Amster, David — Chief Compliance Officer
Mr. Avnet joined NMS Capital Advisors as Chief Executive Officer in 2017. Prior to joining NMS, Mr. Avnet founded Compliance Risk Concepts, a leading compliance consulting firm for broker dealers, registered investment advisors and hedge funds where he remains the Managing Partner.
Throughout Mr. Avnet’s 25-year career in the financial services industry, he has worked for top-tier investment banks, commercial banks and hedge funds developing extensive knowledge of investment banking, fundamental research, sales and trading – with a focus on equity and fixed income markets, derivative instruments, structured products, alternative and variable products..
Prior experience includes senior management positions as a member of the Corporate Leadership Group and Senior Vice President and Chief Ethics and Compliance Officer at Lincoln Financial Group, a Fortune 200 Company. During Mr. Avnet’s tenure, Lincoln Financial Group had over $160 Billion in assets under management, $10.6 Billion in revenue and approximately 9,000 and 8,000 independent agents. In addition, he served as Chief Compliance Officer – Broker Dealer, Fiduciary and Registered Investment Advisor Compliance of PNC Financial Services Group, one of the nation’s top five banks ranked by deposits and branches. During Mr. Avnet’s tenure, PNC had $286 Billion in assets under management, 60,000 employees and 2,600 branches. Prior positions include President of Lucia Securities (a west coast regional investment banking firm and broker dealer), Managing Director at Wachovia Capital Markets and Vice President at D.E. Shaw & Co.
Mr. Avnet maintains the Series 3, 4, 7, 9, 10, 14, 24, 55, 63 and 65 securities license designations. He obtained his bachelor’s degree in economics, graduating magna cum laude from the State University of New York at Oneonta.
Barker-Homek, Peter — Managing Director
Battle, Pam — Representative
Biernat, Nicole — Repesentative
Mr. Byrd joined NMS as Managing Director in 2018 bringing more than 25 years of experience in capital raising, particularly for companies with ownership or control changes, in ESOP funding, and in community banks. He has orchestrated and assisted in capital raises totaling over $900 million. A financial services industry veteran, Mr. Byrd initiated and developed retail securities sales departments for the former Merchants National Bank in Indianapolis, Indiana; for Ameritrust (Keybank) in Cleveland, Ohio; and for Provident Securities/Bank in Cincinnati, Ohio. He managed $120 million during his tenure in Cincinnati. As CEO at Redwood Corporate Finance Group, Mr. Byrd executed mergers and acquisitions, non-traditional loans, private placements, and equity deals totaling $21 million. He began his career with Chicago-based municipal bond firm Clayton Brown and Associates, where he managed community bank security portfolios and was instrumental in the firm’s bond swap program. Mr. Byrd went on to develop and lead the Debt & Equity Departments at Glaser Capital Corporation, where he managed Mergers and Acquisitions, non-traditional loans, private placements, and equity deals totaling $361 million.
Mr. Byrd has taught Graduate Municipal Finance Courses for the School of Levin in Cleveland State, and he initiated the Graduate Finance Program for Sports at Xavier University in Cincinnati, Ohio. He has served on Indiana’s Congressional Council of Education and on the Board of Directors of the Muscular Dystrophy Family Foundation (MDFF). A postgraduate of Indiana University, Mr. Byrd has a Master of Public Affairs with a concentration in Budgeting & Municipal Finance. He obtained his B.A. from Purdue University with a concentration in Science and Agriculture. He holds Series 79, 7, 63, 65, and 6 registrations with FINRA.
Ms. Castle joined NMS Capital Advisors, LLC in 2018 as Director of Wealth Management where her practice focuses on providing ethical and approachable financial planning and investment management services to individuals and business owners. In addition, Ms. Castle is the founder of Castle Wealth Advisors, LLC, a registered investment advisor. Ms. Castle has more than ten years of experience in the financial services industry previously working with Fidelity Brokerage Services, LLC, Stifel, Nicolaus & Co., Morgan Keegan and Sterne, Agee and Leach.
She holds the following financial designations, CFP® (Certified Financial Planner), ChFC® (Chartered Financial Consultant) and AIF® (Accredited Investment Fiduciary). She is a graduate of the University of Alabama, with a B.S. in Finance and Manderson School of Business, MBA. She holds the following licenses; Series 7, 9, 10 and 66 and Life, Health and Variable Insurance.
Chandran, Vijay — Managing Director
DesMarais, Sean — Vice President
Dooley, CPA, Brad — CFO / FinOP
Ms. Geller is Managing Director of NMS Capital Advisors, which together with NMS Capital Asset Management is an organization that provides Global Capital Advisory™ services providing investment banking, mergers and acquisitions, strategic advisory and consulting, private equity and asset management advisory services to public and private clients throughout the world. In addition, Ms. Geller is a licensed attorney admitted to both the California and New York bar, where she is Special Counsel at Duane Morris, a global law firm.
