NORTH CAPITAL

RIASEC RegisteredEst. 2017
Total AUM
$366M
Discretionary
$343M
94% of AUM
Avg account
$665K
Accounts
550
Employees
12
Advisory reps
11

Firm details

Headquarters
MIDVALE, Utah
CRD number
148802
Registered since
May 17, 2017
Website
advisory.northcapital.com
Custodians
CHARLES SCHWAB & CO., INC., INTERACTIVE BROKERS LLC
Fee structure
Percentage of AUM, Hourly Charges, Fixed Fees
Client types
  • HNWI67.36%
  • Investment Companies18.24%
  • Individuals6.11%
  • Pension & Profit Sharing Plans3.47%
  • Banking / Thrift Institutions1.98%
Services
Financial PlanningPortfolio Management for IndividualsPortfolio Management for Investment CompaniesPortfolio Management for Institutional Clients

Firm profile

FINTRX

Overview

North Capital is a corporation operating as a conventional broker-dealer that provides both advisory and brokerage services to individuals, families and institutional clients. The firm has been SEC-registered since 2017 and mixes advisory work—financial planning and portfolio management for individuals, businesses, investment companies and small institutions—with broker-dealer and insurance-company affiliations. It also reports CPO/CTA activity. North Capital charges a mix of fee structures (percentage of AUM, hourly and fixed fees) and is not positioned as a capital allocator or an active ESG investor.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Read the full firm profile in FINTRX →

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Public Funds/Mutual Funds 62%, US Government Bonds 19%, Exchange Traded Equities 15%, Investment Grade Corp Bonds 2%, State & Local Bonds 1%, Cash & Cash Equivalents 1%62%
  • Public Funds/Mutual Funds62%
  • US Government Bonds19%
  • Exchange Traded Equities15%
  • Investment Grade Corp Bonds2%
  • State & Local Bonds1%

Owners & executives

3 of 3

  • JAMES CELICO

    CEOCRD 2356996

  • SARA JUDD

    Chief Operating OfficerCRD 6359976

  • JOSEPH ANDERSON

    Chief Compliance OfficerCRD 4644204

Contacts

3 of 8

  • Bailee Tate

    Due Diligence AnalystCRD 7564980

  • RICHARD NELSON

    Managing DirectorCRD 6510728

  • MICHAEL WEAVER

    Registered RepresentativeCRD 4839552

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Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 46

Active vs passive

$123M in ETFs

Passive

75%

$91.4M

Active

23%

$31.1M

ETFProviderStyleCategoryValueShares% of portfolio
STATE STREET(R) SPDR(R) BLOOMBERG 1-3 MONTH T-BILL ETF (BIL)State StreetPassiveUltrashort Bond$33.9M370,28427.69%
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Location

Primary office

MIDVALE, UT

SALT LAKE

Location

MIDVALE, UT

Headquartered in MIDVALE, UT, anchoring the Salt Lake City-Provo-Orem, UT metro in the West.

Metro area
Salt Lake City-Provo-Orem, UT
Region
West
County
SALT LAKE
Address
623 E Fort Union Blvd
Time zone
MT (UTC-7)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth