Powering Financial Marketplaces | Enabling Capital Formation.

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Presentation transcript:

Powering Financial Marketplaces | Enabling Capital Formation

page 2 This presentation is not an offer to sell or the solicitation of an offer to buy securities. Such an offer may only be made through a complete set of offering materials including a confidential term sheet and convertible promissory note agreement. The securities described herein are speculative and entail a high degree of risk, including the risk that an investor may lose their entire investment. Investors should not invest any amount that they cannot afford to lose. North Capital Investment Technology, Inc. is the parent company of North Capital Private Securities Corp. (NCPS), a registered broker-dealer and member of FINRA and SIPC. However, the investment described herein is not guaranteed by NCPS, and assets of NCPS may not be available to repay obligations of North Capital Investment Technology. Before making any investment, investors should consult with their legal counsel and other professional advisors to ensure they fully understand the structure and risks related to the business described herein. Securities will only be offered in jurisdictions where an exemption from registration is available to the issuer. Risk Notice

page 3 Raising Capital since the Financial Crisis  INNOVATION IN BANKING PRODUCTS AND SERVICES  INNOVATION IN SECURITIES MARKETS.

page 4 Raising Capital since the Financial Crisis 2 3 GENERAL SOLICITATION ON REG D EXEMPT OFFERINGS – ACCREDITED INVESTORS ONLY REG A+ “MINI IPO” – SIMPLIFIED REGISTRATION PROCESS – ACCREDITED AND NON-ACCREDITED INVESTORS; $50MM LIMIT 4 TITLE 3 EXEMPT PUBLIC OFFERINGS – FORM- BASED REGISTRATION PROCESS; ACCREDITED AND NON-ACCREDITED INVESTORS; $1MM LIMIT TITLE

Transforming the Distribution of Private Offerings Historically, the market for private offerings is fragmented and idiosyncratic with limited standardization, creating barriers to widespread distribution. Technology streamlines the offering, transaction, settlement, and post- transaction processing of private offerings in a compliant environment.

page 6 TransactAPI: The Engine Key Elements INVESTOR QUALIFICATION CIP, AML, suitability. Accreditation OFFERING Electronic document delivery, secure deal room, virtual road show. Compliant record keeping. ACCOUNT OPENING AND FUNDING Including custodial accounts. TRANSACTIONS Transaction and escrow. Processing, settlement, and transfer.

page 7 About North Capital Private Securities Experienced team and network. Expertise in all aspects of private placement offering operational processes. Proven technology for private offerings that empowers and drives the placement business. Registered broker-dealer with singular focus on placement business. Strong investment research and due diligence capabilities FOCUSED EXPERIENCED STRONG EXPERTS PROVEN TECHNOLOGY