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

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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

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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 4th Floor, Reading Bridge House, George Street, Reading, Berkshire, RG1 8LS.

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