David Poutney Chairman and CEO
David started his career with Midland Bank Plc before becoming No. 1 Extel ranked financial analyst from 1986 at several leading firms. In 1996 he joined WestLB Panmure as Head of the UK Banks team before moving into Corporate Broking. From 2001 to 2016 he was Head of Corporate Broking at Numis Securities, helping establish Numis as a leading institutional stockbroker and corporate advisor. David was an Executive Director of Numis Corp plc from 2014 – 2016. He has worked in Corporate Broking for over 20 years and has listed over 30 companies. He currently serves as NED for Franchise Brands Plc and Be Heard Group Plc.
James Serjeant Executive Director
Started his career at WestLB Panmure in 2000 where he worked alongside David Poutney. James joined Investec Bank in 2002 and was part of a team of five who developed and grew their Corporate Broking department. He was MD of Corporate Broking at Numis Securities where he spent over 10 years advising companies such as Rightmove Plc and Domino’s Pizza Plc. He has worked in Corporate Broking for over 15 years and is a seasoned practitioner with extensive experience in private placements, IPOs, Follow on Offers, Block Trades, M&As, as well as the return of capital to shareholders. In June 2016, he joined the board of Dowgate Capital Stockbrokers and 3B Capital Ltd.
David Lis Non Executive Director
David was CIO of Equities and Multi-Assets at Aviva Investors, the global asset management business with £267bn AUM until he retired in 2016.
Prior to this, he was Head of Equities at Aviva Investors, with overall responsibility for £33bn of active and passive funds across all major markets and direct day to day responsibility for the active management of the £5.5bn Institutional UK Equity Fund, £1.1bn Global Income Fund, £200m Aviva Investors UK Growth OEIC and £100m UK Smaller Companies OEIC.
David began his career as an investment analyst at NatWest, following which he became a fund manager at J Rothschild Investment Management and Morgan Grenfell & Co Limited. David founded Windsor Investment Management Ltd, serving as managing director until its acquisition by RBS fund management arm, Capital House Limited. David joined Norwich Union Investment Management Limited in 1997 (later merging to form Aviva Investors), before becoming Head of Equities in 2012 and subsequently Chief Investment Officer, Equities and Multi Assets.
David is currently a non-executive director of BCA Marketplace plc, Electra Private Equity Plc, Melrose Industries Plc and Multifamily Housing REIT.
Simon Carter Head of Compliance and Operations
Simon started his career with Barclays Bank, before joining HSBC in 2000, where he worked within the Trustees and Depositary Services team, leading a team of five in managing relationships with Fund Managers and administrators. Between 2008 and 2011, he worked within senior compliance roles for both Jupiter Unit Trust Managers and JP Morgan Asset Management, before moving to Daiwa Asset Management in 2011 to head up their Compliance department. In 2014 he joined Shard Capital Partners to become Head of Compliance and MLRO, which covered a range of products including, Retail and Institutional Stockbroking, Wealth and Asset Management, Structured Products and Corporate Broking. He is a member of the Chartered Institute for Securities and Investment and has worked in the financial services industry for almost 30 years