Transfer Agent, Harbor

Addition of transfer agent services allows Harbor to service a broader range of digital securities offerings, including Regulation A fundraising.

SAN FRANCISCO – Oct. 31, 2019 – Harbor today announced its subsidiary, Harbor Digital Transfer Agent, LLC, has become an SEC-registered transfer agent, expanding the scope of its digital securities services to service key use cases, such as Regulation A fundraising for alternative assets such as private equity and venture capital, real estate, infrastructure, natural resources, private debt, hedge funds, etc.

Harbor is the first blockchain company to become both a registered transfer agent and a licensed broker-dealer for digital securities. In Sept. 2019, Harbor’s subsidiary, Portum Capital, LLC, was approved as a FINRA-registered broker-dealer for digital securities.

“Digital securities are transforming access and liquidity for alternative assets. To get there, companies need solutions to compliantly manage the investment lifecycle, which includes working with licensed broker-dealers and registered transfer agents. Harbor provides these services along with a common technology platform that integrates compliance and custody and enables the traditional private capital ecosystem of issuers, broker-dealers and placement agents.”

Josh Stein, Harbor CEO

The ability to offer transfer agent services allows Harbor to more efficiently address key use cases for digital securities, including “Regulation A” offerings. Reg. A offerings are intended to make access to capital easier and more cost-effective for small and mid-sized companies that may not want to incur the extensive cost and reporting requirements associated with a public offering (IPO). Reg. A offerings allow companies to raise up to $50M with a 12-month period from an unlimited number of investors, including non-accredited investors. 

A transfer agent is required in Reg. A offerings to maintain an investor’s account balances, security ownership, and ensure shareholders receive dividend payments, if relevant. Transfer agents are also required in ongoing transfers of ownership for Reg. A offerings. 

“Reg. A is really a sweet spot for many companies looking to raise capital, including blockchain companies wanting to get their tokens into the hands of a broad user base and offer potential for liquidity from day one.”

Josh Stein

About Harbor
Harbor Platform, Inc. is a blockchain-enabled technology platform that improves the alternative investment experience for investors, issuers and placement agents – from fundraising management, investor communications and controlled secondary transfers through private marketplaces. Harbor is backed by Andreessen Horowitz, Founders Fund, Craft Ventures, Vy Capital, Fifth Wall, Valor Equity Partners, and Pantera Capital. For more information, visit

Note: Portum Capital, LLC was previously named Harbor Square Investments, LLC.

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