# DFA Securities LLC X-17A-5 (2023-03-29) — Broker-dealer annual report

- Company: DFA Securities LLC
- Form: X-17A-5
- Filed: 2023-03-29
- Period: 2022-12-31
- Accession: 0000700039-23-000002
- CIK: 700039
- File #: 8-27006
- Type: Broker-dealer
- Material weakness: No
- Auditor: PRICEWATERHOUSECOOPERS LLP
- Auditor location: KANSAS CITY, MO
- Contact: BERNARD J. GRZELAK
- Phone: (512) 306 4409
- Email: bernie.grzelak@dimensional.com
- Website: dimensional.com
- Signed by: BERNARD J. GRZELAK (CHIEF FINANCIAL OFFICER, TREASURER AND VICE PRESIDENT)

Original filing: https://www.sec.gov/Archives/edgar/data/700039/000070003923000002/X17a5_CoverPage.pdf

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## **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington,** D.C. **20549**

| Expires: Oct. 31, 2023<br>Estimated average burden<br>hours per response: 12 |  |  |
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## **ANNUAL REPORTS FORM X-17A-5 PART** Ill

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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 a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e}(l)(ii), if applicable.

Persons who are to respond to the collection of Information contained In this form are not required to respond unless the form displays a currently valid 0MB control number.

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## **OATH OR AFFIRMATION**

I, Bernard J. Grzelak swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of OF A Securitjes LLC • as of

December 31 • 2 022 • is true and correct. I further swear (or affirm} that neither the company nor any partner. officer, director, or equivalent person, as the case may be, has any proprietary interest in any account classified solely as that of a customer.

*<sup>~</sup> )/4wuµ\_* Not · blic

## **This filing•• contains (check all applicable boxes):**

- ~ (a) Statement of financial condition.
- ~ **(b)** Notes to consolidated statement of financial condition.
- liZI (c) Statement of income (loss) or, if there is other comprehensive income in the period(s) prest!nted, a statement of comprehensive income (as defined in § 210.1-02 of Regulation S-X).
- 0 (d) Statement of cash flows.
- 0 (e) Statement of changes in stockholders' or partners' or sole proprietor's equity.
- 0 (f) Statement of changes in liabilities subordinated to claims of creditors.
- 0 (g) Notes to consolidated financial statements.
- 621 (h) Computation of net capital under 17 CFR 240.15c3-1 or 17 CFR 240.lSa-1, as applicable.
- □ (i) Computation of tangible net worth under 17 CFR 240.lSa-2.
- □ (j) Computation for determination of customer reserve requirements pursuant to Exhibit A to 17 CFR 240.15c3-3.
- □ (k) Computation for determination of security-based swap reserve requirements pursuant to Exhibit B to 17 CFR 240.15c3-3 or Exhibit A to 17 CFR 240.lSa-4, as applicable.
- D (I) Computation for Determination of PAB Requirements under Exhibit A to § 240.1Sc3-3.
- D (m) Information relating to possession or control requirements for customers under 17 CFR 240.15c3-3.
- D (n) Information relating to possession or control requirements for security-based swap customers under 17 CFR 240.15c3-3(pl(2) or 17 CFR 240.lSa-4, as applicable.
- 0 (o) Reconciliations, including appropriate explanations, of the FOCUS Report with computation of net capital or tangible net worth under 17 CFR 240.15c3-1, 17 CFR 240.lSa-1, or 17 CFR 240.lSa-2, as applicable, and the reserve requirements under 17 CFR 240.15c3-3 or 17 CFR 240.lSa-4, as applicable, if material differences exist, or a statement that no material differences exist.
- D (p) Summary of financial data for subsidiaries not consolidated in the statement of financial condition.
- f;£l (q) Oath or affirmation in accordance with 17 CFR 240.17a-5, 17 CFR 240.17a-12, or 17 CFR 240.lSa-7, as applicable.
- D (r) Compliance report in accordance with 17 CFR 240.17a-S or 17 CFR 240.lSa-7, as applicable.
- D (s) Exemption report in accordance with 17 CFR 240.17a-5 or 17 CFR 240.lSa-7, as applicable.
- □ (t) Independent public accountant's report based on an examination of the statement of financial condition.
- f;£l (u) Independent public accountant's report based on an examination of the financial report or financial statements under 17 CFR 240.17a-5, 17 CFR 240.18a-7, or 17 CFR 240.17a-12, as applicable.
- D (v) Independent public accountant's report based on an examination of certain statements in the compliance report under 17 CFR 240.17a-S or 17 CFR 240.lSa-7, as applicable.
- D (w) Independent public accountant's report based on a review of the exemption report under 17 CFR 240.17a-S or 17 CFR 240.lSa-7, as applicable.
- □ (x) Supplemental reports on applying agreed-upon procedures, in accordance with 17 CFR 240.15c3-1e or 17 CFR 240.17a-12, as applicable.
- IZI (y) Report describing any material inadequacies found to exist or found to have existed since the date of the previous audit, or a statement that no material inadequacies exist, under 17 CFR 240.17a-12(k). <sup>D</sup>(z) Other:--------------------------------------
- 
- \*'''To request confidentiaf treatment of certain portions of this filing, see 17 CFR 240.17a-5(e}(3} or 17 CFR 240.18a-7(d}(2}, as applicable.

Signature:

Title: Chief Financial Officer, Treasurer & Vice President

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Source: SEC EDGAR via Adviser Search (https://search.stillhousedata.com). Agents: see https://search.stillhousedata.com/llms.txt.