Principal, Capital Markets

Access Holdings is a next-generation alternative asset manager providing investors with access to the lower-middle market. Founded in 2013, Access Holdings has approximately $2.3 billion in assets under management. The firm implements its systematic research and data-driven operating model - The Access Edge - to partner with lower-middle market businesses in industries essential to economic growth and resilience. For more information, please visit www.accessholdings.com . POSITION OVERVIEW  
Access Holdings is building Access Holdings Capital Markets (AHCM), a new registered broker-dealer anticipated to receive FINRA approval in July 2026. AHCM will serve as a fully integrated capital markets platform supporting the firm's lower-middle market strategy, including M&A advisory and capital raising, while also expanding to serve third-party clients over time.  
Access Holdings is seeking a Principal for Access Holdings Capital Markets (AHCM), an entrepreneurial, licensed securities professional (Series 24 and Series 79) who will partner with the Head of the Broker-Dealer to build and scale AHCM, while operating with the independence and authority to own initiatives, drive outcomes, and lead the platform as it matures. This is a rare opportunity to help build an institutional-quality broker-dealer from the ground up within a well-capitalized, growth-stage alternative asset manager. The right candidate combines deep broker-dealer operational and compliance expertise with credit capital markets fluency, a commercial mindset, and the entrepreneurial drive to build something enduring. The Principal reports to Chris Blackwell, Partner and Head of AHCM.  
In addition to broker-dealer leadership responsibilities, the Principal will lead the Access Holdings Credit Capital Markets team, organizing and leading all third-party financing efforts for new platform formation as well as portfolio company add-on financing initiatives.  
KEY RESPONSIBILITIES  
Develop the Broker-Dealer Platform  


• Partner closely with the Head of the Broker-Dealer to shape and execute AHCM's strategy, operating model, and market positioning  



• Drive the buildout of platform infrastructure, team, and culture as AHCM moves from registration through early growth  



• Own and drive decisions around service design, commercial prioritization, and platform development  



• Establish and grow AHCM’s presence and reputation within the lower-middle market ecosystem  

Lead M&A Advisory and Capital Markets Execution  


• Partner with the Head of the Broker-Dealer and Access deal teams to originate and lead buy-side and sell-side M&A advisory mandates  



• Own capital markets execution including debt and equity capital raising for portfolio companies and third-party clients  



• Build and own transaction execution playbooks and engagement models as the platform matures  



• Lead private debt financing processes across the capital structure, including cash flow modeling, risk scenario analysis, and preparation of underwriting memorandums for internal investment committee review  



• Cultivate and own relationships with leading middle market banks and private credit firms active in leveraged finance and  unitranche  transactions; develop go-to-market lender materials and lead all third-party debt financing engagement for portfolio companies and third-party clients  

Grow the Commercial Platform  


• Identify , develop, and own third-party client opportunities and service offerings  



• Define and execute AHCM’s go-to-market approach, engagement frameworks, and fee structures  



• Partner with the Access Acceleration Center (A2C) and portfolio company leadership to originate and execute transactions  



• Drive external business development and build AHCM’s brand in the market  

Drive Shared Commercial Outcomes  


• Originate and execute transactions in partnership with AHCM and Access leadership, contributing meaningfully to platform revenue  



• Maintain an active pipeline and bring disciplined commercial rigor to deal sourcing, structuring, and closing  



• Identify  opportunities to expand AHCM's reach and client base over time  

QUALIFICATIONS  
Required  


• Active FINRA Series 24 (General Securities Principal) license, in good standing, with no pending disciplinary  matters, held  at time of application  



• Active FINRA Series 79 (Investment Banking Representative) and Series 7 (General Securities Representative) licenses, in good standing, held at time of application  



• 10+ years of experience in investment banking, broker-dealer operations, private equity advisory, or a related field  



• Demonstrated experience building or leading a registered broker-dealer, investment bank, or similar regulated financial services business  



• Deep knowledge of FINRA rules, SEC regulations, and broker-dealer compliance requirements   



• Track record  of executing M&A advisory mandates and/or capital raising transactions in the middle or lower-middle market  



• Proven ability to manage a P&L and build a team from an early stage  



• Formal credit underwriting training and/or loan structuring experience at a leading market participant  



• Proficiency  in creditors’ rights and loan documentation  



• Robust,  established  relationships with leading middle market banks and private credit firms active in leveraged finance and  unitranche  transactions  



• Demonstrated experience structuring buy-and-build financing transactions, including management of substantial pro forma quality of earnings adjustments  



• Strong commercial instincts  with the a bility to originate, develop, and close client relationships  

Preferred  


• Experience in the lower-middle market or private equity ecosystem  



• Prior roles as a registered principal (Series 24   principal capacity)  



• Experience launching or scaling a new BD platform or boutique advisory firm  



• Existing relationships with lenders, institutional investors, family offices, or other capital markets participants  



• Exposure to data-driven and technology-enabled transaction workflows  

PERSONAL ATTRIBUTES  
The ideal candidate is an entrepreneurial, high-integrity professional who combines institutional discipline with a founder's drive. They are comfortable operating in a high-performance culture, accountable for outcomes, and energized by building something from scratch.  


• Entrepreneurial and visionary — translates bold ideas into structured plans and executes with discipline and urgency  



• Commercial and client-focused — naturally draws and  retains  client relationships through trust and execution quality  



• Candidates must embrace Access Holdings'  Core Values:  



• We Execute with Urgency .   We get it done—today, not tomorrow. We move decisively, prioritize what matters, and follow through without delay.  



• We Own the Outcome .   We are radically accountable for results. No excuses. We take responsibility, solve problems, and deliver.  



• We are Driven by Process and Performance .   We  operate  with discipline and rigor. Strong processes enable consistent, high-level performance, and we continuously improve both.  



• We Win through Excellence.   Excellence isn't a one-time event; it's the way we do  everything,  every day. We hold ourselves and each other to a higher bar, and that is what sets us apart.  



• We Build Market-Leading Businesses .   We think and act like owners. We create enduring value by building businesses that lead, outperform, and win.