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Regulation D Services for Fund Managers

  • Writer: Sara Judd
    Sara Judd
  • Nov 3
  • 1 min read
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For fund managers raising capital through private offerings, North Capital provides expertise and a full range of services tailored to Regulation D Rule 506(c) and 506(b) offerings. Our team helps fund managers navigate the capital-raising process while seeking to maintain compliance with applicable rules and regulations.


Under Rule 506(c), issuers are allowed to publicly market their offerings, but all investors must be verified as accredited. North Capital assists with this requirement by performing third-party accredited investor verifications. We collect and review supporting documentation and provide verification letters aimed to satisfy regulatory requirements.


Rule 506(b) prohibits general solicitation and allows participation primarily by accredited investors. North Capital supports issuers by documenting pre-existing substantive relationships and maintaining investor records.


Whether offering under 506(b) or 506(c), North Capital delivers technology-enabled tools and compliance support that help simplify the fundraising process. Our services include:

  • Accredited investor verification and documentation

  • Investor onboarding

  • Subscription document tracking and compliance workflows

  • Escrow and payment processing

Our services are built to help fund managers save time, reduce administrative overhead, and stay aligned with regulatory obligations.

When you work with North Capital, you gain a team that understands the complexities of private securities offerings. We help fund managers focus on their core investment strategies while we handle many of the operational and compliance details required for a successful capital raise.


Sources:

North Capital Broker-Dealer Services: https://www.northcapital.com/broker-dealer-services



North Capital Solutions Overview: https://www.northcapital.com/solutions


 
 
 

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