Regulatory Disclosures and Business Continuity Plan

Regulatory Disclosures

Tidal Partners LLC (“Tidal Partners”) provides independent financial advice on mergers, acquisitions, financings, capital raisings and similar matters. Tidal Partners is not a retail broker-dealer. Tidal Partners does not conduct underwriting activities, provide research or analyst reports or solicit or carry accounts for, or offer or sell securities products to, retail customers.  Tidal Partners is registered as a broker-dealer with the Securities and Exchange Commission (“SEC”) and is a member of the Financial Industry Regulatory Authority, Inc ("FINRA").

The information and services provided on this web site are not provided to and may not be used by any person or entity in any jurisdiction where the provision or use thereof would be contrary to applicable laws, rules or regulations of any governmental authority or regulatory or self-regulatory organization or where Tidal Partners is not authorized to provide such information or services.

Tidal Partners, in accordance with Rule 17a-3(a)(18)(ii), is furnishing this statement to provide each of its customers with an address and a telephone number to which any possible complaints may be directed:

Tidal Partners LLC
817 Broadway, Floor 7
New York, NY 10003
Attn: Compliance Department


Telephone:  650.748.9000

Business Continuity Plan

Tidal Partners LLC (“Tidal Partners” or the “Firm”) has developed a Business Continuity Plan (“BCP”) that is designed to ensure the continuation or prompt resumption of our business in the event of a significant business disruption (“SBD”). Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they transpire.  The BCP is designed to enable us to recover and return to business operations as quickly as possible.

In the event of a SBD, we will assess which means of communication are still available to us and communicate accordingly with clients, where necessary.  If you cannot communicate with us as you usually do, you should contact us at

We believe that we have implemented reasonable measures to quickly resume business operations after a significant business disruption and safeguard our employees, property, and books and records.  The BCP addresses data backup and recovery; all mission critical systems; financial and operational assessments; alternative communications with clients, employees, and regulators; alternate physical location of employees; critical supplier, bank and counterparty impact; and regulatory reporting.

Significant business disruptions can vary in their scope, such as affecting only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region.  Within each of these areas, the severity of the disruption can also vary from minimal to severe.  We plan to mitigate the impact of a disruption through a combination of data redundancy, secondary location, and remote computing.  However, in the event of a business disruption, Tidal Partners cannot guarantee that it will be able to continue or resume business operations within any specified period of time.

If you have questions about the BCP, you can contact us at or through our website,