9AT: NORTHERN CAPITAL MANAGEMENT, INC.

NORTHERN CAPITAL MANAGEMENT, INC.

other names

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Adviser Profile

As of Date	03/21/2025
Adviser Type - Large advisory firm
Number of Employees	11
of those in investment advisory functions	8
Registration	SEC, Approved, 11/05/1993

AUM^*	462,159,064 35.86%
of that, discretionary	461,719,687 35.91%
Private Fund GAV^*	0
Avg Account Size	254,073 30.34%
% High Net Worth	18.38% 24.00%
SMA’s	Yes
Private Funds	0
Contact Info	509 xxxxxxx
Websites

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Charitable organizations
- Corporations or other businesses not listed above

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses
- Publication of periodicals or newsletters
- Educational seminars/workshops

Compensation Arrangments

- A percentage of assets under your management
- Fixed fees (other than subscription fees)

Reported AUM

388M 333M 277M 222M 166M 111M 55M

2015 2016 2017 2018 2019 2020 2021 2022 2023

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Top Holdings

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker808524300	Stock NameSCHWAB STRATEGIC TR	$ Position$46,056,018	% Position30.00%	$ Change-14.00%	# Change-4.00%
Stck Ticker808524409	Stock NameSCHWAB STRATEGIC TR	$ Position$31,256,816	% Position20.00%	$ Change0.00%	# Change-2.00%
Stck Ticker46090E103	Stock NameINVESCO QQQ TR	$ Position$27,509,983	% Position18.00%	$ Change-9.00%	# Change-1.00%
Stck Ticker922908637	Stock NameVANGUARD INDEX FDS	$ Position$13,329,209	% Position9.00%	$ Change-4.00%	# Change0.00%
Stck Ticker808524508	Stock NameSCHWAB STRATEGIC TR	$ Position$5,588,411	% Position4.00%	$ Change-9.00%	# Change-4.00%
Stck Ticker594918104	Stock NameMICROSOFT CORP	$ Position$2,629,112	% Position2.00%	$ Change-7.00%	# Change4.00%
Stck Ticker478160104	Stock NameJOHNSON & JOHNSON	$ Position$3,314,788	% Position2.00%	$ Change14.00%	# Change-1.00%
Stck Ticker037833100	Stock NameAPPLE INC	$ Position$2,963,468	% Position2.00%	$ Change-10.00%	# Change1.00%
Stck Ticker084670702	Stock NameBERKSHIRE HATHAWAY INC DEL	$ Position$881,952	% Position1.00%	$ Change17.00%	# Change0.00%
Stck Ticker023135106	Stock NameAMAZON COM INC	$ Position$1,402,787	% Position1.00%	$ Change-13.00%	# Change0.00%

Brochure Summary

Overview

A. Overview and Ownership Northern Capital Management, Inc. (herein referred to as “Northern Capital”) has been in business since 1992. James K. Wilson is the company’s founder and principal owner. The name Northern Capital Management, Inc. was established in 2003. B. Types of Advisory Services Northern Capital offers a range of services including asset management and financial planning to individual clients, families, corporations, and foundations. Our service offering includes financial planning, investment advice, asset management, administrative and non-investment related services. Clients can choose from asset management only to a range of financial planning topics. These topics typically include:
• Budgeting assistance
• Cash Flow planning
• Net worth statement
• Retirement planning
• Timing of initiating social security
• Tax management strategies
• Investment and withdrawal strategies
• Estate plan review
• Insurance review including Long Term Care, Disability, Life, etc.
• College planning
• Charitable gifting Planning work is tailored to the client’s needs and can either be a targeted analysis of a specific topic (e.g., college planning) or comprehensive

in nature. We offer to meet with clients on an annual basis to review and update a client’s financial circumstances, investment objectives and goals. C. Tailoring of Advisory Services and Investment Solutions Investment advice is tailored to the needs of the client based on your individual financial situation, tolerance for risk, and long-term plans and goals. Based on this information, a suitable Investment Objective is assigned to your portfolio. The Investment Objective corresponds to an allocation model used to manage your investments. Investment selection and portfolio allocation is offered on a discretionary or non-discretionary basis. Each client’s portfolio is monitored and managed by our Investment Committee. A client can request Northern Capital to restrict trading for one or more specific securities within their portfolio. Permitted restrictions are limited and must be agreed upon in writing. D. Wrap Fee Programs Northern Capital does not participate in wrap fee programs. E. Assets Under Management Total assets under management as of December 31, 2023: Discretionary Assets: $390,561,847 Non-Discretionary Assets: $430,573 Total Assets Under Management: $390,992,420 Northern Capital Management, Inc. Page 5