responsible for due diligence and origination of private deals at North Capital. Prior to joining North Capital in 2016, Mr. Le did an internship at the University Growth Fund, a student-run venture capital fund in Salt Lake City, Utah, where he analyzed startup companies and pitched investments to partners and the investment committee. He also interned at an insurance company in Salt Lake City.
Mr. Le graduated Magna Cum Laude from the University of Utah, where he earned a BS in Finance. He currently holds Series 7 and 63 registrations.
Gaby Giacchino is the Office Manager at the San Francisco branch of North Capital, Inc. After joining North Capital in 2012, Ms. Giacchino has provided customer support and managed client documents and reports for the North Capital advisory business. Prior to joining North Capital, she worked in real estate, software marketing, and public relations.
Ms. Giacchino is a graduate of University of California, Berkeley, where she earned a BA in English.
CFP®, AIF®, MA
Frances Harkins joined North Capital, Inc. in 2013 as the Managing Director for the Benicia branch. Ms. Harkins is a Certified Financial Planner® who has helped Bay Area families, individuals, and business owners understand and solve their financial concerns since 2000. Ms. Harkins establishes long-term planning relationships with clients whose professions span many fields. She has a special interest in helping women gain greater confidence in minding money matters so that they can effectively manage their financial resources.
She started her career in banking during a masters level internship at Banca Serfin in Mexico City. Ms. Harkins learned lending and bank operations through Bank of America’s officer training program. She spent the majority of her tenure at the Bank’s Customized Financial Services Group assisting high net worth clients with their banking needs. After working at Bank of America, Ms. Harkins worked for the US Treasury’s Office of Thrift Supervision (OTS), the federal regulator of savings and loan institutions. In addition to examining a broad range of thrifts’ management, financial practices, and regulatory compliance, Ms. Harkins helped develop the OTS’ Criminal Referral Unit (CRU). The CRU served as the OTS liaison between US Attorney’s Offices, the FBI and the Secret Service to provide knowledge supporting the prosecution of bank fraud and provide training on financial crimes.
Ms. Harkins holds a MA in Economics and a BA in Business Economics from the University of California, Santa Barbara.
Director of Advisory Services
As a Director at North Capital, Daren's primary responsibilities have included developing the firm's international partnerships, and assisting with the launch of North Capital's own robo-advising platform, Evisor. Mr. Dearden is also responsible for new-client outreach, as well as maintaining current client relationships, including their portfolio management and planning needs.
Prior to joining North Capital in 2014, Mr. Dearden taught in Canyon's School District and at the University of Utah. Mr. Dearden earned his BA in Spanish Education with a minor in Business Management, and subsequently his Master of Science in Finance, both from the University of Utah. He holds a Series 65 License.
Office Administrator, Registered Paraplanner
Danyell Bjornstad joined North Capital, Inc. in 2013 as a paraplanner and office administrator for our Benicia Branch. She has worked in the financial services industry over the past 12 years. Her role at North Capital is to provide customer service as well as back office support for the firm. She assists with day-to-day client transactions, prepares portfolio reports, and maintains brokerage account applications and forms. Prior to joining North Capital, Danyell worked as an administrative assistant for a Registered Investment Advisory Firm in Marin County. It is there that she earned her designation as a Registered Paraplanner from The College for Financial Planning. After taking a short hiatus to raise her three young children, she returned to the field in 2008.
Ms. Bjornstad earned her general education from the College of Marin and transferred to San Francisco State University where she majored in Dietetics, Consumer and Family Studies.