BRADEN JAMES
Austin,United States
Summary
Investment professional with deep practical experience across public and private markets, spanning fund management, capital allocation, and hands-on operational execution. Proven ability to originate and manage investment vehicles, conduct in-depth diligence across asset classes, and apply knowledge acros investment domains to generate a strategic informational edge. Equally comfortable sourcing deals, evaluating opportunities, and guiding strategic decisions alongside founders, GPs, and investors. I operate at the intersection of research, capital, and execution — driven by insatiable curiosity, discipline, and a commitment to uncovering value through adventure into the unknown and the unknowable.
Overview
8
8
years of professional experience
1
1
Certification
Work History
Managing Partner
Emerging Oaks Capital LLC
11.2019 - Current
- Founded and lead a Registered Investment Advisor (RIA), responsible for end-to-end management of firm operations, investment strategy, compliance, and client service.
- Originated and managed 3 separate private investment vehicles, including a hedge fund and 2 private credit funds, overseeing fund structuring, investor onboarding, reporting, and execution.
- Developed customized portfolios of publicly traded securities for advisory clients spanning equities, debt, options and commodity futures.
- Managed all firm regulatory and compliance obligations, including Form ADV filings, marketing rule adherence, audit coordination, and execution of a comprehensive compliance calendar.
- Participated in private placement investments in power infrastructure, real estate, and consumer technology companies, acting as an advisor to the businesses raising capital.
- Consulted for a biotech-focused venture capital firm, helping develop investment diligence frameworks and optimize capital deployment strategy.
- As a consultant I oversaw accounting, tax, and investor reporting processes in collaboration with legal counsel and third-party providers, creating efficient back-office operations and ensuring audit readiness.
- Managed a commercial real estate investment company, leading contract negotiations, underwriting, and diligence for direct acquisitions and joint ventures.
- Built and led a deal sourcing platform focused on small and medium-sized business acquisitions, managing a team that sourced, evaluated, and modeled deals across diverse industries.
- Partnered with founders and fund managers to support capital raises, transaction readiness, and strategic investor communications.
Investment Operations Specialist
Equitable Advisors
06.2017 - 10.2019
- Supported a team of 12 financial advisors in managing over $50M in brokerage assets and $150M+ in variable annuities and insurance products across 200+ client accounts.
- Designed and implemented customized investment strategies for incoming clients, incorporating advisor guidance, asset allocation models, and client-specific objectives.
- Executed operational tasks including trade placement, fund distributions, portfolio performance reporting, and ongoing account maintenance with a focus on accuracy and timeliness.
- Conducted due diligence on mutual funds and alternative investment products seeking inclusion in branch portfolios, providing written analysis and recommendations.
- Managed end-to-end client onboarding, including account applications, ACAT transfers, KYC/AML compliance checks, and custodial coordination.
- Collaborated with internal stakeholders and custodians to resolve operational issues, streamline workflows, and support advisor productivity.
Education
Bachelor of Science - Astrophysics
University of Oklahoma
Norman, OK05-2017
Skills
- Investment Operations
- Deal Sourcing & Due Diligence
- Capital Allocation Strategy
- Fund Structuring & Administration
- Financial Modeling & Analysis
- Investor Reporting & Communications
- Market & Sector Analysis
- Investment Research and Thesis Development
- Process Optimization
Certification
Series 7
Series 66
Timeline
Managing Partner
Emerging Oaks Capital LLC
11.2019 - Current
Investment Operations Specialist
Equitable Advisors
06.2017 - 10.2019
Bachelor of Science - Astrophysics
University of Oklahoma
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