As of July 2015

1. JIM NEAL
Chicago, IL ▪ cel.919.600.3060 ▪jim@jameswneal.com
SUMMARY
Jim has excelled throughout his career in engaging and leveraging strategic relationships. He has a reputation
as a decisive, results-oriented, competitive and passionate individual who combines leadership and
interpersonal skills with financial acumen. H e has been at the nexus of implementing innovative
business models, lead the organizational and strategic development of startup ventures, made investment
recommendations to venture capital investors and run as a candidate for the United States Senate. He is a
superb communicator, writer and speaker.
CORE COMPETENCIES
Start-ups ~ Organizational Leadership ~ Business Development ~ Fundraising ~ Strategic Planning ~
Mentoring ~ Venture Capital Investing
RECENT EMPLOYMENT HISTORY
JIM NEAL | grupo agema, Chicago, IL and Raleigh, NC January 2002 – present
Consultant
Advise private equity and institutional investors in assessing the strategic and risk profiles of portfolio
investments in private companies, as well as making investment recommendations on specific companies. Jim’s
core competency is in driving teams to gather off-the-grid intelligence relevant to specific private companies
and target markets. Through a strategic relationship with an investment banking broker-dealer in New York, he
offers certain financial advisory services to growth and middle- market companies including placements of
private equity and debt, restructuring and merger & acquisition advice.
The firm transitioned from five employees in 2007 to a virtual model in 2009. Jim collaborates with third-party
consultants and interns on a transaction-by-transaction basis.
 Develop and maintain client relationships.
 Recruit and staff engagement teams and insure timely execution of all client deliverables.
 Maintain high-profile visibility at local universities with information technologists, healthcare
researchers and MBA candidates; as lecturer and speaker at industry and social advocacy forums and
as featured contributor to media outlets.
 Reviews start-up proposals and collaborates with entrepreneurs at The Chicago Innovation
Exchange at The University of Chicago.
Key Achievements:
 Architected a successful consultancy that grew from $0 revenues in 2002 to multi-million dollar
business at its peak in 2007.
 Generated niche institutional investor service platform through leveraging ~300 private equity
portfolio valuations allowing for collateral service offerings. Achieved high client retention rate
and core new business pipeline.
 Restructured operating model to more cost-efficient virtual model after a two-year hiatus in 2008-
2009.
 Expanded services in 2009 by leveraging political experience and Congressional relationships to
win advisory engagements focused on the ramifications of relevant legislative policies.

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JIM NEAL FOR SENATE, Durham, NC September 2007 – May 2008
CANDIDATE FOR US SENATE(D-NC)
Jim declared his candidacy for the US Senate in September 2007 as a first-time candidate for elective office. He entered
the race as the sole challenger to incumbent Senator Elizabeth Dole (R-NC) following the decision by six elected
officials recruited by Democratic Senatorial Campaign Committee (DSCC) to withdraw their names from
contention. He ran a competitive, spirited race against DSCC-backed State Senator Kay Hagan.
Thirty days prior to the May 2008 primary, two national pollsters rated the contest as a toss-up between Hagan and Neal
in a field of five candidates. Following a substantial paid media outlay by the Hagan campaign, which the Neal
campaign could not match, Jim finished as runner-up in the primary election. Kay Hagan subsequently defeated
Senator Dole in the November general election.
 The Jim Neal for Senate campaign was crafted as a lean, low-cost, scalable grass roots organization
with only six paid staff members and two FTE consultants. Staff included campaign manager, director and
deputy director of finance, scheduler, communications director and head of field operations.
Leveraged volunteers through the recruitment of a young, exuberant volunteer base of approximately
400 people by targeting colleges and universities and progressive affinity groups (LGBT, county
party activists, online activists and African American churches).
Campaigned statewide in 80% of North Carolina’s counties by intense travel for speaking engagements
and local fundraisers.
Key Achievements:
 Jack Betts, Charlotte Observer columnist and dean of the NC political press corps commented at the time
of Neal’s announcement “He [Neal] is a focused, intelligent candidate who knows more about what he
wants to do in the Senate than John Edwards did when he first got into the 1998 Senate race.” Others
commented as follows:
Greensboro News-Record reporter Ed Cone “[Neal] is redefining grass root politics in North Carolina”.
The Village Voice “this little well-groomed identity-accepter sounds like a dream Dem. He fights for the
little guy.”
Rob Christensen of the Raleigh News & Observer “Jim Neal was the ‘man in the arena’ who helped make
North Carolina history.”
WRAL-TV correspondent Mark Binker “Neal has embraced a road warrior mentality as a hallmark of his
campaign. [He] chats up just about anyone who will shake his hand, regular folks such as cashiers at a coffee
shop, janitors taking a smoke break and individuals he happens to meet along the street.”
 Raised more contributions out-of-state during the 2008 election cycle in NC (primary and general election)
than any other candidate except for State Senator Hagan, Senator Elizabeth Dole and gubernatorial
candidate State Treasurer Richard Moore.
 Over 2,500 small-dollar donors.
 Received coveted endorsement by the Black Political Caucus of Charlotte-Mecklenburg, North Carolina’s
largest African American political action committee.
 Second openly-gay person in US history to run for the US Senate.
 Garnered a quarter million votes, the highest in NC history for a runner-up in a US Senate primary.

