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Regulatory Disclosures

Last Updated on 8/12/2025

1. Introduction

  • SIlicon Valley Highpoint Capital LLC (“SVH Capital”, “we”, “us”, or “the Firm”) is committed to transparency and regulatory compliance. This page provides essential disclosures in accordance with guidelines issued by the Financial Industry Regulatory Authority (FINRA) and the U.S. Securities and Exchange Commission (SEC).
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2. Firm Status

  • SVH Capital is NOT registered as a broker-dealer with FINRA or the SEC.
  • We provide investment banking advisory services, including but not limited to mergers and acquisitions (M&A) and capital raising.

SVH Capital does not execute securities transactions, custody or manage client funds/securities, nor recommend or solicit the purchase/sale of securities.
Clients seeking brokerage or investment advisory services should contact a properly registered broker-dealer or registered investment adviser.

3. Securities Activities and Individual Registration

  • Shawn Flynn (CRD #305908), Managing Director of SVH Capital, is a registered representative of FINALIS SECURITIES LLC (Member FINRA/SIPC).
  • All securities transactions, private placements, or related regulated activities are offered exclusively through FINALIS SECURITIES LLC, which is subject to FINRA and SEC rules.
  • Investor protections, such as SIPC coverage, apply strictly to eligible accounts and transactions at FINALIS SECURITIES LLC, not to SVH Capital advisory services.

Public Disclosure Resources

Disclosure

Where to Access

Shawn Flynn’s FINRA BrokerCheck Profile

https://brokercheck.finra.org

FINALIS SECURITIES LLC’s Customer Relationship Summary (Form CRS)

https://www.finalis.com/regulatory-disclaimers?form-CRS

4. SVH Capital Disclosures

  • No BrokerCheck Profile for SVH Capital:
    SVH Capital is not registered with FINRA and thus does not maintain a BrokerCheck profile.
  • Advisory Services:
    All investment banking / advisory services (e.g., business sales, capital introductions, strategic consulting) are provided solely by SVH Capital and are separate from FINALIS SECURITIES LLC.

Legal Entity Separation:
SVH Capital and FINALIS SECURITIES LLC are unaffiliated, distinct legal entities.

5. Key Compliance Statements

  • No Solicitation or Recommendations:
    Nothing on this website, nor communications from SVH Capital, constitutes an offer to buy or sell securities, solicitation, or investment advice. We do not recommend specific investments or securities.
  • Investor Protections:
    SIPC coverage and other regulatory protections apply only to securities transactions executed through a broker-dealer such as FINALIS SECURITIES LLC, not to SVH Capital’s advisory services.
  • Complaints Regarding Securities Activities:
    For concerns about securities-related services, please contact the FINALIS SECURITIES LLC Compliance Department:
    • Email: compliance@finalis.com
    • Phone: (800) 965-3605

Mailing Address: 228 Park Ave South, Suite 85550, New York, NY 10003

6. Additional Disclosures

  • Conflicts of Interest:
    SVH Capital may receive fees for advisory services, such as hourly, retainer, or transaction-based compensation in connection with advisory engagements. Any compensation related to securities transactions is earned solely through FINALIS SECURITIES LLC.

Private Placements:
Any private securities offerings, including those limited to accredited investors, are conducted exclusively through FINALIS SECURITIES LLC and subject to broker-dealer compliance review.

7. Definitions & Further Resources

  • FINRA: Financial Industry Regulatory Authority oversees broker-dealers.
  • SIPC: Securities Investor Protection Corporation safeguards certain brokerage account assets.
  • Form CRS: Customer Relationship Summary describes services, fees, conflicts, and regulatory disclosures.
  • BrokerCheck: FINRA’s public tool to verify registration and background of firms or representatives.

8. Jurisdiction

SVH Capital operates under the laws of the State of California and applicable federal law. Disclosures herein do not constitute legal or investment advice.

9. Review and Updates

This page is reviewed on a regular basis and updated promptly upon material changes in firm status, operations, or regulatory guidance. Material changes will be posted with an updated “Last Updated” date.

For questions or further information, please contact SVH Capital at contact@svhcapital.com or via our General Contact Form.

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SVH Capital empowers business owners and shareholders to buy, sell, and grow companies with confidence. 

By combining smart technology with hands on guidance, we turn complex transactions into smooth successes. Because your biggest financial decisions deserve clarity, care, and a team that truly listens.

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© 2025 SVH Capital. All rights reserved.

SECURITIES ARE OFFERED THROUGH FINALIS SECURITIES LLC MEMBER FINRA / SIPC. SILICON VALLEY HIGHPOINT CAPITAL LLC IS NOT A REGISTERED BROKER-DEALER, AND FINALIS SECURITIES LLC AND SILICON VALLEY HIGHPOINT CAPITAL LLC ARE SEPARATE, UNAFFILIATED ENTITIES. FINALIS PRIVACY POLICY | FINALIS BUSINESS CONTINUITY PLAN | FINRA BROKERCHECK

SVHCAPITAL.COM (THE “SILICON VALLEY HIGHPOINT CAPITAL LLC WEBSITE”) IS A WEBSITE OPERATED BY SILICON VALLEY HIGHPOINT CAPITAL LLC, A PRIVATELY HELD CALIFORNIA LIMITED LIABILITY COMPANY. SILICON VALLEY HIGHPOINT CAPITAL LLC PROVIDES FINANCIAL AND STRATEGIC ADVISORY, CONSULTING SERVICES, MERGERS AND ACQUISITIONS SERVICES, FAIRNESS OPINIONS, ETC.

DISCLAIMER: THIS WEBSITE IS FOR INFORMATIONAL PURPOSES ONLY, IS NOT AN OFFER, SOLICITATION, RECOMMENDATION, OR COMMITMENT FOR ANY TRANSACTION OR TO BUY OR SELL ANY SECURITY OR OTHER FINANCIAL PRODUCT, AND IS NOT INTENDED AS INVESTMENT ADVICE OR AS A CONFIRMATION OF ANY TRANSACTION. PRODUCTS AND SERVICES ON THIS WEBSITE MAY NOT BE AVAILABLE FOR RESIDENTS OF CERTAIN JURISDICTIONS. PLEASE CONSULT WITH A FINALIS SECURITIES’ REGISTERED REPRESENTATIVE REGARDING THE PRODUCT OR SERVICE IN QUESTION FOR FURTHER INFORMATION. INVESTMENTS INVOLVE RISK AND ARE NOT GUARANTEED TO APPRECIATE. ANY MARKET PRICE, INDICATIVE VALUE, ESTIMATE, VIEW OPINION, DATA, OR OTHER INFORMATION HEREIN IS NOT WARRANTED AS TO COMPLETENESS OR ACCURACY, IS SUBJECT TO CHANGE WITHOUT NOTICE, AND SILICON VALLEY HIGHPOINT CAPITAL LLC ALONG WITH FINALIS SECURITIES LLC ACCEPTS NO LIABILITY FOR ITS USE OR TO UPDATE IT OR KEEP IT CURRENT.

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