Digital Broker-Dealer for Scale & Compliance
North Capital Private Securities Corporation (“North Capital”) is a digital-first, technology-enabled broker-dealer registered in all 50 states that supports the full lifecycle of private securities offerings, including planning, review, launch, close, and reporting. We combine experienced compliance professionals with modern infrastructure so you can raise capital or operate your business efficiently, securely, and in compliance. Get registered in weeks, not months.
Accelerate Your Ambition. Build. Scale. Comply. Focus on Clients and Deals, Not Backend Burden.
Digital by Design​
Automated investor onboarding, verification, and document management.
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Rapid Onboarding
Licensing, registration, branch/office setup and tech integration completed in weeks not months.
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Deep Regulatory Expertise
All compliance supervisory personnel maintain FINRA Series 24 licenses.
Private-Markets Focus
We’ve processed over 500,000 private-market transactions.
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Technology-Enabled Workflows
Optional modules like OPERA IQ and TransactAPI streamline investor verification, KYC/AML, signatures, payments, and record keeping.
Flexible Cost Structures
Flat-fee and percentage-based pricing available
Core Broker-Dealer Services
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Managing Broker-Dealer for Issuers and Sponsors
For issuers offering private or registered securities, North Capital serves as managing broker-dealer to guide your offering from concept to close.
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We assist with:
- Offering structure and compliance review
- Due diligence and regulatory filings
- Investor qualification and suitability review
- Optional escrow setup and fund flow management
- Subscription processing and books-and-records maintenance
- Coordination with transfer agents, custodians, and distribution partners
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Broker-Dealer Sponsorship for Registered Representatives
Independent bankers and deal professionals can affiliate with North Capital to access our broker-dealer registration, compliance infrastructure, and back-office support without sacrificing brand or independence.
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Our hosting and supervision model includes:
- FINRA registration and state licensing coverage
- Advertising and marketing review
- Supervised email and communications monitoring
- Trade and transaction review
- Record keeping and audit preparation
- Optional use of North Capital’s technology suite for investor management
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Technology-Enabled Compliance and Investor Workflows
Our affiliated technology provider, North Capital Investment Technology, provides tools that make private market operations simple and compliant.
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OPERA IQ: Online accredited investor verification plus KYC/AML screening.
OPERA IP and TransactAPI: Manage investor onboarding, payments, signatures, and secure records in one integrated platform.
Why Deal Groups, Sponsors, and Issuers Choose North Capital
Trusted Experience. Modern Infrastructure. Flexible Approach.
North Capital is a registered broker-dealer and member of FINRA and SIPC. We serve as the managing broker-dealer or compliance partner for Regulation D (506(b) and 506(c)) and other exempt offerings, providing the supervision, documentation, and reporting required to operate compliantly. Our mission is simple: to perfect the lifecycle of non-traded and private securities from origination to close.
10
Series 24
Registered Principals
110+
Years of Private Securities Experience
Deals Reviewed
5,300+
Compliance Expertise
Fast Turnaround Times
White-Glove Service
How North Capital Supports the Entire Lifecycle of your Raise
1. Assess & Scope
We start by learning about your business model, structure, and investor base. We provide guidance on the right exemption, required filings, and the supervision level that fits your needs.
2. Prepare to Launch
Our compliance team reviews offering materials, subscription documents, marketing plans, and investor flows. Offering due diligence is completed through a streamlined process.
3. Go Live
We verify accredited investor status, complete KYC/AML checks, and, when required, process payments and route funds to escrow accounts. We coordinate with transfer agents, custodians, and other regulated entities.
4. Monitor & Supervise
During the raise, we oversee investor communications, perform advertising reviews, and manage event-driven compliance checks so you can focus on capital formation.
5. Close & Report
After closing, we reconcile transactions, finalize recordkeeping, and provide post-close reporting and support for audits or regulator inquiries.
Who We Serve
Private Issuers & Sponsors: Public non-traded funds, issuers raising capital under exemptions from registration, issuers seeking a managing BD for oversight and distribution.
Deal Groups & Platforms: Online marketplaces and alternative investment sponsors needing an experienced BD to supervise reps and manage investor flows.
Independent Bankers & Placement Agents: Professionals seeking BD sponsorship, licensing, and compliance support while maintaining brand and client relationships.
Registered Investment Advisors (RIAs): Firms seeking to expand into private offerings and alternative investments under a broker-dealer umbrella.
Outcomes We Help Deliver
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Faster review and approval of offerings and investor onboarding
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Fewer investment document errors and exceptions
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Transparent audit trails and electronic records retention
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Lower operational risk through supervised workflows
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Increased scalability without additional headcount
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Reduced time-to-market for new offerings and distribution channels
Security, Records, and Oversight
We maintain secure storage and access controls for all client and investor records. All books and records are stored with SEC Rule 17a-4 and FINRA requirement compliance in mind. We treat your data and your investors’ data as confidential, encrypted, and accessible only to authorized users.
Pricing and Engagement Options
North Capital offers multiple pricing models based on your structure and needs:
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Percentage-based model: Fees as a percentage of capital raised through our firm, plus passthrough expenses and per-offering due-diligence fees.
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Flat-fee model: For larger sponsors or deal groups registering multiple reps, a predictable monthly fee that includes registration, supervision, and compliance oversight.
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Custom arrangements: Tailored solutions for issuers with ongoing offerings, high volume, or specialized products.
A detailed proposal is provided once we understand your services, deal types, and target investors.
Let’s Get Started
Whether you’re an issuer planning your next raise or an independent banker seeking broker-dealer affiliation, we can help you operate efficiently and compliantly with technology, expertise, and a lengthy track record in private markets.