{"url":"https://nivawealth.com/firms/36-north-capital-management-317557","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/317557","regulatoryAum":2670149362,"crd":"317557","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7463244","suffix":null,"lastName":"Fowler","firstName":"Mark","middleName":"Andrew"},{"crd":"2606209","suffix":null,"lastName":"KEATING","firstName":"CAROLYN","middleName":"ANNE"},{"crd":"6222308","suffix":null,"lastName":"SENFLEBEN","firstName":"TYLER","middleName":"MATTHEW"}],"total":3,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2022-05-02","regulatoryAum":1515000000,"clients":0,"employees":3,"offices":1},{"filedOn":"2023-03-03","regulatoryAum":1331000000,"clients":0,"employees":3,"offices":1},{"filedOn":"2024-02-16","regulatoryAum":1806561000,"clients":0,"employees":3,"offices":1},{"filedOn":"2025-02-05","regulatoryAum":2346620000,"clients":0,"employees":4,"offices":1},{"filedOn":"2026-02-02","regulatoryAum":2670149362,"clients":5,"employees":4,"offices":1}],"secFileNumber":"801-122931","legalName":"36 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Keating","title":"Head of Private Investments, Chief Operating Officer & Chief Financial Officer","crd":"2606209"}],"ownership":[{"label":"Mark Fowler","detail":"Chief investment officer, chief executive officer & chief compliance officer in the 50% to 75% ownership band and a control person, since September 2021."},{"label":"Carolyn Keating","detail":"Head of private investments, chief operating officer & chief financial officer in the 25% to 50% ownership band and a control person, since September 2021."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Arkansas","offices":1,"addresses":[{"street":"901 Se Village Loop, Suite 1","city":"Bentonville","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"479-250-9540","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":11},{"label":"U.S. government/agency bonds","percent":7},{"label":"Investment grade corporate bonds","percent":5},{"label":"Derivatives","percent":3},{"label":"Securities issued by registered investment companies or business development companies","percent":55},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":18},{"label":"Other","percent":1,"detail":"Abs/CMBS"}],"privateFunds":0},"sources":{"adv1FilingDate":"2 February 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They include 5 charitable organizations.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 2 February 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does 36 North Capital Management offer?","answer":"36 North Capital Management provides portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does 36 North Capital Management use?","answer":"36 North Capital Management’s separately managed account assets are held at Northern Trust Securities, Inc. (Chicago, IL), with $2.62B. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 2 February 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does 36 North Capital Management have?","answer":"36 North Capital Management has 3 investment adviser representatives registered with state securities authorities, out of 4 employees, and 3 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does 36 North Capital Management invest in?","answer":"At the end of its last fiscal year, 36 North Capital Management’s separately managed accounts held 55% registered funds (mutual funds, ETFs, BDCs), 18% pooled vehicles (private funds and similar), 11% exchange-traded equities, 7% U.S. government and agency bonds, 5% investment grade corporate bonds, 3% derivatives and 1% other. The 1% other category is described as: Abs/CMBS.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns 36 North Capital Management?","answer":"36 North Capital Management’s direct owners are Mark Fowler (50% to 75%) and Carolyn Keating (25% to 50%).","source":"Form ADV Part 1A, Schedules A and B, filed 2 February 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does 36 North Capital Management get paid?","answer":"36 North Capital Management is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact 36 North Capital Management?","answer":"36 North Capital Management’s main office is at 901 Se Village Loop, Suite 1, Bentonville, AR 72712. Its phone number is 479-250-9540. Its website is 36northcapital.com.","source":"Form ADV Part 1A, Item 1.F, filed 2 February 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}