JD
James P. Dowd
NORTH CAPITAL
Salt Lake City, UT 84047
Some features on this profile are disabled
CRD#: 2109413
JD
Professional summary
James Patrick Dowd, who also goes by James P Dowd, is a registered financial advisor currently at NORTH CAPITAL located in Salt Lake City, Utah and NORTH CAPITAL PRIVATE SECURITIES CORPORATION located in Salt Lake City, Utah.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. James has worked at 8 firms and has passed the Series 63, Series 65, Series 99TO, Series 57, SIE, Series 79, Series 3, Series 7, Series 24, Series 14 and Series 27 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James P Dowd
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1) NORTH CAPITAL, INC., CO-LOCATED WITH THE MEMBER FIRM. INVESTMENT-RELATED. MANAGING DIRECTOR AND CIO. NORTH CAPITAL INC. IS A REGISTERED INVESTMENT ADVISOR. 80 HRS / MO, 60 HRS DURING MARKET HOURS. BUSINESS DEVELOPMENT, INVESTMENT STRATEGY, SUPERVISION OF EMPLOYEES. OCT 2008 (2) NORTH CAPITAL ABSOLUTE RETURN FUND, LTD. CO-LOCATED WITH THE MEMBER FIRM. INVESTMENT VEHICLE FOR THE PURPOSE OF SEEDING CERTAIN INVESTMENT STRATEGIES OF NORTH CAPITAL INC. NO TITLE. INVESTMENT-RELATED. NO ASSETS AND NO BUSINESS ACTIVITY. 0 HRS / MO. NOV 2010 (3) NORTH CAPITAL INVESTMENT TECHNOLOGY INC. (NCIT) CO-LOCATED WITH THE MEMBER FIRM. NOT INVESTMENT-RELATED. MANAGING DIRECTOR. DE CORP. HOLDS CERTAIN INTELLECTUAL PROPERTY ASSETS OF NORTH CAPITAL GROUP COMPANIES ALONG WITH THE COMMON EQUITY OF NORTH CAPITAL PRIVATE SECURITIES CORP., NORTH CAPITAL INC., AND NORTH CAPITAL ADMINISTRATOR SERVICES. PROVIDES SOFTWARE SERVICES. 160 HRS / MO. 100 DURING MARKET HOURS. JAN 2014 (4) NORTH CAPITAL SEED VENTURES LLC (NCSV) CO-LOCATED WITH THE MEMBER FIRM. INVESTMENT-RELATED. DE LIMITED LIABILITY COMPANY FORMED FOR THE PURPOSE OF INVESTING IN CERTAIN AFFILIATES AND/OR CUSTOMERS OF NCPS AND/OR OTHER NON-AFFILIATED COMPANIES. 0HRS / MO. (5) CRYSTAL SPRINGS RANCH, INC. - CHAIRMAN, BOARD OF DIRECTORS. NORTH CAPITAL INC. AND I RECEIVE COMPENSATION AND DIRECTOR FEES. (6) TRIANGLE R MANAGEMENT CO. - BOARD OF DIRECTORS. NORTH CAPITAL INC. AND I RECEIVE COMPENSATION AND DIRECTOR FEES. (7) GUARDD, INC. - DIRECTOR. NCIT OWNS A 1/3 INTEREST IN THE COMPANY. NO PERSONAL COMPENSATION. (8) NORTH CAPITAL ADMINISTRATOR SERVICES (NCAS) - WHOLLY-OWNED SUBSIDIARY OF NCIT. INVESTMENT RELATED. (9) INCAFFEINATE QUALIFIED OPPORTUNITY FUND - OBA - INVESTMENT RELATED - FAMILY INVESTMENT ENTITY - 1 HOUR PER MONTH. NO COMPENSATION. (10) INCAFFEINATE FINTECH STUDIO, INC. - OBA - INVESTMENT RELATED - FINTECH VENTURE STUDIO - OWNED BY ME AND FAMILY MEMBERS. 2 HOUR PER WEEK. NO COMPENSATION. (11) OCKSPOT MONTANA LLC - ASSET HOLDING COMPANY - NO BUSINESS. DISREGARDED ENTITY OWNED BY ME. 0 HOURS PER MONTH. NO COMPENSATION. (12) OCKHAM FAMILY PARTNERS LLC - FAMILY ASSET HOLDING COMPANY - NO BUSINESS. 