Prior to joining NMS, Ms. Geller was Deputy General Counsel and Investment Banker at MLV & Co., a leading investment bank. Prior to that, she was an Associate with DLA Piper.
Ms. Geller received both her Bachelor’s and Juris Doctorate degrees from Temple University.
Gill, John — Managing Director, Wealth Management / Insurance
Mr. Heely serves as Managing Director leading the firm’s Bay Area (San Francisco and Silicon Valley) practice. Mr. Heely, a thirty-five year financial services industry veteran has established himself as a leading advisor to clients providing access to his expertise in arranging private financings for top-tier venture capital backed companies, working closing with institutional investors including public and private pension funds, hedge funds, endowments, foundations. He has completed and led several financings in the technology, clean energy and telecommunications spaces.
Prior to joining NMS, Mr. Heely was Senior Managing Director at Advanced Equities, Inc. Prior to that, CEO at Baystar Investment Management, a hedge fund of funds. Prior to that, Mr. Heely was COO at Eastbourne Capital, an equity long/short fund manager managing over $1 billion in assets under management. Prior to that, Mr. Heely was Head of Alternative Investments and Sales at Robertson Stephens where he was responsible for all institutional sales and marketing efforts of alternative investment products, a role he maintained following Robertson Stephens acquisition by Bank of America. Additionally, Mr. Heely has held additional roles at leading firms such as Merrill Lynch and Oppenheimer.
Separate from investment banking, Mr. Heely has significant business experience in roles as President and CEO of Financial Interactive (FI), a CRM solutions technology company providing solutions in the alternative investment space. FI was ultimately acquired by The Carlyle Group.
Mr. Heely served from 1977 to 1983 as a US Naval Officer reaching the rank of Flag Lieutenant and Aide to Commander Naval Base San Diego and San Francisco and as an Operations Officer, Navigator and Communications Officer aboard the USS St. Louis (LKA 116).
He obtained his B.S. in Management and Technology from the United States Naval Academy. He holds Series 7, 24, 63, 65, and 66 registrations with FINRA.
Ms. Lavender-Mayes is Executive Vice President and Operations for NMS Capital Advisors and NMS Capital Asset Management which together is an organization that provides Global Capital Advisory™ services providing investment banking, mergers and acquisitions, strategic advisory and consulting, private equity and asset management advisory services to public and private clients throughout the world.
Ms. Lavender-Mayes joined NMS in 2014 as a Compliance Consultant and in March 2015 as the firm’s Chief Compliance Officer. She currently is responsible for the firm’s compliance and back-office operations oversight. Ms. Lavender-Mayes has served in both compliance and operational capacities for both independent and leading firms, including Harbor Financial Services, Morgan Stanley and Merrill Lynch. Ms. Lavender-Mayes served in the United States Army as a Non-Commissioned Officer from 1989-1997 at various duty stations both in Europe and the United States.
Mrs. Lavender-Mayes is an experienced executive and registered principal with over 18 years in the financial services industry, ranging from compliance, supervision, sales and operations with a focus on the implementation of industry regulations and compliance guidelines to establish effective controls and risk management. Her experience in the industry has provided her with excellent knowledge of relevant rules, regulations, procedures, and possessing overall business approach to problem solving. She has an in depth knowledge of asset management compliance, marketing reviews, compliance testing and training. With her 18 plus years in the industry, she has become a compliance expert and handled many regulatory examinations with the SEC and FINRA. In 2016 she was selected by FINRA to serve in their Arbitrator Program. She currently holds a Series 4, 7, 24, 28, 53, 66, 82, and 99. She is also insurance licensed in Property & Casualty lines as well as Life & Health and Variable Annuity.
Li-Oshrin, Ying — Representative, EB-5 Group
Mansourian, MBA, Arthur — Vice President
Meislik, Adam — Managing Director
Deepika joined NMS Capital Asset Management’s Consulting Group Division as a Business Analyst in 2016 focusing on providing the firm’s consulting clients IT and program management services. Prior to joining NMS, was a Developer with SEI Investments and ACI Worldwide. She holds a Bachelor’s Degree of Engineering Telecommunication from Visvesvaraya Technical University in Karnataka, India.
Onder, Kemal — Director, Private Client Group
Ms. Rao joined NMS Capital Asset Management’s Consulting Group Division as a Business and Quality Assurance Analyst in 2016 focusing on providing the firm’s consulting clients across multiple enterprise platform projects. Prior to joining NMS, Ms. Rao was a Business Analyst with IBM. Ms. Rao holds a Bachelor’s Degree in Environmental Engineering from Visvesvaraya Technical University in India.
