The regulatory posture that governs TEOL Capital's advisory work and the boundaries of the services the firm provides.
Effective date: to be set at launch
TEOL Capital is an institutional finance advisory firm. TEOL Capital provides advisory services to operators, capital holders, acquirers, and sellers. TEOL Capital does not act as a broker-dealer, investment adviser, placement agent, or finder.
TEOL Capital is not registered as a broker-dealer with the U.S. Securities and Exchange Commission (SEC) or with FINRA. TEOL Capital does not engage in activities requiring such registration, including but not limited to:
TEOL Capital is not registered as an investment adviser. TEOL Capital does not provide investment advice regarding the purchase or sale of securities, does not manage assets, and does not exercise discretionary authority over client portfolios.
All TEOL Capital engagements operate on fixed advisory fees, retained advisory fees, or embedded leadership fees. TEOL Capital does not accept transaction-contingent compensation, success fees on securities transactions, or compensation that varies based on the consummation of a transaction subject to broker-dealer regulation.
TEOL Capital's buy-side advisory services are limited to institutional finance advisory work that does not require broker-dealer registration. This includes transaction readiness preparation, acquisition readiness, financial diligence support, deal underwriting decision support, and post-close finance integration. TEOL Capital does not identify acquisition targets, solicit sellers, or negotiate securities transactions.
TEOL Capital's sell-side advisory services are limited to pre-transaction readiness, finance preparation, diligence defense, process coordination support, and post-close integration. TEOL Capital does not solicit buyers, negotiate securities transactions, or act as an intermediary in the sale of securities. Sell-side clients engaging licensed intermediaries (investment banks, M&A advisors, or broker-dealers) work with those parties separately; TEOL Capital coordinates with such licensed parties as the client's institutional finance advisor.
TEOL Capital frequently works alongside licensed broker-dealers, investment banks, registered investment advisers, attorneys, accountants, and other regulated professionals. TEOL Capital's role remains advisory and does not extend into activities requiring registration.
TEOL Capital's diagnostic instruments — the Institutional Readiness Index, Buy-Side Readiness Index, EBITDA Quality Calculator, and others — are educational tools providing directional reads. They are not investment recommendations, securities offerings, or formal valuations subject to regulatory standards.
Content on this site may include forward-looking observations regarding industry patterns. Such observations are not predictions, guarantees, or representations of future outcomes.
TEOL Capital's content is not directed at any jurisdiction where its publication or use would be contrary to local law or regulation.
These disclosures may be updated. The effective date reflects the most recent revision.