DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

SEC-registered adviser

North Capital

Independent wealth managerSalt Lake City, UtahCRD 148802SEC 801-110598websiteIAPD
Legal name North Capital, Inc.
Latest filing May 5, 2026
First filing on the tape Mar 28, 2012 · 28 filings
SEC status approved since May 17, 2017
RAUM
$366M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
73%
$269M individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$33.3M
derived; firm RAUM over IAPD count
Employees
12
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$366M as of May 5, 2026
Mar 28, 2012$57.8M then
HNW client RAUM$246M as of May 5, 2026
Mar 23, 2018$85.0M then
State-registered IARs (5.B.3)11 as of May 5, 2026
Mar 28, 20120 then
Employees (5.A)12 as of May 5, 2026
Mar 23, 201810 then
Private funds: no history
RAUM +40% over the last fiscal year+19% a year over threeIARs 0 to 11
Practice profile
derived from the filing of May 5, 2026; every figure names its basis
RAUM per advisor
$36.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
17derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.8MderivedHNW RAUM over HNW clients
Average account
$665,019derivedRAUM over accounts (5.F.2.f)
Discretionary
94%derivedof RAUM
Institutional
5.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
5.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-3.5%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+5.3%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, otherreportedItem 5.G
Custody
$46.1M, 45 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$246M67%
  • Investment companies$66.7M18%
  • Individuals$22.4M6.1%
  • Pension and profit-sharing plans$12.7M3.5%
  • Banks and thrifts$7.2M2.0%
  • Charitable organizations$6.5M1.8%
  • Corporations and businesses$3.9M1.1%
Individual clients
119reported
HNW clients
51reported
Pension plan clients
3reported
Charitable clients
3reported
Accounts
550reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
$46.1M for 45 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.73 fund_share=0.18 institutional_share=0.05 related_bd=true related_bank=false bd_reps=10.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Joseph Carl AndersonChartered Financial ConsultantSalt Lake City, Ut Jan 27, 202123 y5
Michael T WeaverWest Orange, Nj Jan 27, 202111 y1
James Patrick DowdChartered Financial AnalystSalt Lake City, UtJan 27, 202123 y3
Richard Grant NelsonSalt Lake City, UtJan 28, 202111 y1
Paul Donald BowersSalt Lake City, Ut Jan 28, 202116 y4
Bailee TateSalt Lake City, UtSep 12, 202210 y0
John Kiernan FiggeSalt Lake City, UtOct 13, 202212 y0
James Theodore CelicoSalt Lake City, Ut May 1, 202318 y1
Minh LeChartered Financial AnalystSalt Lake City, UtJul 16, 202410 y0
Sara Grayce JuddSalt Lake City, UtDec 23, 202412 y0
Scott Michael SamsWaukee, Ia Jun 17, 202626 y1
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Donald Paul Bowers · Managing Directorcontrol
    since 11/2018 · owns less than 5%
  • Patrick James Dowd · President, Ciocontrol
    since 10/2008 · owns less than 5%
  • Patrick James Dowd · Ceo And Equity Ownercontrol
    since 01/2014 · owns 25% to 50% of North Capital Investment Technology, Inc.
  • Carl Joseph Anderson · Chief Compliance Officer
    since 06/2024 · owns less than 5%
Entity owners
  • North Capital Investment Technology, Inc. · Owner
    direct · owns 75% or more
  • Franklin Resources, Inc. · Shareholder
    indirect · owns 75% or more of Legg Mason Inc. · public reporting company
  • Ft Fintech Holdings LLC · Shareholder - Series Seed, Series A, Series A-1
    indirect · owns 25% to 50% of North Capital Investment Technology, Inc.
  • Legg Mason Inc. · Shareholder
    indirect · owns 75% or more of Templeton Worldwide, Inc.
  • Templeton International Inc. · Member
    indirect · owns 75% or more of Ft Fintech Holdings LLC
  • Templeton Worldwide, Inc. · Shareholder
    indirect · owns 75% or more of Templeton International Inc.
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Salt Lake City, Ut · principal1010
Offices
Schedule D 1.F, the 25 largest
  • , 1 employees
What changed
consecutive filings, newest first
  • Accounts · 642 to 550
    Jun 27, 2025 to May 5, 2026
  • Charity clients · unset to 3.0
    Jun 27, 2025 to May 5, 2026
  • Corporate clients · unset to 4.0
    Jun 27, 2025 to May 5, 2026
  • HNW clients · 45 to 51
    Jun 27, 2025 to May 5, 2026
