NORTH CAPITAL
NORTH CAPITAL, INC. Legal Name
Adviser information for NORTH CAPITAL last updated from Form ADV on January 25th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | MARCH |
| Legal Location | Nevada, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 7 |
| Registered Broker-Dealer Representatives | 6 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 2 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 498 | $241.1M |
| Non-Discretionary | 31 | $19.8M |
| Total | 529 | $260.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 117 | $28.1M |
| HNW Individuals | 52 | $122.8M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $15.5M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $5.1M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 5 | $89.4M |
| Other | <5 | $8 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 5 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for businesses or institutional clientsFINANCIAL PLANNING SOFTWARE SERVICES. |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-110598 |
|---|---|
| SEC ERA File Number | 801-110598 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 148802 |
| Legal Entity Identifier | None |
Principal Office
623 E FORT UNION BLVD.SUITE 101
SALT LAKE CITY
UT
United States
Monday - Friday, 8:30AM - 6:00PM
Tel: 415-315-9916, Fax: 801-210-7851
Chief Compliance Officer
JAMES P. DOWD
CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER
623 E FORT UNION BLVD
SUITE 101
SALT LAKE CITY
UT
United States
Tel:
415 315 9916
Fax:
801-210-7851
J****@***************M
(Full email address available in API data)
Regulatory Contact
LINSEY HARKNESS
COMPLIANCE OFFICER
623 E FORT UNION BLVD
SUITE 101
SALT LAKE CITY
UT
United States
Tel:
415-937-0573
L********@***************M
(Full email address available in API data)
Industry Affiliates
| MOBILITY SECURITIES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| NORTH CAPITAL PRIVATE SECURITIES CORPORATION | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| PINNACLE INSURANCE | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| DOWD, JAMES, PATRICK | Individual | – | PRESIDENT, CIO AND CHIEF COMPLIANCE OFFICER | 10/2008 | < 5% |
| BOWERS, PAUL, DONALD | Individual | – | MANAGING DIRECTOR | 11/2018 | < 5% |
| NORTH CAPITAL INVESTMENT TECHNOLOGY, INC. | Domestic Entity | – | OWNER | 09/2019 | > 75% |
| DOWD, JAMES, PATRICK | Individual | NORTH CAPITAL INVESTMENT TECHNOLOGY, INC. | CEO AND EQUITY OWNER | 01/2014 | 25-50% |
| Stecklein, Nicholas, Brian | Individual | – | DIRECTOR | 07/2021 | < 5% |
| FT FINTECH HOLDINGS LLC | Domestic Entity | NORTH CAPITAL INVESTMENT TECHNOLOGY, INC. | SHAREHOLDER - SERIES SEED, SERIES A, SERIES A-1 | 02/2022 | 25-50% |
| TEMPLETON INTERNATIONAL INC. | Domestic Entity | FT FINTECH HOLDINGS LLC | MEMBER | 08/2017 | > 75% |
| TEMPLETON WORLDWIDE, INC. | Domestic Entity | TEMPLETON INTERNATIONAL INC. | SHAREHOLDER | 09/1992 | > 75% |
| LEGG MASON INC. | Domestic Entity | TEMPLETON WORLDWIDE, INC. | SHAREHOLDER | 06/2021 | > 75% |
| FRANKLIN RESOURCES, INC. | Domestic Entity | LEGG MASON INC. | SHAREHOLDER | 07/2020 | > 75% |