Safe Harbor Statement

UD Advisory Inc. provides mergers and acquisitions advisory services in accordance with the M&A Broker Exemption codified in Section 15(b)(13) of the Securities Exchange Act of 1934, enacted through the Consolidated Appropriations Act, 2023 (Pub. L. No. 117-328). This exemption permits certain advisors to facilitate change-of-control transactions involving privately held companies without registering as a broker-dealer, provided that specific conditions are met.

Consistent with the exemption, UD Advisory Inc. advises on transactions in which the acquirer will assume control—typically defined as acquiring 25% or more of the voting equity and having the contractual right to direct management or policies—and where the buyer intends to actively operate the business post-transaction. We do not handle client funds or securities, participate in public offerings, arrange third-party financing, or advise passive investors.

This website and its contents are for informational purposes only and do not constitute an offer to sell or a solicitation of an offer to buy any security. All services are subject to applicable federal and state securities laws, and no representation is made as to the availability of such services in jurisdictions where such activity would require registration.

For further information on the federal M&A Broker Exemption, please review Goodwin Procter’s commentary.

Prospective clients and transaction participants are encouraged to seek independent legal counsel regarding the regulatory implications of their specific circumstances.