North Capital Investment Technology Inc.
Raised
$2M
Investors
10
Min Invest
$10,000
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AltStreet Analysis
·Generated from EDGAR primary sources
North Capital Investment Technology Inc., a Delaware corporation, filed an amended Form D on 2014-08-20 reporting $1.0M raised under Rule 506(b) from 10 investors with a $10K minimum investment. The offering involves debt and security-to-be-acquired instruments. Executive officers James Dowd and Craig Goos are listed as related persons.
This 506(b) private placement with a $10K minimum represents an accessible entry point relative to typical alternative investments, which often require $25K-$100K+ minimums. The combination of debt securities and 'security to be acquired' suggests a structured or convertible instrument, common in early-stage or platform-building capital raises.
Data Flags
Critical Disclosures
What the filings and the regulators have said about this entity that a reader should know first. Each line links to its source. The history, the same event across other issuers, and alerts are in the terminal.
FINRA disciplinary action 2021069382001 · August 15, 2024
North Capital Private Securities Corporation (names the platform behind this issuer)
EDGAR Filing Data
Form D — Primary Source
View on SEC.govFilings on Record
Every filing AltStreet's ledger holds for this CIK, newest first. Each opens the SEC archive folder.
AltStreet Coverage
Original reporting from AltStreet's daily EDGAR monitoring covering North Capital and its filings.
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Filing events
0
none on file
Critical / warning
0 / 0
0 watch · 0 info
Statements extracted
0
none on file
NAV prints
0
none on file
Offering chains
1
lapsed
Investor
- The dated record: 21 facts with source, effective date and capture date, viewable as AltStreet knew them on any past day
- 1 offering timeline: velocity, share raised, first-sale lag, stalled flags
Pro
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Related Persons (Form D)
Executive officers, directors, and promoters listed on the SEC Form D filing. Source: SEC.gov.
Item 3 changed on the Form D filed 2021-10-28: 7 related persons added and 1 removed against the filing of 2014-08-20; 8 now listed. The names are in the Terminal feed.
James Dowd
Executive Officer, Director · Salt Lake City, UT
Craig Goos
Executive Officer · Salt Lake City, UT
Questions About North Capital Investment Technology Inc.
Each answer is built from the values on the SEC filing and the AltStreet ledger, not from the issuer's marketing.
What is North Capital Investment Technology Inc.?
North Capital Investment Technology Inc. is a Delaware corporation that filed a Form D with the SEC on October 28, 2021 in the Other Banking and Financial Services industry group. The filing claims Rule 506(b) for an offering of equity. AltStreet links the issuer to North Capital.
Is North Capital Investment Technology Inc. legit?
AltStreet does not rate legitimacy; it reports the public record. North Capital Investment Technology Inc. filed a Form D with the SEC on October 28, 2021 claiming Rule 506(b). A Form D is a notice of an exempt offering, not a review or approval of it. The newest notice reports $2,183,560 sold to 1 investor. AltStreet's record links 1 enforcement action to this issuer; see the enforcement section on this page. The issuer is linked to North Capital, which AltStreet has reviewed. Before investing, confirm the filing on EDGAR, check the seller's registration on FINRA BrokerCheck, and read the offering documents, which a Form D does not include.
Is North Capital Investment Technology Inc. registered with or approved by the SEC?
No. A Form D is a notice that an issuer is selling securities under an exemption from registration, and the SEC does not review, approve, or pass on the merits of the offering. The filing shows that North Capital Investment Technology Inc. claimed Rule 506(b) and disclosed the items the form requires, such as the amount sold, the minimum investment, related persons, and anyone paid to sell the securities. It does not verify the issuer's claims or its business.
How much has North Capital Investment Technology Inc. raised?
North Capital Investment Technology Inc. reported $2,183,560 sold from 1 investor of a $5,000,006 total offering as of the Form D filed October 28, 2021.
Who can invest in North Capital Investment Technology Inc.?
The offering relies on Rule 506(b), which permits sales to accredited investors and to no more than 35 non-accredited investors who meet a sophistication standard, and prohibits general solicitation. The filing reports no non-accredited investors. The minimum investment accepted from an outside investor is $2,183,560.
What is the minimum investment in North Capital Investment Technology Inc.?
The Form D lists $2,183,560 as the minimum investment accepted from any outside investor as of October 28, 2021. Issuers can waive their own minimums, and the figure does not include fees.
Who is selling North Capital Investment Technology Inc. and how are they paid?
The Form D names no recipient of sales compensation, which usually means the issuer or its affiliates are placing the securities directly.
Who is behind North Capital Investment Technology Inc.?
The Form D lists 8 related persons: James P Dowd, executive officer, director; Peter P Tomozawa, director; John P Dowd, director; Chris P Kellett, executive officer; Sara P Judd, executive officer; Anton P Prakash, executive officer; Shawn P Crouse, executive officer; Siggy P Tomasetti, executive officer. Form D Item 3 requires executive officers, directors, and promoters of the issuer to be listed.
Where is North Capital Investment Technology Inc. located?
The issuer's address on its SEC filings is 2825 E Cottonwood Pkwy, Ste 500, Cottonwood Heights, UT 84121. Its phone number of record is 415 315 9916. It is organized under the laws of Delaware.
How long is the North Capital Investment Technology Inc. offering open?
The issuer indicated that the offering is not intended to last more than one year. An issuer must amend its Form D annually while a continuing offering stays open; 1 amendment is on record for this CIK.
What is North Capital Investment Technology Inc.'s revenue?
The Form D reports a revenue range of $5,000,001 - $25,000,000.
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Data Methodology
Capital raise figures, investor counts, and filing dates are sourced directly from SEC EDGAR Form D primary documents via the SEC EDGAR submissions API and full-text search index. EDGAR entity profiles and deal-level data are reviewed by AltStreet analysts with backgrounds in corporate finance and securities law — cross-referenced against offering circulars, audited financial statements, and primary regulatory filings before publication. Platform-provided information, where present, is clearly labeled and does not affect EDGAR data or AltStreet editorial coverage. Platforms may request factual corrections for demonstrable inaccuracies by contacting [email protected]. This page does not constitute investment advice.