Business Continuity Plan

JDF Capital Advisors, LLC has developed a Business Continuity Plan to guide its actions in the event of a significant internal or external business disruption. In response to such an event, JDF Capital seeks to safeguard its employees’ lives and firm property including all books and records, make a financial and operational assessment and promptly recover and resume operations. JDF Capital facilitates mergers and acquisitions, business valuations and private placements. Due to the nature of our business, we do not hold customer funds or securities, trade on behalf of customers, or provide investment advice. With that in mind, we are providing you with this information on our business continuity plan.

Contacting Us
In the event of a significant business disruption, our contact information will remain the same as usual by telephone at (888) 999-9495. Calls not answered at this number will be forwarded to cell phones maintained by the firm’s emergency contact personnel.

Our Business Continuity Plan allows us to quickly resume business operations after a significant business disruption and ensures that we address all the issues and concerns presented by the disruption. Our business continuity plan addresses data back up and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting, and assuring our customers prompt access to their funds and securities if we are unable to continue our business.

Our firm backs up its complete electronic records daily through an automatic process in place on the firm’s server. A back up copy is maintained at a geographically separate location. Varying disruptions – significant business disruptions can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within 24 hours. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, recover and resume business within 24 hours or more. In either situation, we plan to continue our business, and if necessary, transfer operations to an alternate location and notify our clients of the best way to contact the firm.

For More Information
If you have questions about our business continuity plan, you can contact us at:

JDF Capital Advisors, LLC
650 S. Cherry Street, Suite 1200
Denver, Colorado 80246
(888) 999-9495