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Scott Michael Sams

CIMA®
NORTH CAPITAL
Waukee, IA
·CRD# 4465912·24 years registered

Professional Summary

Scott Michael Sams, CIMA® is a registered financial advisor currently at NORTH CAPITAL located in Waukee, Iowa and NORTH CAPITAL PRIVATE SECURITIES CORPORATION located in Salt Lake City, Utah. Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Scott has worked at 5 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 3 and Series 7 exams.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

More Resources

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Credentials

CIMA®
Certified Investment Management Analyst

Years of Experience

24 years registered in the securities industry

Current & Past Employments

Current

NORTH CAPITALCurrent·CRD# 148802
RIA
Waukee, IA
June 17, 2026 - Present
NORTH CAPITAL PRIVATE SECURITIES CORPORATIONCurrent·CRD# 154559
BD
623 E Ft Union Blvd Suite 101, Salt Lake City, UT 84047
June 23, 2026 - Present

Past

PRINCIPAL FUNDS DISTRIBUTOR, INC.Past·CRD# 43261
BD
Des Moines, IA
January 16, 2016 - August 1, 2024
PRINCIPAL ASSET MANAGEMENTPast·CRD# 109002
RIA
Des Moines, IA
February 13, 2006 - August 1, 2024
PRINCIPAL SECURITIES, INC.Past·CRD# 1137
BD
Des Moines, IA
February 8, 2002 - April 13, 2016

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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 - SEC (5/17/2017 Approved)
California
Registered Investment Advisory firm - California (7/2/2017 Terminated)
Utah
Registered Investment Advisory firm - Utah (6/2/2017 Terminated)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

623 E Fort Union Blvd. Suite 101, Salt Lake City, UT 84047

Phone Number

888-625-7768 X1

# of Employees

12

SEC notice filing (5 States and Territories)

Registered to provide investment advisory services in 5 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (5/5/2026)

Regulatory Assets Under Management

Total Number of Accounts

550

AUM (Assets Under Management)

$365,760,255

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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) Access/supervised person of MLG Capital, and will perform certain functions for it and its affiliates. Yes, it is investment related, 19000 W. Bluemound Rd, Suite A, Brookfield, WI 53045, private real estate investment management company, VP of Institutional Business Development is position/title, start date 6/3/2026, 160 hours per month (40 hours per week), 6.5 hours during market/securities trading hours, duties are to lead business development/raising capital with institutional investors for the firm's private fund series. 2) Grand View University Investment Sub-Committee of the Finance Committee, yes it is investment related, 1200 Grand View Ave Des Moines, IA 50316. The GVU Investment Sub-Committee is part of the Finance Committee and is charged with the oversight of the endowment investments, including retention of an independent investment consultant, his position is committee member, start date is 1/11/19, 1 hour a month, 1 hour during market hours, duties are to coordinate the activities of investment managers, the investment consultant and the investment custodian and make recommendations to the Finance Committee.

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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 - SEC (5/17/2017 Approved)
California
Registered Investment Advisory firm - California (7/2/2017 Terminated)
Utah
Registered Investment Advisory firm - Utah (6/2/2017 Terminated)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Alabama
(6/23/2026)
RR
Alaska
(6/23/2026)
RR
Arizona
(6/23/2026)
RR
Arkansas
(6/23/2026)
RR
California
(6/23/2026)
RR
Colorado
(6/23/2026)
RR
Connecticut
(6/23/2026)
RR
Delaware
(6/23/2026)
RR
District of Columbia
(6/23/2026)
RR
Florida
(6/23/2026)
RR
Georgia
(6/23/2026)
RR
Hawaii
(6/23/2026)
RR
Idaho
(6/23/2026)
RR
Illinois
(6/23/2026)
RR
Indiana
(6/23/2026)
RR
Iowa
(6/23/2026)
RR
Kansas
(6/23/2026)
RR
Kentucky
(6/23/2026)
RR
Louisiana
(6/23/2026)
RR
Maine
(6/23/2026)
RR
Maryland
(6/23/2026)
RR
Massachusetts
(6/23/2026)
RR
Michigan
(6/23/2026)
RR
Minnesota
(6/23/2026)
RR
Mississippi
(6/23/2026)
RR
Missouri
(6/23/2026)
RR
Montana
(6/23/2026)
RR
Nebraska
(6/23/2026)
RR
Nevada
(6/23/2026)
RR
New Hampshire
(6/23/2026)
RR
New Jersey
(6/23/2026)
RR
New Mexico
(6/23/2026)
RR
New York
(6/23/2026)
RR
North Carolina
(6/23/2026)
RR
North Dakota
(6/23/2026)
RR
Ohio
(6/24/2026)
RR
Oklahoma
(6/23/2026)
RR
Oregon
(6/23/2026)
RR
Pennsylvania
(6/23/2026)
RR
Rhode Island
(6/23/2026)
RR
South Carolina
(6/23/2026)
RR
South Dakota
(6/23/2026)
RR
Tennessee
(6/23/2026)
RR
Texas
(6/23/2026)
IAR
Utah
(6/17/2026)
RR
Utah
(6/23/2026)
RR
Vermont
(6/23/2026)
RR
Virginia
(6/23/2026)
RR
Washington
(6/23/2026)
RR
West Virginia
(6/23/2026)
RR
Wisconsin
(6/23/2026)
RR
Wyoming
(6/23/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Jan 2006About the Series 66 exam

Series 65 — Uniform Investment Adviser Law Examination

Passed Feb 2002About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jan 2002About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 3 — National Commodity Futures Examination

Passed Dec 2013About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Feb 2002About the Series 7 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Scott Michael Sams's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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