0 HOURS PER MONTH. NO COMPENSATION. (13) OCKHAM MANAGEMENT INC. - WY PRIVATE FAMILY TRUST COMPANY. 0 HOURS PER MONTH. NO COMPENSATION. (14) RAE MANAGEMENT COMPANY - WY PRIVATE FAMILY TRUST COMPANY FOR LAUGHLIN FAMILY. SECRETARY AND DIRECTOR. 1 HOUR PER MONTH. NCAS AND/OR NCI RECEIVE FEES FOR SERVICES. NO PERSONAL COMPENSATION. (15) Ockbox, Inc. This is a personal holding company - previously was an OBA as Evisor Investment Advisory Inc. and before that was Stockframers, Inc. and now renamed. It does not conduct any business. However, it has appreciated assets that cannot be sold without incurring significant tax liabilities. 0 hrs / wk. (16) Mount Nebo Securities, LLC. This company is an inactive LLC set up as a subsidiary of NCIT. It may be activated at a future date. 0 hrs / wk. (17) Pfeifferhorn Securities, LLC. This company is an inactive LLC set up as a subsidiary of NCIT. It may be activated at a future date. 0 hrs / wk. (18) Timpanogos Securities, LLC. This company is an inactive LLC set up as a subsidiary of NCIT. It may be activated at a future date. 0 hrs / wk. (19) North Capital Agency Brokerage. This company is not yet active. It has registered to become a broker-dealer and, once approved, will be the primary BD for North Capital's agency brokerage activity. 2 hrs / wk. (20) Kings Peak Securities, LLC. This company is the parent company of North Capital Agency Brokerage, which has been formed but is not yet operating. 2 hrs / wk. (21) Box Elder Securities, LLC. This company is an inactive LLC set up as a subsidiary of NCIT. It may be activated at a future date. 0 hrs / wk. (22) North Capital Funds Trust. Chair of the Board of Directors of the Funds Trust, which is an affiliate of NCPS. 1 hr / wk. (23) SSE Development. VP. Officer of convenience. 1 hr/wk.
CRS (Client Relationship Summary) - RIA
Click below to view James Patrick Dowd's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 27, 2021 - Present
NORTH CAPITAL
Office #1: 623 E Fort Union Blvd. Suite 101, Salt Lake City, UT 84047RIA
CRD#: 148802
Salt Lake City, UT
Current
January 24, 2011 - Present
NORTH CAPITAL PRIVATE SECURITIES CORPORATION
Office #1: 623 E Ft Union Blvd Suite 101, Salt Lake City, UT 84047Office #2: 623 E Ft Union Blvd Suite 101, Salt Lake City, UT 84047BD
CRD#: 154559
Salt Lake City, UT
Current
August 13, 2025 - Present
Office #1: 623 E Fort Union Blvd., Suite 101, Salt Lake City, UT 84047
SALT LAKE CITY, UT
Past
March 18, 2022 - August 25, 2023
MOBILITY SECURITIES, LLC
BD
CRD#: 285222
SALT LAKE CITY, UT
Past
February 7, 2020 - July 5, 2023
PRIVATE BROKERS, LLC
BD
CRD#: 165758
NEW YORK, NY
Past
March 6, 2009 - December 31, 2020
NORTH CAPITAL
RIA
CRD#: 148802
SALT LAKE CITY, UT
Past
February 28, 2005 - October 2, 2008
BEAR STEARNS ASSET MANAGEMENT INC.
