NORTHERN CAPITAL RETIREMENT SERVICES, INC.
Adviser information for NORTHERN CAPITAL RETIREMENT SERVICES, INC. last updated from Form ADV on March 20th, 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 | DECEMBER |
| Legal Location | Washington, United States |
Employees
| Total Number of Employees | 11 |
|---|---|
| Investment Advisory/Research | 8 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 10 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 23 | $232.0M |
| Non-Discretionary | 0 | $0 |
| Total | 23 | $232.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 23 | $232.0M |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPension consulting servicesPublication of periodicals or newslettersEducational seminars/workshopsEDUCATIONAL WEBINARS |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-77836 |
|---|---|
| SEC ERA File Number | 801-77836 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 163327 |
| Legal Entity Identifier | None |
Principal Office
2700 S SOUTHEAST BOULEVARDSUITE 205
SPOKANE
WA
United States
MONDAY - THURSDAY, 8 AM TO 4:30 PM
Tel: 509-456-2526, Fax: 509-456-2550
Chief Compliance Officer
MICHELLE L WARNER
CHIEF EXECUTIVE OFFICER
2700 S. SOUTHEAST BLVD.
SUITE 205
SPOKANE
WA
United States
Tel:
509-456-2526
Fax:
509-456-2550
M*******@******************M
(Full email address available in API data)
Regulatory Contact
JAMES K. WILSON
MANAGING PARTNER/PRESIDENT/CFO
2700 S. SOUTHEAST BLVD.
SUITE 205
SPOKANE
WA
United States
Tel:
509-456-2526
Fax:
509-456-2550
J**@******************M
(Full email address available in API data)
Industry Affiliates
| NORTHERN CAPITAL MANAGEMENT, INC. | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WILSON, JAMES, KARL | Individual | – | MANAGING PARTNER/PRESIDENT/CFO | 01/2012 | > 75% |
| WARNER, MICHELLE, LYNN | Individual | – | CHIEF EXECUTIVE OFFICER | 08/2020 | 10-25% |
| WARNER, MICHELLE, LYNN | Individual | – | CHIEF COMPLIANCE OFFICER | 07/2020 | 10-25% |
| ISOTALO, JENNIFER, Lynn | Individual | – | CHIEF OPERATIONS OFFICER | 08/2020 | < 5% |