CAPITAL RAISING
Creative. Networked. Discreet.
We provide independent financial advice on capital raising, cross-border mergers & acquisitions. Our focus is on connecting capital providers with capital seekers, institutional investors with businesses and alternative investments in emerging and developed markets. Investment areas include private equity, hedge funds, venture capital, technology, media, healthcare, financial services, real estate, and infrastructure.
HOW
In a world where value creation knows no borders, our connected approach enables investors and capital seekers to benefit from the cross-border flow of capital and development. We prioritize:
- Long-term Client Relationships based on integrity and thoughtful advice.
- Connections: Access to top decision makers and opportunities.
- Expertise: A network of business leaders, policy makers, and economic strategists.
WHY
The world is more complex, more unpredictable, and more interrelated than ever before.
Today, access is opportunity, connectivity is the new currency, and value creation is global. We see this as an unprecedented opportunity for our clients to facilitate and benefit from cross-border capital flow, support global business development, and drive new levels of global prosperity.
NEW YORK
725 5th Avenue, Level 24, New York, NY, USA, 10022.
ABG, LLC is is a broker-dealer registered under the Securities Exchange Act of 1934.
We are a member firm of the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC).
Check the background of this firm on FINRA’s BrokerCheck.
Notice to Canadian Clients Under National Instrument 31-103
Pursuant to the international dealer registration exemption in National Instrument 31-103, the Company is informing you of the following:
- ABG, LLC (the “Company”) is not registered in Canada and is advising you, its client, in reliance upon an exemption from the dealer registration requirement under National Instrument 31-103.
- The below list contains ABG’s agent for service of process for each applicable province:
Borden Ladner Gervais LLP (Laurie J. Cook)
4400 – 40 King Street West
Scotia Plaza
Toronto, Ontario
M5H 3Y4 - Clients may have some difficulty in enforcing any legal rights they may have against the Company because the Company is resident outside Canada and all or a substantial portion of its assets are situated outside Canada. The Company is not fully subject to the requirements of the Securities Act and the regulations thereunder concerning proficiency, capital, insurance, record keeping, segregation of funds and securities, statements of account and portfolio, and conflicts of interest.
BUSINESS CONTINUITY PLAN
ABG, LLC has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.
Contacting Us – ABG, LLC currently communicates with its clients using telephone, email, US Mail, and in person. In the event of a significant business disruption, ABG, LLC will assess which means of communication are still available and use the means closest in speed to the means used in the past. If you cannot contact us at our main number (212) 376-0030, you should email [email protected]. If you cannot access us through either of those means, ABG, LLC will post emergency contract information and instructions on the website regarding access to ABG, LLC and its representatives.
Our Business Continuity Plan – We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the Firm’s books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our Firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.
Our business continuity plan addresses: data backup and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.
If you have questions about our business continuity planning, you can contact us at [email protected].