Broker-dealers
North Capital Private Securities
North Capital Private Securities Corporation is a registered broker-dealer and a FINRA and SIPC member that supports the full lifecycle of private securities offerings, from planning and compliance review through investor onboarding, closing and post-close reporting. It is registered in all 50 states and works with issuers, fund managers, funding platforms, independent representatives and other broker-dealers.
The technology stack is TransactAPI, an API that integrates into any web application; Opera IP, a white-label investor portal; and Opera IQ, a verification micro-portal. The firm says an integration can be live in as little as one to two business days. Escrow and custody cover Reg D, Reg A+, Reg CF, Reg S and M&A transactions, with ACH, credit card, wire and check processing and real-time portal visibility into account activity. Investor qualification covers KYC and AML checks, accredited investor verification under the broker-dealer safe harbour, qualified purchaser verification and background checks.
PPEX, the firm's registered alternative trading system, provides secondary trading of alternative assets through an interface and API infrastructure. An affiliated registered investment adviser, North Capital Inc., offers fee-only planning and investment solutions including the North Capital Treasury Money Market Fund (NCGXX). Reported platform figures are 3,520 deals, 2.6M transactions, $8.7B in volume, 625K secondary trades and 1,250+ approved PPEX assets, with over 500,000 private-market transactions across 5,300 deals reviewed on the broker-dealer side.
The firm has a team of 23 employees across operations, compliance, technology and finance, 10 Series 24 principals, and states 110+ years of combined experience. Escrow starts at $650 a year and broker-dealer work is offered on flat-fee or percentage-based pricing depending on volume and needs. The office is on East Fort Union Boulevard in Midvale, Utah.
Best for
Sponsors, fund managers and online investment platforms that need a managing broker-dealer, escrow and investor verification for a Reg D, Reg A+, Reg CF or Reg S raise. Not a retail brokerage and not a source of advice on a specific deal.
What they do
- Managing broker-dealer services for private offerings
- Escrow and custody for Reg D, Reg A+, Reg CF, Reg S and M&A
- TransactAPI private securities API
- Opera IP white-label investor portal
- Opera IQ investor verification portal
- Accredited investor and qualified purchaser verification
- KYC, AML and background checks
- Secondary trading on the PPEX alternative trading system
- Registered representative sponsorship and supervision
- Fee-only advisory through North Capital Inc.
Details
| Attribute | Value |
|---|---|
| Team size | 11-50 employees |
| Other offices | Midvale, UT |
| Licenses | Registered broker-dealer, FINRA and SIPC member, Registered in all 50 states, PPEX registered alternative trading system |
| How they charge | Escrow starts at $650/year; broker-dealer work is priced flat-fee or percentage-based depending on volume and needs. |
What stands out
- Registered broker-dealer, FINRA and SIPC member, registered in all 50 states.
- Reports 3,520 deals, 2.6M transactions and $8.7B of volume processed to date.
- PPEX, its registered ATS, lists 1,250+ approved assets and 625K secondary trades.
- Reports over 500,000 private-market transactions across 5,300 deals reviewed.
- A team of 23 employees includes 10 Series 24 principals and 110+ years of combined experience.