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JOHN KERRY FOR PRESIDENT February 2004 – November 2004
WES CLARK FOR PRESIDENT November 2003 – February 2004
MEMBER NATIONAL CAMPAIGN FINANCE COMMITTEES
Jim served as a member of the Clark Campaign’s national finance committee. This was the first time he had served as a
major fundraiser for a political campaign. The chairmen of the committee were New York venture capitalist Alan
Patricof and Allen & Company investment banker Stanley Shuman.
 Jim was among the top ten fundraisers nationally, raising approximately $250,000.
Following General Clark’s withdrawal from the race, Senator John Kerry’s national campaign finance committee
invited Jim as a member. The chairmen of the committee were Ambassador Louis Susman and John Kerry for
President campaign treasurer Robert Farmer.
 Jim was among the top 25 fundraisers nationally for the Senator Kerry’s primary and general election
campaigns (including contribution for the Democratic National Committee), raising approximately $1.2M.
Success owed in large part to Jim’s strategy of identifying and aggressively soliciting contributions from
large-dollar, first-time donors.
SCIENTIA HEATH GROUP INC., New York,NY March 2001 – November 2001
PRESIDENT
Scientia was a health care investment company with $75M in existing and pledged capital. Founded by former
ImClone Systems’ (NASDAQ:IMCL) CEO Sam Waksal, Scientia’s mission was to acquire, develop, operate and guide
companies in healthcare fields ranging from functional genomics to healthcare services. Jim oversaw the investment
process in targeted companies, maintained a dialogue with their senior managements, coordinated legal counsel’s
preparation and structuring of Scientia’s investor memoranda and interfaced with Scientia investors and board
members. He reported to Dr. Waksal and had four executive directreports.
In November of 2001 Dr. Waksal fired Neal. Thereafter Jim filed a complaint immediately alleging that “[Neal]
became aware of certain illegal and unethical conduct… [Neal] made clear to Waksal, and others, that he would not
stand by silently while Waksal engaged in such misconduct…” Dr. Waksal was subsequently convicted on six felony
charges, sentenced to seven years in prison and fined $4M. Jim received a summary judgment against Scientia and Dr.
Waksal and Scientia. Within a matter of days, the multi-million dollar lawsuit was settled out of court.
451 INC., New York, NY February 2000 – February 2001
CHIEF EXECUTIVE OFFICER
Start-up application service provider for the live action production industry. The Company’s mission was to become
the premier online provider of e-commerce, production management and information application solutions to the
below- the-line live action production marketplace. In December of 2001, 451, Inc. was acquired by itemus inc.
(TSE:VEN).
The Company employed 85 people and had burned through $5M in cash in six months under its first CEO. It
was bloated, lacked a clear mission and was compartmentalized into various working groups that operated
independently of one another.
 After extensive interviews, the board of directors hired Jim. His hiring was a pre-condition to the investment
of an additional $7M by outside investors.

