News & Insights
Information on the Website
The information presented on or through our Website is made available for informational purposes only. We do not warrant the timeliness, currency, reliability, relevance, accuracy, or completeness of this information, which may contain errors or inaccuracies, including but not limited to any typographical or substantive errors. Any reliance you place on such information is strictly at your own risk. We disclaim all liability and responsibility arising from any reliance placed on such information by you or any other visitor to the Website, or by anyone who may be informed of any of its contents. We reserve the right, in our sole discretion, without any obligation and without any notice requirement, to discontinue, change, improve, or correct the information presented on or through the Website. Any dated information is published as of its date only, and we have no responsibility to update or amend any such information. None of the information contained in the Website constitutes a recommendation, solicitation, or offer by us to buy or sell any securities or other financial instruments or provide any financial, legal, tax, investment, or other advice. Some products and services described in the Website may not be available in all jurisdictions or to all clients. Any transactions listed on the Website are included only as representative transactions. Past performance is no guarantee of future results. Certain of the information contained herein may be based upon forward-looking statements. Forward-looking statements are inherently uncertain and factors affecting the markets in general or industries or issuers in particular may cause events or results to vary from those described herein. Accordingly, you should not rely on or draw conclusions from forward-looking statements.
Disclaimer of Warranties
The information, products, and services on the Website are provided on an "as is," "where is," and "where available" basis and are used only at your sole risk, without any representations, warranties, or conditions of any kind, whether express, implied, or statutory.
We and our affiliates, and our and their respective agents and licensors, expressly disclaim all express, implied, or statutory representations, warranties, or conditions with respect to the Website, including its content, and any products and services made available through the Website, including, without limitation, representations, warranties, or conditions (a) of merchantability, fitness for a particular purpose, quiet enjoyment, security, safety, title, legality, or non-infringement, (b) of error-free or uninterrupted use of the Website, that defects will be corrected, that the Website and the server that makes it available will be free of viruses or other harmful components, or with regard to any delay or loss of or limit on access to or use of the Website, (c) that the information on the Website will meet your needs or expectations, (d) arising from course of dealing or course of performance, (e) that the content or other information on the Website is timely, current, accurate, complete, relevant, or reliable, (f) relating to system performance and effects on or damages to software and hardware in connection with any use of the Website, and (g) regarding the results to be obtained from using the Website, including its content, or products and services made available through the Website.
We and our affiliates, and our and their respective agents and licensors, shall not be liable for any harm caused by any virus or other computer code or programming device that might be used to access, modify, delete, damage, corrupt, deactivate, disable, disrupt, or otherwise impede in any manner the operation of the Website or any of your software, hardware, data, or property due to your use of the Website or downloading of any material posted on it, or on any Website linked to it. You are responsible for implementing sufficient procedures and checkpoints to satisfy your particular requirements for anti-virus protection and accuracy of data input and output, and for maintaining a means external to the Website for any reconstruction of lost data. Except as otherwise required by law, we shall have no liability for losses caused by the negligence, actions or failure to act of any third party, including, but not limited to, your internet access provider.
Proprietary Rights
The Website and its entire contents, features, and functionality (including, but not limited to, all information, software, text, displays, graphics, photographs, illustrations, images, video, and audio; all pages and screens, the design, selection, and arrangement thereof; and all related metadata) are owned by us, our licensors, or other providers of such material and are protected by United States and international copyright and other intellectual property or proprietary rights laws and treaties.
Aviditi Advisors, the Aviditi Advisors logo, and all other names, logos, product and service names, designs, and slogans that appear on the Website are trade names and trademarks of Aviditi Capital Advisors, LLC, its affiliates or third parties. Aviditi Advisors is a trade name for Aviditi Capital Advisors, LLC, and its subsidiaries and affiliates worldwide. You may not use any trade names or trademarks for any purpose, including, but not limited to, use as metatags on other pages or sites on the world wide web without our prior written permission or the written permission of the third party that owns such trade names or trademarks.
Third Party Content
Some of the information available through the Website is provided to us by third parties. These third-party materials are provided for your interest and convenience only. We do not endorse these materials or the vendors who supply them, nor do we warrant or represent that these materials are current, accurate, complete, relevant, or reliable. It is your responsibility to evaluate the currency, accuracy, completeness, relevance, and reliability of all information obtained or provided through the Website. You use these third-party materials at your own risk.
Use of Links
The Website may contain links to and be linked from third-party websites. These links are provided only as a convenience and do not imply an affiliation, sponsorship, endorsement, approval, warranty, investigation, verification, review, or monitoring by us of any information contained in any third-party website. We are not responsible for the information contained on that website or your use of or inability to use that website. You use these links at your own risk and should apply a suitable level of caution and discretion in doing so. You should make whatever investigation you feel necessary or appropriate before proceeding with any transaction in connection with such links. Links do not imply that any linked website is authorized to use any of our intellectual property. If you choose to connect to a third-party website, we make no warranties, either express or implied, concerning the content of such website, including, but not limited to, the accuracy, completeness, reliability, or suitability thereof for any particular purpose, nor do we warrant that such website or content is free from any claims of copyright, trademark, or other infringement of the rights of third parties or that such website or content is devoid of viruses or other contamination. You should also be aware that the terms of use of such website and such website’s privacy policy may be different from those applicable to your use of the Website.
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).
If you have questions regarding our Business Continuity Plan, you may contact us through the Website. The Plan is subject to change without notice. In the event the Business Continuity Plan summary is modified, the updated summary document will be available through the Website.
The material on the Website is not intended to be, or construed as being, investment advice or services or any offer or solicitation in respect thereof, nor a recommendation of any particular security or investment. Nothing in the Website is, or should be construed as, an offer to, or a solicitation of, any person to sell or buy any security or investment. You should obtain independent professional advice if you intend to buy or sell any security or investment. The information and services provided on the Website are not provided to and may not be used by any person or entity in any jurisdiction where the provision or use thereof would be contrary to applicable laws, rules, or regulations of any governmental authority, or regulatory or self-regulatory organization, or where we are not authorized to provide such information or services.
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.
The investment products and services of Aviditi Capital Advisors UK Ltd. are only available to professional clients and eligible counterparties. They are not available to retail clients. The Website is provided for informational purposes only and is not directed at, or intended for distribution to or use by, any person or entity who is a citizen or resident of or located in any jurisdiction (including the United Kingdom) where such distribution, publication, availability or use would be contrary to applicable law or regulation which would subject Aviditi Capital Advisors UK Ltd. or its subsidiaries or affiliates to any registration or licensing requirements with such jurisdiction.
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.