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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

NORTH CAPITAL

NORTH CAPITAL, INC., CRD 148802

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:fdc45035-235b-5724-2d02-c0b2cf0fdb74

Data as of May 5, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 37
Dated events: 10
On other graphs: 0
Observed: Mar 28, 2012 to May 5, 2026
28 observations

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

Firm class: independent wealth managerderivedprivate_client_share=0.73 fund_share=0.18 institutional_share=0.05 related_bd=true related_bank=false bd_reps=10.0
Regulatory AUM: $366MItem 5.F on the latest filing (2026-05-05); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $343M
Private client RAUM: $269MderivedItem 5.D individuals plus high net worth individuals
Private client share: 73%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 11
RAUM per advisor: $33.3Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 12
Advisory employees: 6
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 550
Individual clients: 119
High net worth clients: 51
Custody, client assets: $46.1M
SEC number: 801-110598
CIK: 2065938
CRD: 148802
Filings on the tape: 28
First filed: Mar 28, 2012
Latest filed: May 5, 2026
Organised: Corporation, NV
Website: northcapital.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
JAMES PATRICK DOWD	Chartered Financial Analyst	SALT LAKE CITY, UT	5	23	3	yes
JOSEPH CARL ANDERSON	Chartered Financial Consultant	SALT LAKE CITY, UT \| Indian Land, SC	5	23	5	yes
MICHAEL T WEAVER	n/a	West Orange, NJ \| SALT LAKE CITY, UT	5	11	1	yes
PAUL DONALD BOWERS	n/a	SALT LAKE CITY, UT \| Saint Simons Island, GA	5	16	4	no
RICHARD GRANT NELSON	n/a	SALT LAKE CITY, UT	5	11	1	yes
Bailee Tate	n/a	SALT LAKE CITY, UT	4	10	n/a	yes
John Kiernan Figge	n/a	SALT LAKE CITY, UT	3	12	n/a	yes
JAMES Theodore CELICO	n/a	SALT LAKE CITY, UT \| Barrington, RI	3	18	1	yes
Minh Le	Chartered Financial Analyst	SALT LAKE CITY, UT	2	10	n/a	yes
SARA GRAYCE JUDD	n/a	SALT LAKE CITY, UT	1	12	n/a	yes
SCOTT MICHAEL SAMS	n/a	Waukee, IA \| SALT LAKE CITY, UT	0	26	1	yes

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BOWERS, PAUL, DONALD	MANAGING DIRECTOR	Na	yes	11/2018	Mar 22, 2019	Jun 14, 2024
DOWD, JAMES, PATRICK	CEO AND EQUITY OWNER	C	yes	01/2014	Mar 28, 2012	Jun 14, 2024
DOWD, JAMES, PATRICK	PRESIDENT, CIO	Na	yes	10/2008	Mar 28, 2012	Jun 14, 2024
FRANKLIN RESOURCES, INC.	Shareholder	E	yes	07/2020	Jan 25, 2024	Jun 14, 2024
FT FINTECH HOLDINGS LLC	SHAREHOLDER - SERIES SEED, SERIES A, SERIES A-1	C	yes	02/2022	Jan 25, 2024	Jun 14, 2024
LEGG MASON INC.	Shareholder	E	yes	06/2021	Jan 25, 2024	Jun 14, 2024
NORTH CAPITAL INVESTMENT TECHNOLOGY, INC.	Owner	E	yes	09/2019	Nov 1, 2019	Jun 14, 2024
TEMPLETON INTERNATIONAL INC.	Member	E	yes	08/2017	Jan 25, 2024	Jun 14, 2024
TEMPLETON WORLDWIDE, INC.	Shareholder	E	yes	09/1992	Jan 25, 2024	Jun 14, 2024
ANDERSON, JOSEPH, CARL	CHIEF COMPLIANCE OFFICER	Na	no	06/2024	Jun 14, 2024	Jun 14, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
NORTH CAPITAL PRIVATE SECURITIES CORPORATION	n/a	n/a	n/a	N	yes	n/a
THE PINNACLE GROUP	n/a	n/a	n/a	N	no	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 8 of 9

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024	Feb 7, 2025	$252M	$232M	8	6	1	n/a	n/a
2023	Jun 5, 2023	$261M	$241M	8	7	1	n/a	n/a
2022	Jun 23, 2022	$221M	$199M	9	8	2	n/a	n/a
2021	Jun 9, 2021	$217M	$11.4M	9	8	3	n/a	n/a
2020	Jun 29, 2020	$187M	$173M	12	10	3	n/a	n/a
2018	Mar 22, 2019	$244M	$234M	13	9	2	n/a	n/a
2017	Mar 23, 2018	$174M	$157M	10	6	2	n/a	n/a
2011	Mar 28, 2012	$57.8M	$23.5M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	0.0%	0	0	0	1	1