4. Page 4 of 5
Key Achievements:
 Transformed a bloated, low morale organization with no coherent focus into a sustainable, high-morale
business generating $1M in revenues.
Reduced headcount by 30% and slashed burn rate by 40% through elimination of redundancies,
streamlining mission and porting in-house the systems architecture that had been outsourced to a
costly technology consulting firm.
 Recruited new COO, Director of Business Development, CTO and CFO as direct reports and tasked
them with clear goals and accountability.
 Won competition for strategic co-branding venture with Cahners Business Information (division of Reed
Elsevier plc).
Pitched and negotiated an expansive, $15M co-branding, content development, exclusive licensing, revenue
sharing agreement with Cahners’ core entertainment properties Variety, 411 and Kemp’s and a direct equity
investment of $10M by Cahners. Jim drove the negotiations with Cahners, beating out two better
capitalized, Hollywood-based competitors laden with high profile entertainment industry investors and
executives.
RX MARKETPLACE, Denver,CO October 1999 – February 2000
CHIEF EXECUTIVE OFFICER
Jim served and an unpaid informal advisor to the founders of this Company, brought together by a mutual friend. In a
matter of months the founders recruited Jim as CEO of the e-commerce pharmaceutical sales and distribution
company offering generic pharmaceutical and nutraceutical products to independent pharmacists. Jim accepted the
position and walked away from a secure multi-million dollar deferred compensation and equity grant scheme at Piper
Jaffray.
RxMarketplace (RxM) enabled pharmacies to order online directly from generic manufacturers of prescription drugs
and nutraceuticals, and the vendors to gain access to the $11B wholesale market opportunity with 22,000 pharmacists.
RxM’s strategy was to deliver broader product offerings at a higher margin to the independent pharmacy market that
was underserved by the traditional drug wholesalers.
Jim negotiated a pivotal strategic technology and marketing alliance with Hughes Network Systems (NYSE:HUGH),
enabling RxM t o o f f e r pharmacies with a complete behind-the-counter technology platform powered by a high-
bandwidth internet connection- in return for exclusive rights as their e-commerce platform. In addition to the online
marketplace offered by RxM, HSN offered optional enhanced services including access to industry information,
distance learning, and credit card and insurance verification.
The company employed 30 people. Jim’s direct reports included the CFO, CTO, Director of Business
Development and Director of Sales & Marketing.
Key Achievements:
 Sourced, negotiated and raised $7M in Series A preferred stock financing from high-net-worth individuals.
 Recruited board of directors, including former Chairman and CEO of Sandoz Pharma, Ltd. as board
chairman.
 Lead executive team charged with the selection of a technology partner and drove the negotiations with
HNS establishing a joint venture technology and marketing subsidiary.
Agreement included the contribution by HNS of up to $100M of in-kind technology and a $10M investment
in RxM’s Series A preferred s tock.
 Negotiated strategic marketing agreement with the largest independent pharmacy buying group, gaining access
to over 7,000 target pharmacy clients.
 Grew company from three to thirty employees

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PIPER JAFFRAY, San Francisco/Menlo Park,CA November 1997 to October 1999
MANAGING DIRECTOR
Piper Jaffray Companies (NYSE: PJC) is an international investment bank to corporations, private equity groups and
institutional investors. The firm is based in Minneapolis, MN and was founded in 1895.
Jim launched Piper Jaffray’s biotech investment banking practice from Menlo Park, CA, later opening an additional
office in downtown San Francisco. He was an advocate for Piper Jaffray’s hiring of a five-person team of
professionals from Montgomery Securities and agreed to share oversight of the practice with the senior member of
that team.
Key Achievements:
 Over two years Jim and his partner oversaw the expansion of the practice to 25 professionals.
 Shared responsibility for a $15M annual budget.
 Drove revenues from $0 to over $30M in two years by consistently obtaining high value M&A
advisory engagements and managed equity placement offerings.
 Vaulted the practice into a global market leadership position amongst biotech investment banking practices.
EDUCATION
Masters of BusinessAdministration August 1981 – May 1983
University of Chicago Graduate School of Business
Bachelors of Science, Business Administration August 1975 – December 1978
University of North Carolina, Chapel Hill, NC
AFFILIATIONS
NC Sustainable Community Fund (Chapel Hill, NC) – Co-Director October 2011 – July 2013
Freedom House Recovery Center (Chapel Hill, NC) – Board Member June 2011 – August 2012
NC Justice Center NC Policy Watch (Raleigh, NC) – Board of Advisors August 2009 – August 2012
Democracy NC (Durham, NC) - Member Board of Advisors June 2009 – August 2012
The New School (New York, NY) – Member Board of Governors January 2003 –May 2006
St. Philip’s Church in the Highlands (Garrison, NY) - Lay Minister December 2005 – January 2007
The NYC Partnership – Mayor’s Economic Development Task Force November 2001 – February 2002
Alliance for the Arts (New York, NY) – Member Board of Directors November 2000- June 2004
United Medical Industrial Group (Beijing, PRC) – Member Board of Directors 1998 -1999
Children’s Bureau (Los Angeles, CA) - Member Board of Directors 1988-1990
The Investment Association of New York- Treasurer & Board Member 1986-1987
The Daily Beast – Contributor
The Huffington Post – Contributor
PUBLICATIONS andPRESENTATIONS
CNBC, FOX, CBS, NBC and NPR- FeaturedGuest
C-SPAN – Speaker at televised 2008 political forum with presidential candidates Obama and Clinton
Metro NYC - Former Contributor