Roffi, Umberto — Controller
Mr. Saliba is Founder and Chairman of NMS Capital Advisors and NMS Capital Asset Management which together is an organization that provides Global Capital Advisory™ services providing investment banking, mergers and acquisitions, strategic advisory and consulting, private equity and asset management advisory services to public and private clients throughout the world. In addition, he is Group Chairman of NMS Capital Group, a global focused merchant banking and private equity investment firm.
Prior to NMS Capital, Mr. Saliba was Managing Director-Asia Pacific (Hong Kong, India, Singapore) for Platinum Capital, Ltd., a London based hedge fund manager with over $800 million is assets under management based from the firm’s Los Angeles and Hong Kong offices. Prior to that, Mr. Saliba served as a principal advisor to a Los Angeles based family office advising on both public and private investments, private equity, real estate and venture capital. Mr. Saliba began his financial services industry career with Morgan Stanley in 1995.
Mr. Saliba holds the following FINRA securities licenses; Series 7, Series 24 (Securities Principal), Series 63, Series 65 (Investment Advisor), Series 79 (Investment Banking) and Series 99. He is the former past President of the Los Angeles/Orange County Chapter for the Global Association of Risk Professionals. Current professional memberships include the Association for Corporate Growth – Los Angeles Chapter, Invest in the USA (IIUSA), National Investment Banking Association (NIBA) and YPO (Global One Chapter).
Mr. Stoltz joined NMS in 2017 as a Registered Representative to support the firm’s investment banking and infrastructure group. Based in Little Rock, Arkansas, Mr. Stoltz is also an Associate with Witt Global Partners, a bipartisan lobbying, strategic business consulting and disaster advisory services firm.
Mr. Tandon, who is based in Los Angeles, is the Managing Director, India and Middle Eastern Markets and the EB5 Private Client Group with of NMS Capital Advisors, which together with NMS Capital Asset Management is an organization that provides Global Capital Advisory™ services providing investment banking, mergers and acquisitions, strategic advisory and consulting, private equity and asset management advisory services to public and private clients throughout the world. Mr. Tandon, who is also a licensed attorney, also serves as the founder and CEO of EB5 BRICS, an immigration consulting firm focused on educating investors about the U.S. Immigrant Investor Visa Program from India and the Middle East.
Prior to joining NMS, Mr. Tandon worked as an in-house attorney overseeing contractual matters and acted as the business development head of a legal technology and services outsourcing company that was based in India where he learned the intricacies of how business and law come together to impact a company’s bottom line. Mr. Tandon has vast experience as a litigation lawyer and worked at a national firm in Los Angeles litigating consumer protection matters. As a public defender, he represented parents in juvenile courts in Los Angeles and Santa Clara Counties.
Mr. Tandon received his law degree from Suffolk University School of Law, and in addition to working for his Immigration Law professor, he interned at the Los Angeles County District Attorney’s office assisting in criminal prosecution matters. He holds a Bachelor in Finance and Business Administration from California State University Long Beach. Mr. Tandon is very active in the South Asian Bar Association of Southern California and The Indus Entrepreneurs and has served on the executive board of the North American South Asian Bar Association. He is fluent in Hindi and Punjabi.
Mr. Tosbath is Senior Managing Director of NMS Capital Advisors and NMS Capital Asset Management which together is an organization that provides Global Capital Advisory™ services providing investment banking, mergers and acquisitions, strategic advisory and consulting, private equity and asset management advisory services to public and private clients throughout the world. In addition, he is the Founder and Chief Executive Officer of The Davenport Group and Specialized Capital Management, a private equity and specialty finance company.
Mr. Tosbath has over 20 years of experience in the international financial markets. He concluded Republic National Bank of New York’s management training program in 1985 and joined their International Lending Department, concentrating on developing banking relationships in Europe and was a member of the credit committee. Subsequently, Mr. Tosbath joined the capital markets group of the bank and traded international bonds. He became Manager of the International Capital Markets group and was responsible for sales and trading. In 1991, he joined Swiss Bank Corporation as Director of fixed-income sales in New York and was responsible for US global investor coverage for cash and derivative products. He was transferred to London to rebuild SBC’s fixed income presence in the Middle East region. In 1997, he joined Gfta analytics in London as Managing Director, head of marketing for the Middle East and was a member of their Executive Board. He was a principal of Bengal Partners, a NASD registered broker dealer, and of Bengal Capital Management, a Registered Investment Advisor from June 1999 to November 2000.
Vanamali, Srikumar — Vice President, Consulting Group
Mr. Vignali joined NMS in 2017 as Senior Director Investment Banking based in Washington D.C. Mr. Vignali brings more than 20 years of strategic development and institutional investment sales experience where his clients have included investment funds, corporate and government entities and family offices. Mr. Vignali also serves in a strategic senior consultant capacity to Washington D.C. based bi-partisan government relations and strategic consulting firm, Whitmer & Worrall, is on the advisory board of Docusign and investment incubator, Innovate OC.
Zhang, MBA, Yi — Associate