# North Capital > North Capital powers the full lifecycle of private securities: platform technology, broker-dealer services, escrow, custody, and secondary trading. FINRA member, SIPC member, registered in all 50 states. Founded 1999, headquartered in Salt Lake City, UT. North Capital is the parent of three regulated entities: North Capital Private Securities Corporation (a FINRA-registered broker-dealer, SIPC member, SEC-registered ATS operator), North Capital Inc. (a Registered Investment Advisor and Commodities Trading Advisor), and North Capital Investment Technology (the platform technology arm). Together they serve real estate sponsors, fund managers, fintech platforms, and broker-dealers across the United States. ## Products and services - [Solutions overview](https://www.northcapital.com/solutions): The full set of six offerings: platform technology, escrow and custody, broker-dealer services, secondary trading on PPEX, investor verification, and advisory. - [Platform Technology](https://www.northcapital.com/platform-technology): The technology stack for private securities. Three deployment paths: TransactAPI, Opera IP, and Opera IQ. - [TransactAPI](https://www.northcapital.com/transactapi): Full API access to North Capital's brokerage, escrow, KYC/AML, payment processing, and investor verification infrastructure. For developers building custom investment platforms. - [Opera IP](https://www.northcapital.com/opera-ip): A white-label investor portal for private securities offerings. Out-of-the-box KYC, AML, accreditation verification, e-signatures, and payment processing. - [Opera IQ](https://www.northcapital.com/opera-iq): An embeddable investor verification micro-portal. Accredited investor verification, qualified purchaser checks, KYC/AML, bad actor screening. - [Escrow and Custody](https://www.northcapital.com/escrow): SEC Rule 15c2-4 compliant escrow for Reg D, Reg A+, Reg CF, and Reg S offerings. Flat $650/year. Third-party FDIC-insured bank. Real-time portal access and ACH, wire, and check processing. Next-day ACH distributions at close. - [M&A Escrow](https://www.northcapital.com/ma-escrow): Multi-account deal support, custom release mechanics, combined paying agent. Standard accounts opened in 2-3 business days. Flat-fee pricing, no asset-based fees. - [Broker-Dealer Services](https://www.northcapital.com/broker-dealer-services): NCPS serves as managing broker-dealer for Reg D, Reg A+, and Reg CF offerings. Statutory distributor and agency broker for private funds, registered funds, and REITs. Registered in all 50 states. - [Secondary Trading (PPEX)](https://www.northcapital.com/trading): PPEX is North Capital's SEC-registered alternative trading system for secondary trading of private securities. 1,288+ approved assets and growing. Available via interface or API. - [Investor Verification](https://www.northcapital.com/verification): Accredited investor verification under Reg D 506(c) broker-dealer safe harbor (income, net worth, professional certifications, entity status), qualified purchaser verification, KYC/AML screening, OFAC and PEP checks, and bad actor screening ($125/person). - [Advisory Services](https://www.northcapital.com/advisory): North Capital Inc. offers fee-based, non-discretionary advisory services for alternative investments and other investments in private markets. Detailed advisory site at https://advisory.northcapital.com/. NCGXX money market fund at https://funds.northcapital.com/. ## Company - [About](https://www.northcapital.com/about): Leadership, history, and the firm's role in private capital markets. - [Careers](https://www.northcapital.com/careers): Open roles at North Capital. - [Contact](https://www.northcapital.com/contact): 623 E Fort Union Blvd, Suite 101, Midvale, UT 84047. Phone (888) 625-7768. - [Schedule a Demo](https://www.northcapital.com/demo): Request a walkthrough of the platform. ## Content and reference - [Blog](https://www.northcapital.com/blog): Insights on private market infrastructure, technology, compliance, and capital formation. - [Resources](https://www.northcapital.com/resources): Documentation, API references, knowledge base, and partner summit videos. - [2025 Partner Summit Videos](https://www.northcapital.com/partner-summit-videos): Recorded sessions on retail distribution, digital presence, private capital markets, and the North Capital roadmap. ## Blog posts - [Regulation D Risks Investors Should Watch For](https://www.northcapital.com/blog/red-flags-to-watch-for-in-private-investments) (2025-12-01): Common red flags in Reg D private offerings: documentation