Full text of DFA Securities LLC's X-17A-5 filed 2023-03-29 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ## **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington,** D.C. **20549** | Expires: Oct. 31, 2023<br>Estimated average burden<br>hours per response: 12 | | | |------------------------------------------------------------------------------|--|--| | | | | ## **ANNUAL REPORTS FORM X-17A-5 PART** Ill | Estimated average burden | | |--------------------------|--| | hours per response: 12 | | | SEC FILE NUMBER | | OMBAPPROVAL 0MB Number: 3235-0123 8-27006 **FACING PAGE** **Information Required Pursuant to Rules 17a-s, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | FILING FOR THE PERIOD BEGINNING | __<br>___<br>0_1_/0_1_/2_2 | AND ENDING | __<br>___<br>1_2_/3_1_/2_2 | | | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------|-----------------------------------------|--------------------------------|--|--| | | MM/DD/VY | | MM/DD/VY | | | | A. REGISTRANT IDENTIFICATION | | | | | | | NAME OF FIRM: __<br>D_F_A_S_e_c_u_r_iti_e_s_L_L_C | | _________________ | _ | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>D Security-based swap dealer<br>~ Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | | D Major security-based swap participant | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | 6300 Bee Cave Road, Building One | | | | | | | | (No. and Street) | | | | | | Austin | TX | | 78746 | | | | (City) | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | S-ernard J. Grzelak | (512) 306-4409 | | Bernie.Grzelak@dimensional.com | | | | (Name) | (Area Code -Telephone Number) | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>PricewaterhouseCoopers LLP | | | | | | | | (Name- if individual, state last, first, and middle name) | | | | | | 1100 Walnut Street, Suite 1300 | | MO | 64106 | | | | (Address) | Kansas City<br>(City) | (State) | (Zip Code} | | | | 10/20/2003 | | 0238 | | | | | T"<br>of ,~ratio• with PCAOBII• ,ppU<a~eJ | | | | | | | | FOR OFFICIAL USE ONLY | | | | | • Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public ac;countant must be supported by…Read the full text as markdown