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RIA / WealthAdvisorChartered Financial Analystdual registered (broker-dealer)23 years in industry

JAMES PATRICK DOWD

Advisor at NORTH CAPITAL

SALT LAKE CITY, UT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:91471886-d14a-d676-c9d2-38e90cf4b39e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 27, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: NORTH CAPITAL
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 21, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 4
Designations: Chartered Financial Analyst
Exams: S65|S63
First exam: May 21, 2003
First registration: May 27, 2003
Dual registered: yes, broker-dealer
Other names: JAMES P DOWD|Jim P Dowd|Jim Dowd|James Dowd|James Patrick Dowd|Jim Patrick Dowd
IAPD individual key: 2109413

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
NORTH CAPITAL	Independent wealth	Jan 27, 2021	n/a	yes	SALT LAKE CITY, UT	Current employment
NORTH CAPITAL	Independent wealth	Mar 6, 2009	Dec 31, 2020	no	SALT LAKE CITY, UT	Previous registration
BEAR STEARNS ASSET MANAGEMENT INC.	No RAUM reported	Feb 28, 2005	Oct 2, 2008	no	SAN FRANCISCO, CA	Previous registration
NORTH CAPITAL LLC	n/a	May 27, 2003	Dec 16, 2003	no	SAN FRANCISCO, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
BEAR STEARNS ASSET MANAGEMENT INC.	NORTH CAPITAL	Oct 2, 2008	Mar 6, 2009	155	Firm change	Other
NORTH CAPITAL LLC	BEAR STEARNS ASSET MANAGEMENT INC.	Dec 16, 2003	Feb 28, 2005	440	Firm change after gap	Other

Relationships

Registered with (3)

→ NORTH CAPITALRegistered adviserregistration: previous registration
Mar 6, 2009 to Dec 31, 2020factForm ADV
→ BEAR STEARNS ASSET MANAGEMENT INC.Registered adviserregistration: previous registration
Feb 28, 2005 to Oct 2, 2008factForm ADV
→ NORTH CAPITAL LLCRegistered adviserregistration: previous registration
May 27, 2003 to Dec 16, 2003factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:91471886-d14a-d676-c9d2-38e90cf4b39e
First observed: May 27, 2003
Last observed: Sep 14, 2026 7 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

JAMES PATRICK DOWD

Advisor at NORTH CAPITAL

SALT LAKE CITY, UT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:91471886-d14a-d676-c9d2-38e90cf4b39e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:02 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

NORTH CAPITAL

Independent wealth

Jan 27, 2021

n/a

yes

SALT LAKE CITY, UT

Current employment

NORTH CAPITAL

Independent wealth

Mar 6, 2009

Dec 31, 2020

SALT LAKE CITY, UT

Previous registration

BEAR STEARNS ASSET MANAGEMENT INC.

No RAUM reported

Feb 28, 2005

Oct 2, 2008

SAN FRANCISCO, CA

Previous registration

NORTH CAPITAL LLC

n/a

May 27, 2003

Dec 16, 2003

SAN FRANCISCO, CA

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

BEAR STEARNS ASSET MANAGEMENT INC.

NORTH CAPITAL

Oct 2, 2008

Mar 6, 2009

155

Firm change

Other

NORTH CAPITAL LLC

BEAR STEARNS ASSET MANAGEMENT INC.

Dec 16, 2003

Feb 28, 2005

440

Firm change after gap

Other