Legal
Regulatory Disclosures
Last updated: March 2026
Regulatory & Compliance Disclosures
AGEORGE & CO., LLC is a private M&A advisory firm. The following disclosures are provided in accordance with applicable regulatory requirements and industry best practices.
Nature of Services
AGEORGE & CO., LLC provides mergers and acquisitions advisory services, including buy-side and sell-side transaction advisory, strategic counsel, and related financial advisory services. We do not provide broker-dealer services, manage investment portfolios, or solicit securities transactions.
Conflicts of Interest
AGEORGE & CO., LLC maintains policies and procedures designed to identify and manage potential conflicts of interest. Where conflicts cannot be adequately managed, we will disclose the nature of the conflict to affected clients and, where appropriate, decline the engagement. Clients are encouraged to raise any concerns regarding potential conflicts at the outset of and throughout any engagement.
Confidential Treatment of Client Information
All non-public information regarding clients, prospective clients, and counterparties is treated as strictly confidential. Our personnel may not trade in the securities of any company for which the Firm has material non-public information. These policies are enforced through training, supervision, and regular compliance review.
No Guarantee of Results
Past transaction experience does not guarantee future results. All M&A transactions involve substantial risk, and successful outcomes depend on a wide range of factors outside the control of any adviser. Nothing in our marketing materials or client communications should be construed as a guarantee or promise of any specific outcome.
Fee Disclosure
Our fee arrangements are disclosed in full in the engagement letter executed at the commencement of each advisory engagement. Fees are typically structured as a combination of retainer and success-based components. We do not accept undisclosed compensation from third parties in connection with client engagements.
Contact for Compliance Matters
Questions regarding regulatory or compliance matters may be directed to our compliance function at info@ageorgeco.com.