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$366M	$261M	40.2%	$217M	19.0%	12	8	1	1

Relationships

Registered with (20)

← SCOTT MICHAEL SAMSAdvisorregistration: current employment
Jun 17, 2026 to presentfactForm ADV
← SARA GRAYCE JUDDAdvisorregistration: current employment
Dec 23, 2024 to presentfactForm ADV
← Minh LeAdvisorregistration: current employment
Jul 16, 2024 to presentfactForm ADV
← JAMES Theodore CELICOAdvisorregistration: current employment
May 1, 2023 to presentfactForm ADV
← John Kiernan FiggeAdvisorregistration: current employment
Oct 13, 2022 to presentfactForm ADV
← Bailee TateAdvisorregistration: current employment
Sep 12, 2022 to presentfactForm ADV
← PAUL DONALD BOWERSAdvisorregistration: previous registration
Jan 24, 2019 to Dec 31, 2020factForm ADV
← RICHARD GRANT NELSONAdvisorregistration: previous registration
May 28, 2019 to Dec 31, 2020factForm ADV
← JAMES PATRICK DOWDAdvisorregistration: previous registration
Mar 6, 2009 to Dec 31, 2020factForm ADV
← JOSEPH CARL ANDERSONAdvisorregistration: previous registration
Aug 19, 2020 to Dec 31, 2020factForm ADV
← MICHAEL T WEAVERAdvisorregistration: previous registration
Feb 23, 2015 to Dec 31, 2020factForm ADV
← Nicholas Brian SteckleinAdvisorregistration: previous registration
Jul 13, 2021 to Jun 10, 2024factForm ADV
← JUAN A GARCIAAdvisorregistration: previous registration
Jan 27, 2021 to Oct 25, 2022factForm ADV
← Bridgot Sharon BasileAdvisorregistration: previous registration
Jan 28, 2021 to Apr 21, 2021factForm ADV
← FRANCES EVANS HARKINSAdvisorregistration: previous registration
Jun 14, 2013 to Jun 26, 2020factForm ADV
← JUSTINE DONNA ELIEAdvisorregistration: previous registration
Nov 16, 2018 to Jun 18, 2020factForm ADV
← CRAIG KEITH GOOSAdvisorregistration: previous registration
Feb 2, 2012 to Jun 22, 2017factForm ADV
← RYAN RAND TINGEYAdvisorregistration: previous registration
Sep 5, 2014 to Nov 7, 2014factForm ADV
← ELEAN MANUEL MENDOZAAdvisorregistration: previous registration
Mar 11, 2011 to Dec 4, 2012factForm ADV
← ROBIN TICKNOR BRINCKERHOFFAdvisorregistration: previous registration
Mar 11, 2011 to Jun 13, 2011factForm ADV

Controls (8)

← BOWERS, PAUL, DONALDOwnerMANAGING DIRECTOR, ownership code NA, individual
Mar 22, 2019 to Jun 14, 2024factForm ADV
← DOWD, JAMES, PATRICKOwnerCEO AND EQUITY OWNER, ownership code C, individual
Mar 28, 2012 to Jun 14, 2024factForm ADV
← FRANKLIN RESOURCES, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Jan 25, 2024 to Jun 14, 2024factForm ADV
← FT FINTECH HOLDINGS LLCOwnerSHAREHOLDER - SERIES SEED, SERIES A, SERIES A-1, ownership code C, domestic entity
Jan 25, 2024 to Jun 14, 2024factForm ADV
← LEGG MASON INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Jan 25, 2024 to Jun 14, 2024factForm ADV
← NORTH CAPITAL INVESTMENT TECHNOLOGY, INC.OwnerOWNER, ownership code E, domestic entity
Nov 1, 2019 to Jun 14, 2024factForm ADV
← TEMPLETON INTERNATIONAL INC.OwnerMEMBER, ownership code E, domestic entity
Jan 25, 2024 to Jun 14, 2024factForm ADV
← TEMPLETON WORLDWIDE, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Jan 25, 2024 to Jun 14, 2024factForm ADV

Owns (1)

← ANDERSON, JOSEPH, CARLOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jun 14, 2024 to Jun 14, 2024factForm ADV

