The Northern Lights team combines a diverse and substantial record of accomplishments in the investment management industry. The team has experience ranging from manager research, multi-manager portfolio construction, company management, private equity investing, and multi-channel distribution and marketing.
Timothy J. Carver Managing Director
Timothy J. Carver manages the firm’s day-to-day activities and is responsible for leading the development and execution of its strategy in support of its goals. Prior to co-founding Northern Lights, Tim spent nearly a decade as a general partner of Orca Bay Partners, a private equity firm specializing in the investment management industry. Tim helped design several innovative structures in making private equity investments in such firms as Parametric Portfolio Associates and Envestnet Asset Management. Tim’s experience in making private equity investments in this industry complements the other principals’ skills to bring to fruition the ownership of unique intellectual capital identified in our research process. Tim is a member of the Company’s Investment Board.
Paul R. Greenwood, CFA Managing Director
Paul R. Greenwood leads Northern Lights’ efforts in identifying and researching potential affiliates of the Company. Prior to co-founding Northern Lights, Paul was instrumental in developing and led the holistic approach to manager research employed by Russell – at the time, the world’s largest multi-manager research firm. Paul focused on manager evaluation for nearly 15 years at Russell, ultimately driving the implementation of Theory Directed Research. His continuous innovation led to the fundamental belief that culture, above all else, drives long-term investment success. We believe the approach, which Paul developed, of coupling quantitative evaluation with qualitative assessment enables Northern Lights to better predict which managers will be great prospectively rather than simply chasing past performance. Moreover, it enables appropriate structuring to mitigate risk and enhance return. While at Russell, Paul managed all portfolio managers and research analysts focused on US equity companies, with Russell’s own funds representing roughly $40 billion in ten different strategies. This encompassed all aspects of company management, including portfolio management, research, risk management, portfolio construction and implementation. Paul is widely regarded as among the most innovative researchers in the institutional asset management community, and played a key role in building Russell’s reputation for excellence in manager research and portfolio management. Paul is a member of the Company’s Investment Board.
Jack C. Swift Managing Director
Jack C. Swift is a Partner and Managing Director for Northern Lights Capital Group (NLCG). Jack leads NLCG’s centralized new business development team of seven and is responsible for the strategic distribution partnership with WHV Investment Management. He also serves on the Investment Committee and evaluates the commercial viability of potential asset management investments. Prior to NLCG Jack was the Chief Operating Officer and Founding Partner of Echelon Capital Group. Since the merger with Echelon Capital Group assets under management at NLCG have increased from $4.5B to more than $20B through acquisition and asset growth initiatives. Jack also served as Managing Director and Head of Sales for Janus Capital Group and JanusINTECH Asset Management. His team raised over $30B in three years and established the fastest growing and most profitable business unit in the Janus (JNS) structure. Before JNS Jack led the sales effort in the insurance and sub-advisory spaces for Berger Financial Group and served as the liaison in a joint venture with Bank of Ireland Asset Management. Jack is a graduate of the United States Military Academy at West Point, and served in the US Army as an Airborne Ranger.
Michael Daley Director
Michael Daley joined Northern Lights in 2007. He has more than 15 years of experience in manager evaluation, product development and strategic marketing. Michael developed and now leads Northern Lights’ hedge fund seeding platform “Accelerator”. Michael works closely with the firm’s strategic partners, including Accelerator joint venture partner Hermes BPK Partners in London, in the development of new investment products. Prior to joining Northern Lights, Michael was a partner at the boutique multi-manager investment firm, Accessor Capital Management (now part of Forward Management, LLC). As Director of Product Development, Michael facilitated the launch of new investment vehicles and designed a patent pending investment planning tool used by financial planners nationwide. He developed and led a new business initiative that expanded the firm’s target market to include broker/dealers. During his tenure at Accessor AUM more than tripled.Michael is member of the board of directors of The Accelerator Fund GP LLC, AlphaShares LLC and Goodhart Partners LLP.
Trent Erickson Chief Financial Officer
Trent Erickson joined Northern Lights Capital Group in 2013 as the Chief Financial Officer, leading the firm’s accounting, tax, finance, IT, human resources and administrative functions. Trent brings twelve years of experience from Deloitte Tax, serving clients in the venture capital and private equity markets, as well as three years working as a legislative assistant for Senator Slade Gorton in Washington, D.C. At Deloitte, he consulted on a variety of tax issues related to global business structuring and partnership tax matters. In Washington, DC, Trent assisted in Senator Gorton on commerce, transportation, and judiciary issues. Trent has also taught graduate classes in the University of Washington business school.
David Griswold General Counsel/Chief Compliance Officer
J. David Griswold serves as the internal legal advisor on all major business dealings and transactions, and oversees internal and external compliance. Prior to joining Northern Lights, David served as general counsel and chief compliance officer to Global Index Group, a start-up developing financial indexes for use in exchange traded funds and similar products. Before that, David served as associate general counsel and director of global regulatory policy for Russell, where he spearheaded the consolidation of Russell’s world-wide compliance efforts into a single cohesive compliance structure. During his 19 years at Russell, David represented a number of Russell’s business lines, including aspects of the firm’s 1940 Act mutual fund products, brokerage firms and Asia-Pacific offices. Prior to Russell, David was a securities lawyer at the Seattle firm of Foster Pepper.
