Claudine serves as an executive administrator.
Prior to Aviditi, Claudine was John Robertshaw’s executive assistant for 20 years, 17 of them at Credit Suisse and DLJ.
Claudine serves as an executive administrator.
Prior to Aviditi, Claudine was John Robertshaw’s executive assistant for 20 years, 17 of them at Credit Suisse and DLJ.
Information on the Website
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Business Continuity Plan
We are committed to protecting the interests of its clients in the event of a business disruption. This Business Continuity Plan (the “Plan” or the “BCP”) summary details how the Firm will respond to events that significantly disrupt its business.
The Firm’s BCP addresses all areas affected by a business disruption of any type: data backup and recovery, financial and operational systems and assessments, alternative communications with clients, employees and regulators, as well as critical suppliers and banks, and alternate physical location of employees if necessary. The Plan is designed to enable the Firm to recover and restore business operations as quickly as possible, safeguard employees and property, protect the Firm’s books and records, and assure clients prompt service through alternative offices if the Firm is unable to continue its business locally.
In the event of a disaster in one of our geographical areas, there should be minimal disruption in service due to designed redundancies for Aviditi systems. Data and/or system recovery will begin in a timely manner given the event(s) causing the significant business disruption. In the event of a significant business disruption, we plan to begin recovery immediately and notify clients how to contact the Firm through its Website (www.adviditiadvisors.com).
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Customer Complaint Notice Disclosure pursuant to SEC Rule 17a-3(a)(18)(ii)
Aviditi Financial, LLC, in accordance with Rule 17a-3(a)(18)(ii), is furnishing this statement to provide you with a name, telephone number, and address if you ever need to report or notify us of a possible complaint. If, for any reason, you feel you have a complaint, please contact us immediately at:
Attn: Legal Department
Aviditi Financial, LLC
8117 Preston Road, Suite 450
Dallas, Texas 75225
USA Patriot Act Notice to Clients
The USA Patriot Act and other applicable rules and regulations, require us to obtain, verify, and record information to identify each entity or individual that enters into a business relationship with us. We may ask for your address, identification number, corporate documents, or other identifying information to help us verify your identity. We may use a third-party source to confirm the information you provide us.
United States
Aviditi Financial, LLC, is not a retail broker-dealer, and does not solicit or carry accounts for, or offer or sell securities products to retail customers. Aviditi Financial, LLC is a member FINRA and SIPC, provides investment banking, private placement, merger, acquisition, and divestiture services. Aviditi Financial, LLC is registered as a broker-dealer with the Securities and Exchange Commission and is regulated by the Financial Industry Regulatory Authority, Inc. (FINRA).
Aviditi Financial, LLC (together with is affiliates, “Aviditi”) is entitled to a fee based on an investor’s capital commitment to the investment vehicle for which it provides placement agent services on behalf of Sponsor Entities and therefore has a material incentive to solicit investors to commit capital to investment vehicles. Aviditi’s non-SEC registered broker-dealer affiliates in the UK and the EU may receive a fee not to exceed 3% of an investor’s capital commitments. The compensation directly or indirectly paid to Aviditi as a result of such investments may be greater than that received by Aviditi in relation to other placements. These fees and other compensation will create an incentive for Aviditi to promote prospective investors’ acquisition of an investment in the Fund. Aviditi has provided or in the future may provide other services to the Sponsor Entities, their affiliates, clients, portfolio companies and investors whom it solicits, such as investment banking, consulting, advisory, valuation and other services. Aviditi may have ongoing relationships (including with respect to the foregoing services) with Sponsor Entities and their affiliates, clients, portfolio companies and investors whom they solicit. Aviditi is not currently an advisory client of the Sponsor Entities nor an investor in any Sponsor funds. However, certain employees of Aviditi may be or may become investors in such Sponsor portfolio companies. These other relationships and the fees that may have been or may be paid to Aviditi in respect thereof may be deemed to result in material conflicts of interest on the part of Aviditi.
United Kingdom
Aviditi Capital Advisors UK Ltd. is an Appointed Representative of Robert Quinn Advisory LLP, which is authorised and regulated by the Financial Conduct Authority. Aviditi Capital Advisors UK Ltd. is incorporated in England and the registered office is at 65 Curzon Street, 6th Floor, London, W1J 8PE.
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Where the material on the Website constitutes a financial promotion, it is issued and approved for distribution in the UK by Robert Quinn Advisory LLP, only to and directed at (a) persons who have professional experience in matters relating to investments falling within Article 19(1) of the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005 (the “Order”) or (b) high-net-worth entities and other persons to whom it may otherwise lawfully be communicated, falling within Article 49(1) of the Order (all such persons together being referred to as “relevant persons”). Any material on the Website that constitutes a financial promotion must not be acted on or relied on by persons who are not relevant persons, and any investment activity to which the Website relates is only available to relevant persons and will be engaged in only with relevant persons.
The information featured on the Website may relate to services of any entity/person incorporated and operating outside of the United Kingdom or to other matters which are not regulated by the FCA. In such case, the provision of such services will not have the benefit of UK regulatory protections, including those provided in respect of the FCA rules and the UK compensation scheme. In particular, Aviditi Advisors and certain of its other subsidiaries are based outside of the UK and provision of services by them will not have the benefit of such UK regulatory protection.
Germany and European Economic Area
Aviditi Capital Advisors Europe GmbH acts as a tied agent in the context of investment brokerage of financial instruments pursuant to Section 2 clause 2 no. 3 of the German Securities Institutions Act (Wertpapierinstitutsgesetz, "WpIG") exclusively for the account and under the liability of the securities institution AHP Capital Management GmbH, Weißfrauenstraße 12 to 16, 60311 Frankfurt am Main, Germany pursuant to Section 3 clause 2 WpIG. Further information on the investment services offered may be found here. Distribution of financial instruments in the European Economic Area is conducted exclusively by Aviditi Capital Advisors Europe GmbH.