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jun 10, 2024
Advisor changed firm
Nicholas Brian Stecklein left North Capital for Diversify Wealth Management, Llc (registered 2025-03-10)
Form ADVobserved 6 days ago
Occurred
Jun 5, 2023
Control person left
Antonio Juan Garcia (Managing Director) no longer on Schedule A of North Capital (listed 2022-07-20, absent 2023-06-05)
Form ADVobserved 6 days ago
Occurred
Oct 25, 2022
Advisor changed firm
Juan A Garcia left North Capital for Morgan Stanley (registered 2022-10-25)
Form ADVobserved 6 days ago
Occurred
Jul 22, 2021
Control person left
Sharon Bridgot Basile (Managing Director) no longer on Schedule A of North Capital (listed 2021-06-09, absent 2021-07-22)
Form ADVobserved 6 days ago
Occurred
Jun 29, 2020
Control person left
Evans Frances Harkins (Managing Director) no longer on Schedule A of North Capital (listed 2019-11-01, absent 2020-06-29)
Form ADVobserved 6 days ago
Occurred
Mar 22, 2019
Control person joined
Donald Paul Bowers (Managing Director) appeared on Schedule A of North Capital
Form ADVobserved 6 days ago
Occurred
Mar 22, 2019
Control person joined
Sharon Bridgot Basile (Managing Director) appeared on Schedule A of North Capital
Form ADVobserved 6 days ago
Occurred
May 10, 2017
First Form ADV filing
North Capital filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Show 2 bookkeeping events

First seen by DFX
Sep 17, 2026
date not stated
James Theodore Celico no longer holds an investment adviser registration (last listed at North Capital on the 2026-09-16 feed)
Occurred
Jun 27, 2025
North Capital reported 11 state-registered advisory representatives, up from 0 (2025-02-07 to 2025-06-27)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fdc45035-235b-5724-2d02-c0b2cf0fdb74
First observed: Mar 28, 2012
Last observed: May 5, 2026 4 months ago
Source families: Federal regulator filings
3 registered feeds 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.

NORTH CAPITAL

NORTH CAPITAL, INC., CRD 148802

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:fdc45035-235b-5724-2d02-c0b2cf0fdb74

Data as of May 5, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:45 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

JAMES PATRICK DOWD

Chartered Financial Analyst

SALT LAKE CITY, UT

yes

JOSEPH CARL ANDERSON

Chartered Financial Consultant

SALT LAKE CITY, UT | Indian Land, SC

yes

MICHAEL T WEAVER

n/a

West Orange, NJ | SALT LAKE CITY, UT

yes

PAUL DONALD BOWERS

n/a

SALT LAKE CITY, UT | Saint Simons Island, GA

RICHARD GRANT NELSON

n/a

SALT LAKE CITY, UT

yes

Bailee Tate

n/a

SALT LAKE CITY, UT

n/a

yes

John Kiernan Figge

n/a

SALT LAKE CITY, UT

n/a

yes

JAMES Theodore CELICO

n/a

SALT LAKE CITY, UT | Barrington, RI

yes

Minh Le

Chartered Financial Analyst

SALT LAKE CITY, UT

n/a

yes

SARA GRAYCE JUDD

n/a

SALT LAKE CITY, UT

n/a

yes

SCOTT MICHAEL SAMS

n/a

Waukee, IA | SALT LAKE CITY, UT

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BOWERS, PAUL, DONALD

MANAGING DIRECTOR

yes

11/2018

Mar 22, 2019

Jun 14, 2024

DOWD, JAMES, PATRICK

CEO AND EQUITY OWNER

yes

01/2014

Mar 28, 2012

Jun 14, 2024

DOWD, JAMES, PATRICK

PRESIDENT, CIO

yes

10/2008

Mar 28, 2012

Jun 14, 2024

FRANKLIN RESOURCES, INC.

Shareholder

yes

07/2020

Jan 25, 2024

Jun 14, 2024

FT FINTECH HOLDINGS LLC

SHAREHOLDER - SERIES SEED, SERIES A, SERIES A-1

yes

02/2022

Jan 25, 2024

Jun 14, 2024

LEGG MASON INC.

Shareholder

yes

06/2021

Jan 25, 2024

Jun 14, 2024

NORTH CAPITAL INVESTMENT TECHNOLOGY, INC.

Owner

yes

09/2019

Nov 1, 2019

Jun 14, 2024

TEMPLETON INTERNATIONAL INC.

Member

yes

08/2017

Jan 25, 2024

Jun 14, 2024

TEMPLETON WORLDWIDE, INC.

Shareholder

yes

09/1992

Jan 25, 2024

Jun 14, 2024

ANDERSON, JOSEPH, CARL

CHIEF COMPLIANCE OFFICER

06/2024

Jun 14, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

n/a

yes

n/a

THE PINNACLE GROUP

n/a

City

State

Country

Employees

Also broker-dealer

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2024

Feb 7, 2025

$252M

$232M

n/a

2023

Jun 5, 2023

$261M

$241M

n/a

2022

Jun 23, 2022

$221M

$199M

n/a

2021

Jun 9, 2021

$217M

$11.4M

n/a

2020

Jun 29, 2020

$187M

$173M

n/a

2018

Mar 22, 2019

$244M

$234M

n/a

2017

Mar 23, 2018

$174M

$157M

n/a

2011

Mar 28, 2012

$57.8M

$23.5M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2024

$366M

$261M

40.2%

$217M

19.0%