X0405 TA-1 0002135774 XXXXXXXX true LIVE SEC North Capital Transfer Agent, LLC 003804 623 E Fort Union Blvd Suite 101 Midvale UT 84047 N 4153159916 N N N N Other North Capital Investment Technology Inc. 08/19/2023 Member Sole member of the Applicant. Limited Liability Company Y James P Dowd James P Dowd is the CEO and a >25% beneficial owner of North Capital Investment Technology Inc., which is the sole member of the Applicant. As such, he as an individual will have the power to exercise control over the management or policies of the applicant. It is expected that upon commencement of operations, other employees of North Capital Investment Technology will be added as additional officers and, therefore, control persons of the Applicant. North Capital Private Securities Corporation North Capital Private Securities Corporation (NCPS) is an affiliate under common control with the Applicant, and therefore its AWC with FINRA was reported as a DRP item. However, NCPS will not have any direct or indirect control over the applicant, although Mr. Dowd will be the primary Executive Representative of. both NCPS and the Applicant, as well as other affiliates under common control. Y James P Dowd Mr. Dowd has, at times, extended short-term or long-term financing to NCIT, the parent company of the Applicant. Although there is no plan for Mr. Dowd to extend credit, directly or indirectly, to the Applicant at this time, he would be the logical lender of last resort. N N N N N N N N N N N N N N N Y None North Capital Private Securities Corporation-0002135774 08/15/2024 FINRA AWC, CENSURE, MONETARY FINE - $40,000 WITHOUT ADMITTING OR DENYING THE FINDINGS, NCPS CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO TIMELY FILE OFFERING DOCUMENTS WITH FINRA FOR CERTAIN PRIVATE PLACEMENTS. THE FINDINGS STATED THAT ON AVERAGE, THE FIRM'S FILINGS WERE 163 DAYS LATE, OR 178 DAYS AFTER THE FIRST SALE OF THE OFFERINGS. THE FINDINGS ALSO STATED THAT THE FIRM WAS INVOLVED IN THE PREPARATION OF RETAIL COMMUNICATIONS THAT VIOLATED THE CONTENT STANDARDS IN FINRA RULE 2210. N N N N N N James Patrick Dowd 4153159916 CEO and President 05/28/2026