  • Individual clients · 120 to 119
    Jun 27, 2025 to May 5, 2026
  • Pension plan clients · unset to 3.0
    Jun 27, 2025 to May 5, 2026
  • Pooled vehicle clients · 1 to 0
    Jun 27, 2025 to May 5, 2026
  • Discretionary RAUM · $260M to $343M
    Jun 27, 2025 to May 5, 2026
  • HNW RAUM · $204M to $246M
    Jun 27, 2025 to May 5, 2026
  • Individual RAUM · $28.9M to $22.4M
    Jun 27, 2025 to May 5, 2026
  • Non-discretionary RAUM · $32.2M to $22.8M
    Jun 27, 2025 to May 5, 2026
  • Pension RAUM · $8.8M to $12.7M
    Jun 27, 2025 to May 5, 2026
  • RAUM · $293M to $366M
    Jun 27, 2025 to May 5, 2026
  • Accounts · 576 to 642
    Feb 7, 2025 to Jun 27, 2025
  • BD registered reps · 5 to 10
    Feb 7, 2025 to Jun 27, 2025
  • Charity clients · 4.0 to unset
    Feb 7, 2025 to Jun 27, 2025
  • Corporate clients · 6.0 to unset
    Feb 7, 2025 to Jun 27, 2025
  • HNW clients · 47 to 45
    Feb 7, 2025 to Jun 27, 2025
  • Individual clients · 131 to 120
    Feb 7, 2025 to Jun 27, 2025
  • Pension plan clients · 3.0 to unset
    Feb 7, 2025 to Jun 27, 2025
  • Pooled vehicle clients · 0 to 1
    Feb 7, 2025 to Jun 27, 2025
  • Assets in custody · $28.2M to $46.1M
    Feb 7, 2025 to Jun 27, 2025
  • Employees · 8 to 12
    Feb 7, 2025 to Jun 27, 2025
  • Financial planning clients · 26-50 to 26-50
    Feb 7, 2025 to Jun 27, 2025
  • State-registered IARs · 0 to 11
    Feb 7, 2025 to Jun 27, 2025
  • Discretionary RAUM · $232M to $260M
    Feb 7, 2025 to Jun 27, 2025
  • HNW RAUM · $155M to $204M
    Feb 7, 2025 to Jun 27, 2025
  • Individual RAUM · $53.8M to $28.9M
    Feb 7, 2025 to Jun 27, 2025
  • Non-discretionary RAUM · $19.4M to $32.2M
    Feb 7, 2025 to Jun 27, 2025
  • Pension RAUM · $7.0M to $8.8M
    Feb 7, 2025 to Jun 27, 2025
  • RAUM · $252M to $293M
    Feb 7, 2025 to Jun 27, 2025
  • Accounts · 529 to 576
    Jan 25, 2024 to Jun 14, 2024
  • Advisory employees · 7 to 6
    Jan 25, 2024 to Jun 14, 2024
  • BD registered reps · 6 to 5
    Jan 25, 2024 to Jun 14, 2024
  • Charity clients · 0 to 4
    Jan 25, 2024 to Jun 14, 2024
  • Corporate clients · 5 to 6
    Jan 25, 2024 to Jun 14, 2024
  • HNW clients · 52 to 47
    Jan 25, 2024 to Jun 14, 2024
  • Individual clients · 117 to 131
    Jan 25, 2024 to Jun 14, 2024
  • Pension plan clients · unset to 3.0
    Jan 25, 2024 to Jun 14, 2024
  • Assets in custody · $0 to $28.2M
    Jan 25, 2024 to Jun 14, 2024
Signals
10 dated events
  • James Theodore Celico no longer holds an investment adviser registration (last listed at North Capital on the 2026-09-16 feed)
    Sep 16, 2026 · Advisor registration ended · derived
  • North Capital reported 11 state-registered advisory representatives, up from 0 (2025-02-07 to 2025-06-27)
    Jun 27, 2025 · Advisor headcount change · derived
  • Nicholas Brian Stecklein left North Capital for Diversify Wealth Management, Llc (registered 2025-03-10)
    Jun 10, 2024 · Advisor changed firm · fact
  • Antonio Juan Garcia (Managing Director) no longer on Schedule A of North Capital (listed 2022-07-20, absent 2023-06-05)
    Jun 5, 2023 · Control person left · inference
  • Juan A Garcia left North Capital for Morgan Stanley (registered 2022-10-25)
    Oct 25, 2022 · Advisor changed firm · fact
  • Sharon Bridgot Basile (Managing Director) no longer on Schedule A of North Capital (listed 2021-06-09, absent 2021-07-22)
    Jul 22, 2021 · Control person left · inference
  • Evans Frances Harkins (Managing Director) no longer on Schedule A of North Capital (listed 2019-11-01, absent 2020-06-29)
    Jun 29, 2020 · Control person left · inference
  • Donald Paul Bowers (Managing Director) appeared on Schedule A of North Capital
    Mar 22, 2019 · Control person joined · fact
  • Sharon Bridgot Basile (Managing Director) appeared on Schedule A of North Capital
    Mar 22, 2019 · Control person joined · fact
  • North Capital filed its initial SEC registration (Form ADV)
    May 10, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
Business phone
888-625-7768reportedpublished by the firm, firm site, Sep 16, 2026
Website
northcapital.com/advisoryreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone
888-625-7768 X1reportedpublic record, Form ADV, May 5, 2026
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Independent wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor
$33.3Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026