Secfi Advisory Limited and Secfi Limited (each, an "Adviser" and collectively, the "Advisers"), are wholly owned subsidiaries of Secfi, Inc. ("Secfi"), and are regulated by the Securities and Exchange Commission as exempt reporting advisers, providing non-discretionary investment advice to private funds. Specifically, each Adviser serves as a non-discretionary sub-adviser to certain pooled investment vehicles (each, a "Fund") managed by a third-party manager (the "Fund Manager"). Each Fund has been or will be formed by the Fund Manager for various purposes, including but not limited to, acquiring exposure to the stock ("Shares") of late-stage and growth-stage private technology companies ("Companies") held by the employees of such Companies who are seeking liquidity ("Shareholders"). The Advisers provide investment management services to the Funds on a non-discretionary basis solely with respect to the recommendation of certain Private Financing Contracts in order to facilitate each Fund’s desired exposure to the relevant Companies. Such advisory services performed by each Adviser are limited exclusively to recommending, arranging and negotiating Private Financing Contracts on behalf of each Fund. The Advisers do not have discretion to make investments on behalf of a Fund save for recommending Private Financing Contracts consistent with the general strategy and investment guidelines of a particular Fund. Accordingly, the Funds are the Advisers’ clients; Shareholders are not customers or clients of the Advisers. The Advisers do not provide any type of investment, securities, tax, or brokerage advice or services to the Shareholders in any capacity.
Private Financing Contracts are brokered by the Advisers’ affiliate, Secfi Securities, LLC, member FINRA/SIPC Check the background of Secfi Securities, LLC on FINRA’s BrokerCheck.
Nothing in this communication should be construed as an offer, solicitation of an offer, or advice to buy or sell securities. This is not a recommendation to buy, hold, or sell an investment or financial product, or take any action. Investing or transacting in private securities, including Private Financing Contracts, involve risk, including the possible loss of all principal. Private securities are highly speculative and less liquid than publicly traded securities. Investors should consider their investment objectives and risks carefully before transacting in private securities. All graphs, charts, case studies and illustrations are for educational and illustrative purposes only and are not necessarily indicative of future results. They are based on the best available information at any given time but subject to change without notice.