Full text of SAGE, RUTTY & CO., INC.'s X-17A-5 filed 2026-03-02 (period 2025-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | OMB APPROVAL | | | |--------------------------|----|--| | OMB Number: 3235-0123 | | | | Expires: Nov. 30, 2026 | | | | Estimated average burden | | | | hours per response: | 12 | | | SEC FILE NUMBER | | |-----------------|--| | 8-00533 | | | FILING FOR THE PERIOD BEGINNING 1/01/2025 | | | AND ENDING 12/31/2025 | | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|----------|-------------------------------------------|----------------------| | | MM/DD/YY | | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: Sage, Rutty & Co., Inc. | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>Security-based swap dealer<br> Major security-based swap participant<br>Broker-dealer<br>Check here if respondent is also an OTC derivatives dealer | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 100 Corporate Woods, Suite 300 | | | | | | | (No. and Street) | | | | | Rochester | | New York | | 14623 | | (City) | | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Matthew J. Lacey | (585) 232-3760 | | | mlacey@sagerutty.com | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | B. Accountant IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | DeJoy & Co. CPAs, LLP | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 280 East Broad Street, Suite 300 Rochester | | | New York | 14604 | | (Address) | (City) | | (State) | (Zip Code) | | 02/18/2004 | | | 1069 | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable | | | FOR OFFICIAL USE ONLY | | | | | {1}------------------------------------------------ | Matthew J. Lacey<br>swear (or affirm) that, to the best of my knowledge and belief, the | | | | | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--|--|--|--| | tinancial report pertaining to the firm of Sage, Rutty & Co., Inc.<br>as of | | | | | | 12/31<br>, 2 025 , is true and correct. I further swear (or affirm) that neither the company nor…Read the full text as markdown