North Capital, Inc.
- Regulatory AUM
- $366M
- Discretionary
- $343M
- Clients
- 182
- Avg AUM / client
- $2.0M
- Accounts
- 550
- Employees
- 12
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of May 05, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 119 | $22.4M | 6.11% |
| High net worth individuals | 51 | $246M | 67.4% |
| Banking or thrift institutions | 1 | $7.2M | 1.98% |
| Investment companies | 1 | $66.7M | 18.2% |
| Pension and profit sharing plans | 3 | $12.7M | 3.47% |
| Charitable organizations | 3 | $6.5M | 1.78% |
| Corporations and other businesses | 4 | $3.9M | 1.05% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Alta Ski Lifts Company Retirement Plan Alta Ski Lifts Company Dba Alta Ski Area | 2024 |
People (11)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| James Patrick Dowd | President, Cio | CFA | Oct 2008 (18y) | ≈ 18.75% – 50% via North Capital Investment Technology, Inc. |
| Paul Donald Bowers | Managing Director | Nov 2018 (8y) | Less than 5% | |
| Joseph Carl Anderson | Chief Compliance Officer | Chartered Financial Consultant | Jan 2021 (6y) | Less than 5% |
| Michael T Weaver | Registered representative | Jan 2021 (6y) | ||
| Richard Grant Nelson | Registered representative | Jan 2021 (6y) | ||
| Bailee Tate | Registered representative | Sep 2022 (4y) | ||
| John Kiernan Figge | Registered representative | Oct 2022 (4y) | ||
| James Theodore Celico | Registered representative | May 2023 (3y) | ||
| Minh Le | Registered representative | CFA | Jul 2024 (2y) | |
| Sara Grayce Judd | Registered representative | Dec 2024 (2y) | ||
| Scott Michael Sams | Registered representative | Jun 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| North Capital Investment Technology, Inc. | Owner | Sep 2019 | A | 75% or more |
| Templeton International Inc. | Member | Aug 2017 | B | ≈ 14.06% – 50% via Ft Fintech Holdings Llc |
| Templeton Worldwide, Inc. | Shareholder | Sep 1992 | B | ≈ 10.55% – 50% via Templeton International Inc. |
| Legg Mason Inc. | Shareholder | Jun 2021 | B | ≈ 7.91% – 50% via Templeton Worldwide, Inc. |
| Franklin Resources, Inc. | Shareholder | Jul 2020 | B | ≈ 5.93% – 50% via Legg Mason Inc. |
| Ft Fintech Holdings Llc | Shareholder Series Seed, Series A, Series A 1 | Feb 2022 | B | ≈ 18.75% – 50% via North Capital Investment Technology, Inc. |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- James Patrick Dowd: 25% – 50% of North Capital Investment Technology, Inc. × 75% – 100% direct ≈ 18.75% – 50% of the firm
- Templeton International Inc.: 75% – 100% of Ft Fintech Holdings Llc × 25% – 50% of North Capital Investment Technology, Inc. × 75% – 100% direct ≈ 14.06% – 50% of the firm
- Templeton Worldwide, Inc.: 75% – 100% of Templeton International Inc. × 75% – 100% of Ft Fintech Holdings Llc × 25% – 50% of North Capital Investment Technology, Inc. × 75% – 100% direct ≈ 10.55% – 50% of the firm
- Legg Mason Inc.: 75% – 100% of Templeton Worldwide, Inc. × 75% – 100% of Templeton International Inc. × 75% – 100% of Ft Fintech Holdings Llc × 25% – 50% of North Capital Investment Technology, Inc. × 75% – 100% direct ≈ 7.91% – 50% of the firm
- Franklin Resources, Inc.: 75% – 100% of Legg Mason Inc. × 75% – 100% of Templeton Worldwide, Inc. × 75% – 100% of Templeton International Inc. × 75% – 100% of Ft Fintech Holdings Llc × 25% – 50% of North Capital Investment Technology, Inc. × 75% – 100% direct ≈ 5.93% – 50% of the firm
- Ft Fintech Holdings Llc: 25% – 50% of North Capital Investment Technology, Inc. × 75% – 100% direct ≈ 18.75% – 50% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Alta Ski Lifts Company Retirement Plan | Alta Ski Lifts Company Dba Alta Ski Area | 230 | $4.8M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 05/05/2026 | 1.16 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Portfolio management for businesses/institutional clients
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $274M (75% of AUM) May 2026
- Interactive Brokers $9.1M (2% of AUM) May 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: May 05, 2026.
View current Form ADV (SEC/IAPD) ↗