issues, pressure tactics, founder alignment concerns. - [Regulation D Services for Fund Managers](https://www.northcapital.com/blog/regulation-d-services-for-fund-managers) (2025-11-03): North Capital's Reg D 506(b) and 506(c) services for fund managers: compliance, investor verification, capital raising. - [Broker-Dealer Services for Real Estate Sponsors](https://www.northcapital.com/blog/broker-dealer-services-for-real-estate-sponsors) (2025-10-20): How broker-dealers help real estate sponsors raise capital, stay compliant, and connect with accredited investors. - [Choosing a Broker-Dealer for Private Placements](https://www.northcapital.com/blog/how-to-choose-a-broker-dealer-private-placement) (2025-10-13): How to select a FINRA-registered broker-dealer for private placement offerings. - [Managing Broker-Dealer Services: Scale Without the Overhead](https://www.northcapital.com/blog/managing-broker-dealer-services-scale) (2025-09-30): Managing broker-dealer services help firms scale while avoiding the high costs of licensing and compliance overhead. - [Why Broker-Dealers Are Outsourcing Operational Compliance in 2025](https://www.northcapital.com/blog/why-broker-dealers-are-outsourcing-operational-compliance-in-2025) (2025-09-25): Why broker-dealers outsource compliance to manage SEC and FINRA rules, lower costs, and scale operations. - [Broker-Dealer vs. Placement Agent: What's the Difference?](https://www.northcapital.com/blog/broker-dealer-vs-placement-agent) (2025-08-18): Roles, registration, and compensation differences between broker-dealers and placement agents in private markets. - [Case Study: Scaling Reg A+ and Trading with TransactCloud](https://www.northcapital.com/blog/case-study-using-north-capital-s-transactcloud-technology-to-scale-business-through-reg-a-and-sec) (2025-06-21): How Otis used North Capital's TransactCloud API to scale Reg A+ offerings and enable secondary trading. - [Need an API for Alternative Investments?](https://www.northcapital.com/blog/need-an-api-for-alternative-investments) (2025-06-19): Integrating investment transaction processing with TransactAPI for alternative investment offerings. - [Escrow for Registered Funding Portals](https://www.northcapital.com/blog/escrow-for-registered-funding-portals) (2025-06-17): Why escrow accounts are required for crowdfunding and how they protect investors. - [Subscription Escrow for Alternative Investments](https://www.northcapital.com/blog/subscription-escrow-for-alternative-investments) (2025-06-13): How escrow accounts streamline alternative investment offerings and simplify compliance. - [Crowdfunding Technology and Compliance](https://www.northcapital.com/blog/crowdfunding-technology-compliance) (2025-06-10): Tech and compliance solutions for crowdfunding under Reg D, Reg A, and Reg CF offerings. - [The Different Offering Exemptions for Alternative Investments](https://www.northcapital.com/blog/the-different-offering-exemptions-for-alternative-investments) (2025-06-05): Key offering exemptions: Reg D, Reg A+, and crowdfunding for raising capital efficiently. ## Regulatory disclosures - [Disclosure Documents](https://www.northcapital.com/disclosure-documents): Index of regulatory disclosures including Privacy Policy, Terms of Use, Form CRS, Form ADV Parts 2A/2B/3, Code of Ethics, Business Continuity Plan, and Regulation S-P. - [SOC 3 Report](https://www.northcapital.com/soc-3-report): Public summary of North Capital's independent SOC 2 examination aligned with AICPA Trust Services Criteria. PDF available for download. Bridge letters available on request. - [Customer Complaint Form](https://www.northcapital.com/customer-complaint-form): Channel for submitting client complaints. Three submission methods: online form, written mail to Midvale UT office, or phone at (888) 625-7768. ## External systems - API documentation: https://transactapi.readme.io/docs/getting-started-with-your-api-1 - Knowledge base and support: https://support.northcapital.com/knowledge - Investor portal: https://portal.northcapital.com/home - PPEX (secondary trading ATS): https://www.ppex.com/ - FINRA BrokerCheck (CRD 154559): https://brokercheck.finra.org/firm/summary/154559 ## Regulatory and legal North Capital Private Securities Corporation is a registered broker-dealer, FINRA member, and SIPC member. North Capital Inc. is a Registered Investment Advisor and Commodities Trading Advisor. All investments involve risk, including the risk of loss of principal. North Capital is SOC 3 certified. Note: North Capital does not provide tax reporting or 1099 issuance unless also acting as custodian.