James Dowd, financial advisor Salt Lake City UT

James Dowd

CRD Number: 2109413
Current Firm: North Capital

James Dowd (CRD# 2109413) is an Investment Advisor Representative working at North Capital in San Francisco, CA and has over 30 years of experience in the finance industry.

Prior to forming North Capital, Mr. Dowd, who has 30 years of experience in the global financial markets, was a Senior Managing Director and Head of the Hedge Fund Advisory and Fund of Funds Team at Bear Stearns Asset Management. At Bear, he led the portfolio management team in advising clients and allocating capital to non-affiliate hedge funds. Before Bear, Mr. Dowd was Founder and Managing Partner at North Capital, LLC, a Registered Investment Advisor, Commodities Trading Advisor and Commodities Pool Operator. Mr. Dowd launched North Capital, LLC following three years with Tokai Asia Limited (Hong Kong), a proprietary trading subsidiary of Tokai Bank Group, where he was responsible for arbitrage strategies, focusing on convertible bond and options arbitrage. He also spent nine years with Bankers Trust in New York, London and Tokyo where he was promoted to Managing Director and Head of Derivatives Trading for Asia, Branch Manager of BT Asia Securities Ltd. Tokyo, and a Partner of Bankers Trust. Mr. Dowd began his career with Samuel Montagu Capital Markets Inc., a boutique investment bank.

Mr. Dowd is a graduate of Georgetown University, where he earned a Bachelor’s of Science in Foreign Service (BSFS), majoring in international economics, finance and commerce. He holds the Chartered Financial Analyst designation and is a Certified Public Accountant. He serves on the boards of directors of several privately held companies and is a founding trustee of the Young Women’s Choral Projects of San Francisco.

Similar Advisors
Kevin Larson, financial advisor Salt Lake City UT
Kevin J. Larson
CRD# 4683570
Cetera Investment Advisers LLC
Similar Advisors
Paul Winter, financial advisor Salt Lake City UT
Paul N. Winter
CRD# 1870699
Five Seasons Financial Planning LLC
Similar Advisors
Thomas Abbott, financial advisor Salt Lake City UT
Thomas E. Abbott
CRD# 840425
Equitable Advisors, LLC
Professional Designations
Company Name Location Dates Years
North Capital Private Securities Corp. San Francisco, CA Jul 2010 - Current 13
North Capital, Inc. San Francisco, CA Oct 2008 - Current 15
Mobility Securities LLC Salt Lake City, UT Mar 2022 - Aug 2023 1
Public Brokers, LLC Salt Lake City, UT Apr 2019 - Jul 2023 4
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jan 2004
S65 NASAA Investment Advisors Law Examination May 2003
Contact Info for James Dowd
By the Numbers
  • Total Assets Under Management
    261
    MILLIONS
  • Total Number of Accounts
    529
    ACCOUNTS
  • Average Account Value
    $493,282
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for investment companies (as well as "business development companies")
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Other
Types of Clients
Registered States

CA, GA, NY, TX, UT

Ready to hire a financial advisor? Get competitive proposals from James Dowd and other advisors.
BADGES
Verified Page
Data verified by both the advisor and the public regulatory data.

About Wealthminder

Wealthminder was created for one simple reason: To help people get the financial assistance they need to achieve their long-term financial goals.

Wealthminder is a database derived from SEC.gov data covering every Investment Advisor Representative in the country. We work hard to collect and provide you the information you need to find a financial advisor who’s right for you.

Finding a Financial Advisor through Wealthminder

Historically finding and hiring a financial advisor was hard. Wealthminder was built to make the process much easier.

The best way to use Wealthminder is to take advantage of our free proposal system. All you have to do is take a few minutes of your time to describe your situation and the assistance you are looking for.

Wealthminder then sends your request to our network of prescreened financial advisors. If a financial advisor is interested in your business, they will submit a proposal to you.

You review the proposals you receive and decide if you’d like to have a follow-up call with one or more of the financial advisors.

Throughout the process, you maintain control. We only share your contact information with a financial advisor once you ask for an introduction.