Bryant Smick Analyst
Bryant Smick is responsible for supporting the firm’s private equity diligence, structuring, and deal execution efforts. Prior to joining Northern Lights in 2013, he worked as a summer associate with The Holt Group, assisting in the management, analysis, and application of multiple real estate-centric private equity funds. Bryant is currently pursuing his MBA/JD.
Sales & Marketing
Steve Ford Director
Steve Ford is responsible for new business development and client service for the east coast. Steve has more than 10 years of experience in business development. Prior to merging with Northern Lights, Steve was in a similar role for Echelon Capital Group. Previously, Steve was with Centennial Partners of Memphis, Tennessee where he was vice president responsible for institutional sales and consultant relations efforts. Prior to Centennial, he was the southeast regional vice president for Rydex Investments, financial consultant for Smith Barney, and regional consultant for Strong Investments.
Bernie Norton Director
Bernie Norton is responsible for new business development and client service for the Midwest. Bernie has more than 10 years of experience in consultant relations and institutional sales. Prior to joining Northern Lights in 2011, Bernie was a consultant relations manager at Janus Capital Group, where he oversaw national institutional consultant relationships. Previously, he was an analyst at Cambridge Associates and an associate at ICON Advisors.
David Swift Director
David Swift is responsible for new business development and client service for the west coast. Prior to merging with Northern Lights, David was in a similar role for Echelon Capital Group. Previously, David worked in institutional equity sales for Banc of America Securities and JP Morgan, where he was responsible for new business development and market share growth with hedge funds and long-only equity firms.
Katie Hays Director of Marketing
Katie Hays leads the firm’s overall marketing efforts, as well as marketing, product management and positioning for the firm’s investment partners. Prior to joining Northern Lights, Katie worked at Transamerica Capital, where she was responsible for the traditional and digital marketing strategies for 35+ mutual funds. Previously, she was at global macro hedge fund, Graham Capital Management in Rowayton, CT and worked on the Strategic Business Development team.
Keegan Borgias Sales and Marketing Associate
Keegan Borgias is responsible for internal support of the sales, marketing and client service efforts for the firm. Prior to joining Northern Lights, she worked at Transamerica Capital where she worked in both Sales and Marketing and was responsible for thought leadership initiatives, corporate sponsorships and digital marketing projects. She also facilitated the relationships with more than 20 sub-advisers and worked closely with the business development and event teams.
Renae Delegard Executive Assistant
Renae Delegard is the Executive Assistant of the Northern Lights Tacoma office, where she is responsible for supporting the firm’s human resources, finance, information technology, and administrative functions. She joined Northern Lights Capital Group in 2006 as the Executive Assistant to the Managing Directors and the Chief Financial Officer. Prior to joining Northern Lights, Renae was with KeyBank for 19 years where she worked in various client service and human resources positions for both Retail and Commercial Banking.
Levonia Hartford Executive Assistant
Levonia Hartford is the Executive Assistant of the Northern Lights Denver office, where she is responsible for supporting the sales, information technology, and administrative functions. Prior to joining Northern Lights in 2011, she was in an administrative role for the institutional sales division of Janus Capital Group and at INVESCO Funds/AIM Investments. Levonia has more than 20 years of experience in the financial services industry.
Ilona Cesan Executive Assistant
Ilona Cesan is the Executive Assistant of the Northern Lights Seattle office, where she is responsible for supporting the firm’s administrative, operational, and legal functions. She joined Northern Lights in 2013. Ilona has spent her entire career in executive administrative support, with broad experience in legal, real estate, and financial services.
John Krick VP of Operations
John Krick joined Northern Lights in 2006. His 30-year career spans both scientific and financial arenas. John has significant practice in managing and integrating technology with business processes. Years of managing both IT and Operational Teams at The Vanguard Group and at 1838 Investment Advisors, provides John depth and perspective on the intricacies of financial operations. For Northern Lights, John has evolved a comprehensive guidebook to support Operational Excellence for both startups and maturing small financial companies. John works closely with the Company’s affiliates to identify more scalable, cost-effective and easier to manage processes, and to design in-house and outsourced solutions.
Andrew L. Turner, PhD Founder/Board Member
Andrew L. Turner is a founder and board member of Northern Lights. Prior to co-founding Northern Lights, Andy ran the investment and research function at the Frank Russell Company (“Russell”). In that capacity he built and led a 100+ person investment team for the firm with offices in London, Paris, Amsterdam, Johannesburg, Sydney, Melbourne, Auckland, Singapore, Hong Kong, Tokyo, Toronto, San Francisco and New York. While leading this team, Andy encouraged the development of Theory Directed Research, and created the infrastructure and culture necessary to systematically collect data on over 10,000 management meetings to quantitatively demonstrate the power of this novel approach. Moreover, the experience of helping build Russell’s global investment business provided direct exposure to the unique needs and challenges involved with motivating investment professionals and creating long-term sustainable investment environments. Perhaps most importantly, Andy was one of a handful of senior leaders who can be credited with creating one of the most powerful investment cultures in the industry.
Xavier Sément Senior Advisor
Xavier Sément advises Northern Lights on European expansion through his consulting business, Fair Isle Partners. Xavier brings more than 10 years of experience in corporate finance and strategy in the asset management industry. Xavier was previously with BNP Paribas Investment Partners, where he managed the portfolio of proprietary investments in asset management firms.