James Patrick Dowd

Current Employers

Employment History

• 10/2008 → Present
  North Capital, Inc.
  San Francisco, CA
• 07/2010 → Present
  North Capital Private Securities Corp.
  San Francisco, CA
• 04/2019 → 07/2023
  Public Brokers, Llc
  Salt Lake City, UT
• 03/2022 → 08/2023
  Mobility Securities Llc
  Salt Lake City, UT
• 10/2023 → Present
  North Capital Agency Brokerage Llc
  Salt Lake City, UT

Previous Registrations

• 2009-03-06 → 2020-12-31
  North Capital
  Salt Lake City, UT
• 2005-02-28 → 2008-10-02
  Bear Stearns Asset Management Inc.
  San Francisco, CA
• 2003-05-27 → 2003-12-16
  North Capital Llc
  San Francisco, CA

Other Businesses

(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) TRIANGLE R MANAGEMENT CO. - BOARD OF DIRECTORS. NORTH CAPITAL INC. AND I RECEIVE COMPENSATION AND DIRECTOR FEES. (6) GUARDD, INC. - DIRECTOR. NCIT OWNS A 1/3 INTEREST IN THE COMPANY. NO PERSONAL COMPENSATION. (7) NORTH CAPITAL ADMINISTRATOR SERVICES (NCAS) - WHOLLY-OWNED SUBSIDIARY OF NCIT. INVESTMENT RELATED. (8) INCAFFEINATE QUALIFIED OPPORTUNITY FUND - OBA - INVESTMENT RELATED - FAMILY INVESTMENT ENTITY - 1 HOUR PER MONTH. NO COMPENSATION. (9) INCAFFEINATE FINTECH STUDIO, INC. - OBA - INVESTMENT RELATED - FINTECH VENTURE STUDIO - OWNED BY ME AND FAMILY MEMBERS. 2 HOUR PER WEEK. NO COMPENSATION. (10) OCKSPOT MONTANA LLC - ASSET HOLDING COMPANY - NO BUSINESS. DISREGARDED ENTITY OWNED BY ME. 0 HOURS PER MONTH. NO COMPENSATION. (11) OCKHAM FAMILY PARTNERS LLC - FAMILY ASSET HOLDING COMPANY - NO BUSINESS. 0 HOURS PER MONTH. NO COMPENSATION. (12) OCKHAM MANAGEMENT INC. - WY PRIVATE FAMILY TRUST COMPANY. 0 HOURS PER MONTH. NO COMPENSATION. (13) 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. (14) 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. (15) 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. (16) 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. (17) Timpanogos Securities, LLC. Inactive LLC set up as a subsidiary of NCIT. It may be activated at a future date. 0 hrs / wk. (18) Kings Peak Securities, LLC. Parent company of North Capital Agency Brokerage, which has been formed but is not yet operating. 2 hrs / wk. (19) Box Elder Securities, LLC. Inactive LLC set up as a subsidiary of NCIT. It may be activated at a future date. 0 hrs / wk. (20) North Capital Funds Trust. Chair of the Board of Directors of the Funds Trust, which is an affiliate of NCPS. 1 hr / wk. (21) SSE Development. VP. Officer of convenience. 1 hr/wk. (22) FINRA: District 3 Representative on the FINRA regional committee for the Western Region. Position involves providing counsel on proposed rules, reviewing disciplinary cases, and otherwise supporting FINRA in its activities delegated to the regional committee. (23) North Capital Trust Company: Board member. Perform business development functions for the company. 5 hrs/week.

Exams

• S63 Uniform Securities Agent State Law Examination
  2004-01-14
• S65 Uniform Investment Adviser Law Examination
  2003-05-21

Designations

Other Names

• James P Dowd
• Jim P Dowd
• Jim Dowd
• James Dowd
• James Patrick Dowd
• Jim Patrick Dowd