RIA
CRD#: 113359
SAN FRANCISCO, CA
Past
October 8, 2003 - October 2, 2008
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
SAN FRANCISCO, CA
Past
May 27, 2003 - December 16, 2003
NORTH CAPITAL LLC
RIA
CRD#: 108402
SAN FRANCISCO, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NC
NORTH CAPITAL
COMPASS FAMILY OFFICES | NORTH CAPITAL, INC. | NORTH CAPITAL INVESTMENT MANAGEMENT | NORTH CAPITAL | EVISOR | COMPASS INVESTMENTS
CRD#: 148802 / SEC#: 801-110598
RIA
Registered Investment Advisory firm - (5/17/2017 Approved)California
Registered Investment Advisory firm - (7/2/2017 Terminated)Utah
Registered Investment Advisory firm - (6/2/2017 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(2/5/2014)
RR
Alaska(6/23/2015)
RR
Arizona(2/3/2014)
RR
Arkansas(1/16/2014)
RR
California(1/27/2011)
IAR
California(1/27/2021)
RR
Colorado(1/31/2014)
RR
Connecticut(8/21/2013)
RR
Delaware(3/24/2014)
RR
District of Columbia(1/31/2014)
RR
Florida(7/8/2013)
RR
Georgia(10/7/2013)
RR
Hawaii(2/13/2014)
RR
Idaho(5/15/2015)
RR
Illinois(8/26/2013)
RR
Indiana(5/15/2015)
RR
Iowa(1/14/2014)
RR
Kansas(5/19/2015)
RR
Kentucky(5/15/2015)
RR
Louisiana(1/21/2014)
RR
Maine(2/10/2014)
RR
Maryland(1/9/2014)
RR
Massachusetts(8/28/2013)
RR
Michigan(1/30/2014)
RR
Minnesota(2/3/2014)
RR
Mississippi(1/29/2014)
RR
Missouri(5/28/2014)
RR
Montana(1/27/2014)
RR
Nebraska(2/11/2014)
RR
Nevada(1/29/2014)
RR
New Hampshire(3/6/2014)
RR
New Jersey(8/27/2013)
RR
New Mexico(2/14/2014)
RR
New York(7/8/2013)
IAR
New York(12/18/2021)
RR
North Carolina(3/20/2014)
RR
North Dakota(2/24/2014)
RR
Ohio(2/5/2014)
RR
Oklahoma(1/15/2014)
RR
Oregon(2/6/2014)
RR
Pennsylvania(7/8/2013)
RR
Puerto Rico(2/14/2014)
RR
Rhode Island(1/14/2014)
RR
South Carolina(2/6/2014)
RR
South Dakota(1/14/2014)
RR
Tennessee(2/28/2014)
RR
Texas(8/28/2013)
IAR
Texas(1/27/2021)
RR
Utah(7/1/2013)
IAR
Utah(1/27/2021)
RR
Vermont(10/9/2013)
RR
Virgin Islands(1/28/2014)
RR
Virginia(4/17/2014)
RR
Washington(5/15/2015)
RR
West Virginia(3/6/2014)
RR
Wisconsin(10/3/2013)
RR
Wyoming(1/31/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
NC
NORTH CAPITAL
COMPASS FAMILY OFFICES | NORTH CAPITAL, INC. | NORTH CAPITAL INVESTMENT MANAGEMENT | NORTH CAPITAL | EVISOR | COMPASS INVESTMENTS
CRD#: 148802 / SEC#: 801-110598
RIA
Registered Investment Advisory firm - (5/17/2017 Approved)California
Registered Investment Advisory firm - (7/2/2017 Terminated)Utah
Registered Investment Advisory firm - (6/2/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
623 E Fort Union Blvd. Suite 101, Salt Lake City, UT 84047
Mailing Address
Phone number
888-625-7768 X1
Established
Firm type
Fiscal year end
# of Employees
12
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 642 |
| AUM (Assets Under Management) | $ 292,582,491 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
