About The Tie Capital
The Tie Capital LLC ("The Tie Capital") is a broker-dealer registered with the U.S. Securities and Exchange Commission and a member of the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC). The Tie Capital provides investment banking and capital markets advisory services to institutional clients, including private capital raises, mergers and acquisitions advisory, restructuring, and special situations advisory.
No Offer or Solicitation
The information on this website is provided for general informational purposes only and does not constitute an offer to sell or a solicitation of an offer to buy any security, financial instrument, or service in any jurisdiction. Any such offer or solicitation will be made only by means of definitive offering documents and pursuant to applicable law.
Not Investment, Legal, or Tax Advice
Nothing on this website constitutes investment, legal, tax, or accounting advice, nor a recommendation to buy, sell, or hold any security or to engage in any transaction. Prospective clients and counterparties should consult their own advisors before making any investment, legal, or tax decisions.
Jurisdictional Limitations
The Tie Capital is registered to conduct securities business in the states and jurisdictions listed on its Form BD and BrokerCheck record. This website is not directed to, and the services described herein are not available to, persons in jurisdictions where The Tie Capital is not registered or otherwise authorized to conduct business. The information on this website should not be construed as an offer or solicitation in any jurisdiction where such an offer or solicitation would be unlawful.
Digital Assets and Cryptocurrency Disclosure
The Tie Capital provides advisory services to clients in the digital asset industry. The regulatory treatment of digital assets, including the classification of certain digital assets as securities under U.S. federal securities laws, is evolving and subject to ongoing interpretation by the SEC, CFTC, FINRA, and other regulators. Digital assets involve substantial risks, including but not limited to extreme price volatility, illiquidity, regulatory uncertainty, cybersecurity risks, and the potential for total loss. The Tie Capital does not custody digital assets, does not effect transactions in digital assets that are not registered securities, and does not provide advice on the classification of any digital asset under applicable securities laws. Clients and counterparties are responsible for their own independent legal and regulatory analysis of any digital asset.
Forward-Looking Statements
This website may contain forward-looking statements regarding The Tie Capital, market trends, or the digital asset industry. Forward-looking statements are subject to risks and uncertainties that could cause actual results to differ materially. The Tie Capital undertakes no obligation to update any forward-looking statements.
Confidentiality of Communications
Communications with The Tie Capital, including via email, web form, or other electronic means, are not guaranteed to be secure, confidential, or timely. Do not transmit sensitive personal, financial, or transactional information through unsecured channels.
Third-Party Content and Links
This website may contain links to third-party websites or reference third-party content. The Tie Capital does not endorse, control, or assume responsibility for any third-party content or websites.
Past Performance
Any references to prior transactions, deal activity, or aggregate transaction value are provided for informational purposes only and reflect the historical experience of The Tie Capital or its personnel. Past performance is not indicative of future results, and no representation is made that future transactions will achieve comparable outcomes.
Business Continuity Plan
The Tie Capital has developed a Business Continuity Plan addressing how the firm will respond to events that significantly disrupt its business. A summary of the plan is available upon request by contacting adriana@thetie.io. The plan is subject to change without notice.
Customer Complaints
To report a complaint regarding The Tie Capital or any of its registered representatives, please contact adriana@thetie.io. You may also file a complaint directly with FINRA via the FINRA Investor Complaint Center.
SIPC Coverage
SIPC provides limited protection for securities and cash held by member broker-dealers in the event of broker-dealer insolvency. SIPC does not protect against market losses. SIPC does not cover digital assets that are not registered securities. For more information, visit www.sipc.org.
Contact
The Tie Capital LLC
555 Madison Ave
New York, NY 10022
CRD #: 340762