Business Continuity Disclosure Statement

Beach Tree Capital LLC (“BTC” or the “Firm”) has developed a Business Continuity Plan (“BCP”) to address the possibility of future significant business disruptions (“SBDs”). Because the timing and impact of disasters and disruptions are unpredictable, our BCP is designed to allow us to continue or promptly resume critical operations under a range of circumstances.

Key Elements of Our Plan

Nature of Business: BTC provides investment banking and advisory services, including private placements, secondary transactions, and M&A advisory. BTC does not hold customer funds or securities; investor funds are transmitted directly to issuers, custodians, or escrow agents.

Access to Records: BTC maintains its books and records electronically through Microsoft 365 and AdvisorVault (a WORM-compliant archiving solution), with backup and recovery procedures designed to safeguard data. Records remain accessible to authorized personnel even if an office location is unavailable.

Office Locations: BTC operates from multiple approved office locations in Florida, Massachusetts, and California. If a location is disrupted, personnel will continue to work remotely using secure, cloud-based systems.

Response to Disruptions: In the event of an internal disruption (e.g., loss of power), we will transition to remote operations. In the case of a broader regional or national disruption, we will rely on our distributed workforce and cloud-based technology to maintain business functions and regulatory communications.

Customer Impact: Because BTC does not custody funds or securities, a disruption to our operations will not impact the safety of customer assets. We will remain available to clients through email, telephone, and videoconference, or provide updated instructions through direct communication.

Regulatory Reporting: BTC will continue to meet its regulatory obligations during an SBD, using the communication methods available.

Updates to the Plan: Our BCP is reviewed at least annually and may be modified based on operational, structural, or regulatory changes.

For more information – If you have questions about our business continuity planning, you can contact us by email at info@beachtreecapital.us.