3Wire Advisory LLC (“3Wire Advisory” or the “Firm”), a subsidiary of 3Wire LLC (“3Wire”, “us”, “we”, or “our”), provides financial advice on mergers, acquisitions, financial restructurings, and similar corporate finance matters; and acts as a placement agent in private securities transactions for institutional clients. 3Wire Advisory does not offer or sell securities to or carry accounts for retail customers. 3Wire Advisory is regulated by the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC).

USA Patriot Act Notice to Clients

The USA Patriot Act and other applicable rules and regulations require us to obtain, verify, and record information to identify each entity or individual that enters into a business relationship with us. We may ask for your address, identification number, corporate documents, or other identifying information to help us verify your identity. We may use a third-party source to confirm the information you provide us.

Customer Complaint Notice Disclosure Statement

In accordance with SEC Rule 17a-3(a)(18)(ii), complaints may be reported to the Chief Compliance Officer immediately by telephone at +1 (771) 210-1658, by email at compliance@3wp.com, or by mail at the following address:

3Wire Partners
ATTN: Chief Compliance Officer
1717 Pennsylvania Avenue NW, Suite 300
Washington, D.C. 20006

Business Continuity Plan

The Firm prioritizes the continuity of its services and commitment to its clients, even in an emergency or Significant Business Disruption (“SBD”). The Business Continuity Plan (the “BCP”), in compliance with FINRA Rule 4370, ensures the Firm is prepared for both internal and external SBDs. The BCP is reviewed annually and updated as necessary and encompasses key elements such as data backup (both electronic and hard copy), maintenance of mission-critical systems, financial and operational assessments, and alternative communication strategies with clients and staff. Additionally, the BCP addresses the continuity of regulatory reporting.

Designated contacts and disaster recovery coordinators are tasked with implementing the BCP and assessing the nature of any disruptions, ensuring a swift and effective response. Our approach includes the flexibility of alternate work locations and diverse communication methods to maintain uninterrupted contact with clients, regulators, and internal personnel. In the unlikely event that the Firm determines it’s unable to continue its business, the Firm will notify its clients to that effect and make available to each of them any records and other documents it maintains related to the continuation of their business.

If you have questions regarding the BCP, you may contact us at compliance@3wp.com. We will review this Business Continuity Plan at least annually to modify it for any changes in our operations, structure, business, or location.