North Capital Investment Technology, Inc.

The profile

North Capital sells the parts of a private securities transaction that a technology company cannot build for itself. Its own site offers "platform technology, brokerage services, escrow, custody, and secondary trading for private securities and registered funds", delivered "through our SEC-registered broker-dealer, North Capital Private Securities Corporation", and puts the record at 3,520 deals, 2.6 million transactions, $8.7bn of volume, 625,000 secondary trades and more than 1,250 assets approved for trading on PPEX. It says that since 2017 it has been "involved in facilitating open source smart contract technology and the tokenized securities market, with the conviction that blockchain technology will transform private markets". Escrow is offered for Regulation D, A+, CF and S offerings, the broker-dealer is registered in all fifty states, and the registered investment adviser runs the North Capital Treasury Money Market Fund. The registrations are the asset. North Capital Private Securities Corporation and North Capital Agency Brokerage, LLC are broker-dealers registered with the Securities and Exchange Commission and members of FINRA and SIPC; North Capital, Inc. is a registered investment adviser, which the company dates to 2008 and attributes to Jim Dowd; and PPEX is the alternative trading system through which secondary trading in private and other exempt securities runs. The Commission's own list of alternative trading systems as at 31 August 2026 carries the firm at entry 47, doing business as "Public Private Execution Network, PPEX or PPEX ATS", located in Salt Lake City, while the company's own about page gives the headquarters as Midvale, Utah and the team as twenty-three people.