James Brody

Compliance Officer at

Sofinnova Investments, Inc.

Finance

Consumer Services

Miscellaneous

Profile

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.

James Brody active positions

Companies	Position	Start
Sofinnova Investments, Inc. Sofinnova Investments, Inc. Investment ManagersFinance Sofinnova Investment invests in companies located in the United States and Europe. The firm targets companies operating in the fields of health technology services and life science. It participates in early and later stage capital requirements.	Compliance Officer	01/07/2016
Sofinnova BioEquities LP Sofinnova BioEquities LP Investment Trusts/Mutual FundsMiscellaneous Functions as a hedge fund	Chief Operating Officer	01/07/2016

All active positions of James Brody

Former positions of James Brody

Companies	Position	End
Apex Capital LLC Apex Capital LLC Investment ManagersFinance Apex Capital invests principally in equity and equity-related securities, mostly domestic, but is may enter into any type of investment transaction they deem appropriate under the terms of the client's partnership or other account agreement. The firm offers two main investment strategies: long-biased hedged for investors seeking an opportunistic long/short exposure and non-directional hedged for investors seeking reduced net exposure. Apex Capital employs a bottom-up, research-driven fundamental investment approach with a GARP bias.	Compliance Officer	01/04/2016
Pershing LLC Pershing LLC Investment Banks/BrokersFinance Provides brokerage services	Corporate Officer/Principal	01/01/2011
Wells Fargo Securities LLC Wells Fargo Securities LLC Investment Banks/BrokersFinance Provides brokerage services	Private Equity Investor	01/10/2006
Robertson Stephens Robertson Stephens Investment ManagersFinance Provides investment advisory services	Corporate Officer/Principal	01/01/2002
Nollenberger Capital Partners, Inc. Nollenberger Capital Partners, Inc. Investment Banks/BrokersFinance Provides brokerage services	Director/Board Member	-

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Training of James Brody

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Linked companies

Private companies	9
Apex Capital LLC Apex Capital LLC Investment ManagersFinance Apex Capital invests principally in equity and equity-related securities, mostly domestic, but is may enter into any type of investment transaction they deem appropriate under the terms of the client's partnership or other account agreement. The firm offers two main investment strategies: long-biased hedged for investors seeking an opportunistic long/short exposure and non-directional hedged for investors seeking reduced net exposure. Apex Capital employs a bottom-up, research-driven fundamental investment approach with a GARP bias.	Finance
Nollenberger Capital Partners, Inc. Nollenberger Capital Partners, Inc. Investment Banks/BrokersFinance Provides brokerage services	Finance
Sofinnova Investments, Inc. Sofinnova Investments, Inc. Investment ManagersFinance Sofinnova Investment invests in companies located in the United States and Europe. The firm targets companies operating in the fields of health technology services and life science. It participates in early and later stage capital requirements.	Finance
Pershing LLC Pershing LLC Investment Banks/BrokersFinance Provides brokerage services	Finance
University of Oregon University of Oregon Other Consumer ServicesConsumer Services Functions as a College/University	Consumer Services
University of San Francisco University of San Francisco Other Consumer ServicesConsumer Services Functions as a College/University	Consumer Services
Wells Fargo Securities LLC Wells Fargo Securities LLC Investment Banks/BrokersFinance Provides brokerage services	Finance
Robertson Stephens Robertson Stephens Investment ManagersFinance Provides investment advisory services	Finance
Sofinnova BioEquities LP Sofinnova BioEquities LP Investment Trusts/Mutual FundsMiscellaneous Functions as a hedge fund	Miscellaneous