Unclaimed Profile

James Patrick Dowd

NORTH CAPITAL, INC.·SALT LAKE CITY, Utah

SIE, Series 3, Series 7, Series 14, Series 24, Series 27, Series 57, Series 63, Series 65, Series 79, Series 99TOCFAClean record23 years registeredNORTH CAPITAL, INC.

623 E FORT UNION BLVD., SALT LAKE CITY, UT 84047CRD# 2109413Firm CRD# 148802

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

James Patrick Dowd · SALT LAKE CITY, UT

Registration

CRD #2109413 · NORTH CAPITAL, INC. · 23 years registered

Brand Profile

Not yet started

Career History

NORTH CAPITAL

Jan 2021 – present

NORTH CAPITAL

Mar 2009 – Dec 2020

SALT LAKE CITY, UT

BEAR STEARNS ASSET MANAGEMENT INC

Feb 2005 – Oct 2008

SAN FRANCISCO, CA

NORTH CAPITAL LLC

May 2003 – Dec 2003

SAN FRANCISCO, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 3

Series 7

Series 14

Series 24

Series 27

Series 57

Series 63

Series 65

Series 79

Series 99TO

Registration record

First registered · May 27, 2003

Years registered · 23

Professional designation · CFA

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

NORTH CAPITAL, INC.

CRD 148802 · SEC 801-110598

AUM

$252M

Regulatory assets under management

Employees

576 client accounts

Services offered by NORTH CAPITAL, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Portfolio management (pooled investments)

Selection of other advisers

Other

Client types served by the firm

Per Form ADV

Individuals

Institutional Investors

High Net Worth Individuals

View all advisors at NORTH CAPITAL, INC. →

Introduction

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Frequently Asked Questions

What services does James Patrick Dowd offer?

James Patrick Dowd specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in SALT LAKE CITY, Utah for a consultation.

What are James Patrick Dowd's credentials?

James Patrick Dowd holds the following professional designations: CFA. These credentials require rigorous education, examination, and ongoing continuing education.

Where is James Patrick Dowd located?

James Patrick Dowd is based in SALT LAKE CITY, Utah, working with NORTH CAPITAL, INC.. Their office serves clients in the SALT LAKE CITY metropolitan area and surrounding communities.

How does James Patrick Dowd charge for services?

James Patrick Dowd's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is NORTH CAPITAL, INC.?

NORTH CAPITAL, INC. has approximately 8 employees and manages $252M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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