SourcingSourcing

NORTH CAPITAL, INC.

B51
CRD 148802·SEC 801-110598·SALT LAKE CITY, UT
AUM
$292.6M
$100M-$500M
Est. Revenue
$2.9M
@ 1% on AUM
Est. EBITDA
$878K
@ 30% margin
Est. Deal Value
$7.0M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
NORTH CAPITAL, INC.
CRD
148802
SEC file #
801-110598
EIN
000000000
DBA names
North Capital

Economics

AUM
$292.6M
AUM band
$100M-$500M
AUM trajectory
'20'26
$270.3M → $292.6M▲ +8%
Client mix
Individuals Other120
Individuals High Net Worth45
Investment Companies1
Pooled Investment Vehicles1

Operations

Employees (total)
12
Advisory staff (per ADV)
6
Advisory staff (5-yr trend)
'20'26
9 advisors → 6 advisors▼ -33%
Primary office
SALT LAKE CITY UT
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — investment companiesPortfolio mgmt — businesses
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
06/27/2025
ADV-W filed at
—
Website
linkedin.com/in/dowdjp(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
NORTH CAPITAL INVESTMENT
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
4
Control Persons
NORTH CAPITAL INVESTMENT
BOWERS, PAUL, DONALD
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
fallback_guess:north.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No
Form 5500 Plan Count
1
Form 5500 Total Compensation
14,260
Form 5500 Compensation Trajectory 3y
202514,260
Form 5500 Plan Count Trajectory 3y
20251
Schedule C Total Compensation
14,260
Schedule C Service Provider Rows
1

SEC EDGAR

Edgar Cik
0001537642
Edgar Registered
Yes
Edgar Filing Count
13
Edgar First Filing Date
2012-01-06
Edgar Last Filing Date
2015-05-07
Edgar Form D Count
13
Edgar Form D Offerings
2015-05-072015-05-07 · 0001183740-15-000093
2014-10-152014-10-15 · 0001183740-14-000322
Edgar Former Names
BIG NORTH CAPITAL INC

Compliance & brand

Firm Registration Status
active

All other collected signals (11)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
10
Bc Firm Active IA Count
11
Bc Firm IAR Count
11
Custodian Candidates
Full
Charles Schwab6
E*trade4
Interactive Brokers2
Edgar Addresses
Mailing
SUITE 350-885 DUNSMUIR STREETVANCOUVER, A1, V6C 1N5
Business
SUITE 350-885 DUNSMUIR STREETVANCOUVER, A1, V6C 1N5
Edgar EIN
000000000
Edgar Recent Filings
D2015-05-07 · 0001183740-15-000093
D/A2014-10-15 · 0001183740-14-000322
Firm Has Custody
Yes
Mailing Office Differs
No
Trust Company Affiliate
No

People (11)

11
BOWERS, PAUL, DONALD
IAR · Executive Officer · 2.5%
1799341
ANDERSON, JOSEPH, CARL
IAR · Executive Officer · 2.5%
4644204
DOWD, JAMES, PATRICK
IAR · Executive Officer · 2.5%
2109413
John Kiernan Figge
IAR
7617502
SARA GRAYCE JUDD
IAR
6359976
JAMES Theodore CELICO
IAR
2356996
Bailee Tate
IAR
7564980
Kent Stone
IAR
7972529
RICHARD GRANT NELSON
IAR
6510728
Minh Le
IAR
6625932
MICHAEL T WEAVER
IAR
4839552