Partners Advisory, LLC is not a broker-dealer.
Partners Advisory, LLC (“Partners Advisory” or the “Firm”) is a Delaware limited liability company. Partners Advisory is not a registered broker-dealer and is not a member of FINRA or SIPC. Partners Advisory does not itself effect transactions in securities, does not hold or handle client funds or securities, and does not provide investment, legal, accounting, or tax advice.
All securities-related activity referred or introduced by Partners Advisory is conducted through a FINRA-registered U.S. broker-dealer (the “Representing Broker-Dealer”), a broker-dealer registered with the U.S. Securities and Exchange Commission and a member of FINRA and SIPC. Securities transactions are executed by, and securities-related services are provided by, the Representing Broker-Dealer — not by Partners Advisory, LLC. The Representing Broker-Dealer and Partners Advisory, LLC are separate, unaffiliated entities. You may review the Representing Broker-Dealer and its registered representatives on FINRA BrokerCheck.
How transactions and fees work.
Through the Representing Broker-Dealer, clients are introduced to potential buyers or sellers of securities of privately held companies (“Securities”), typically in privately negotiated secondary transactions. If a client closes a Securities transaction with a counterparty so introduced, a success fee is earned under the applicable engagement agreement. Such success fees are earned by and paid through the Representing Broker-Dealer, and transaction-based compensation is paid only to persons appropriately registered with, or associated with, the Representing Broker-Dealer. Success fees may take the form of cash or, where agreed and permitted, warrants or other securities of a client or a client’s affiliate.
Partners Advisory, its Members, or associated persons of the Representing Broker-Dealer may from time to time hold equity or other interests in issuers whose securities are the subject of a transaction, or in clients and their affiliates. Such interests present potential conflicts of interest, which are disclosed and managed in accordance with the Representing Broker-Dealer’s written supervisory procedures.
For qualified counterparties only.
Nothing on this website constitutes an offer to sell or a solicitation of an offer to buy any security, nor a recommendation of any security, issuer, or transaction. Any offer or solicitation will be made only through definitive transaction documentation, only through the Representing Broker-Dealer, and only in jurisdictions where, and to persons to whom, such an offer or solicitation may lawfully be made.
Opportunities described by the Firm are available only to institutional investors, accredited investors (as defined in Rule 501 of Regulation D under the Securities Act of 1933), family offices, and comparable non-U.S. professional counterparties, in each case subject to verification and to the Representing Broker-Dealer’s permitted scope. These opportunities are not available to the retail public. Securities sold in private transactions have not been registered under the Securities Act of 1933 or any state securities laws and are subject to substantial restrictions on transfer and resale.
Risk disclosure
Investments in private-company Securities are speculative and involve a high degree of risk, including the risk of total loss of the amount invested. There is no public market for these Securities, and none may ever develop; investors should have little to no need for liquidity in the foreseeable future and sufficient financial resources to withstand the loss of the entire investment. Private issuers are not subject to the periodic reporting requirements applicable to public companies, and available information may be limited, unaudited, or unverified. Valuations of private securities are inherently uncertain, may be based on stale or negotiated reference points, and may differ materially from the price at which a transaction can actually be completed. Past performance is not indicative of future results. Prospective buyers and sellers of Securities should consult their own legal, tax, and financial advisers before entering into any transaction.
Linked disclosure documents.
Please follow the links below to review the respective disclosure information. The Representing Broker-Dealer’s own regulatory documents (including its Relationship Summary (Form CRS) and Business Continuity Disclosure) are prepared and maintained by the Representing Broker-Dealer and are provided to counterparties on engagement.
Contact.
Questions regarding these disclosures may be directed to legal@partnersadvisory.com. Questions regarding securities transactions or the Representing Broker-Dealer’s disclosures should be directed to the Representing Broker-Dealer.