transactions

June 2021

352,000,000

Sole Placement Agent
Aviditi Financial, LLC

Feb. 2021

Sole Placement Agent
Aviditi Financial, LLC

Dec. 2020

1,400,000,000

Sole Placement Agent
Aviditi Financial, LLC

Successfully exceeded hard cap on first-time buyout fund, completing all closings during the COVID pandemic.

Advised on syndication of HoldCo PIK Loan in order to reduce core fund’s equity exposure, achieving historically tight pricing, which was within ~250 bps of Second Lien Term Loan.

Successful Q4:2020 final close of Capital Formation digital infrastructure mandate.

Dec. 2020

600,000,000

Advisor
Aviditi Capital Advisors, LLC

Nov. 2020

400,000,000

Sole M&A Advisor
Aviditi Financial, LLC

Jul. 2020

345,000,000

Advisor
Aviditi Capital Advisors, LLC

Successfully advised pricing of financial services SPAC, twice the size of any other in market with 1/3 warrant coverage.

Acquisition of Gordon Brothers Finance Company from BlackRock Capital Investment Corporation

Advised on the pricing of an Oil & Gas SPAC with an oversubscribed order book

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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).

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.

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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).

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.