# SIGNATURE ESTATE SECURITIES, LLC X-17A-5 (2026-04-28) — Broker-dealer annual report - Company: SIGNATURE ESTATE SECURITIES, LLC - Form: X-17A-5 - Filed: 2026-04-28 - Period: 2025-12-31 - Accession: 0000807721-26-000003 - CIK: 807721 - File #: 8-37065 - Type: Broker-dealer - Material weakness: Yes - Auditor: Ferrara, CPA - Auditor location: Hamilton, NJ - Contact: Sarah Russell - Phone: 6314004720 - Email: srussell@cxgllc.com - Website: cxgllc.com - Signed by: Eric Rosen (CCO) Original filing: https://www.sec.gov/Archives/edgar/data/807721/000080772126000003/sesaudit.pdf --- {0}------------------------------------------------ | OMB APPROVAL | |---------------------------| | OMB Number: 3235-0123 | | Expires: Nov. 30, 2026 | | Estimated average burden | | 12
nours per response: | | | 8-37065 01/01/25 12/31/25 Signature Estate Securities, LLC ■ 2121 Avenue of Stars - Suite 1600 Los Angeles CA 90067 Sarah Russell 631-400-4720 srussell@cxgllc.com Ferrara CPA, LLC 100 Horizon Center Blvd. Hamilton NJ 08691 12/17/24 7259 {1}------------------------------------------------ | Eric Rosen | | | | | | | | |------------|--|--|-----|----------------------------------|--|--|--| | | | | | Signature Estate Securities, LLC | | | | | 12/31 | | | 025 | | | | | CCO - - - - - - - - - - - - - - - - - - - - - - - - - - - {2}------------------------------------------------ **"XIPMMZPXOFETVCTJEJBSZPG4JHOBUVSF'JOBODJBM4FSWJDFT(SPVQ--\$** **(SEC I.D. No. 8-37065)** # *Financial Statements and Supplemental Schedules* ### **As of and for the Year Ended December 31,** **and** ## **Report of Independent Registered Public Accounting Firm** **This report is deemed CONFIDENTIAL in accordance with Rule 17a-5(e)(3) under the Securities Exchange Act of 1934. A statement of financial condition is bound separately has been filed simultaneously herewith as a Public Document.** {3}------------------------------------------------ # **'FSSBSB\$1"** +RUL]RQ&HQWHU%OYG Hamilton, NJ 0869 **Tel:** 609- **)D[** #### Report of Independent Registered Public Accounting Firm To: The Stockholder **Signature &TUBUF4FDVSJUJFT --\$** #### **Opinion on the Financial Statements** I have audited the accompanying statement of financial condition of Signature Estate 6HFXULWLHV //& as of December 31, and the related statements of LQFRPH, changes in stockholder equity and cash flows for the year then ended, that are filed pursuant to Rule 17a-5 under the Securities Exchange Act of 1934 and the related notes. In my opinion, the financial statements present fairly, in all material respects, the financial position of Signature Estate DQG 6HFXULWLHV //& as of December 31, and its results of LQFRPH and its cash flows for the year then ended in conformity with accounting principles generally accepted in the United States of America86\*\$\$3 . #### **Basis for Opinion** These financial statements are the responsibility of Signature Estate DQG 6HFXULWLH's management. My responsibility is to express an opinion on Signature Estate DQG6HFXULWLHV//& financial statements based on my audit. I am a public accounting firm registered with the Public Company Accounting Oversight Board (United States) (PCAOB) and I am required to be independent with respect to Signature Estate DQG 6HFXULWLHV //& in accordance with the U.S. federal securities laws and the applicable rules and regulations of the Securities and Exchange Commission and the PCAOB. I conducted my audit in accordance with the standards of the PCAOB. Those standards require that I plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement, whether due to error or fraud. My audit included performing procedures to assess the risks of material misstatement of the financial statements, whether due to error or fraud, and performing procedures that respond to those risks. Such procedures included examining, on a test basis, evidence regarding the amounts and disclosures in the financial statements. My audit also included evaluating the accounting principles used and significant estimates made by management, as well as evaluating the overall presentation of the financial statements. I believe that my audit provides a reasonable basis for my opinion. #### **Supplemental Information** The Schedule I, Computation of Net Capital Under SEC Rule 15c3-1, Schedule II, Computation for Identification of Reserve Requirements and Information Relating to Possession or Control Requirements Under SEC Rule 15c3-3 (*exemption*) has been subjected to audit procedures performed in conjunction with the audit of Signature Estate DQG 6HFXULWLHV //& V financial statements. {4}------------------------------------------------ The supplemental information is the responsibility of Signature Estate DQG 6HFXULWLHV //& management. My audit procedures included determining whether the supplemental information reconciles to the financial statements or the underlying accounting and other records, as applicable, and performing procedures to test the completeness and accuracy of the information presented in the supplemental information. In forming my opinion on the supplemental information, I evaluated whether the supplemental information, including its form and content, is presented in conformity with 17 C.F.R. §240.17a-5. In my opinion, the Schedule I, Computation of Net Capital Under SEC Rule 15c3-1, Schedule II, Computation for Identification of Reserve Requirements and Information Relating to Possession or Control Requirements Under SEC Rule 15c3-3 (*exemption*) is fairly stated, in all material respects, in relation to the financial statements as a whole. # )HUUDUD&3\$ I have served as Signature Estate DQG6HFXULWLHV//&'s auditor since )HUUDUDCPA Hamilton, New Jersey \$SULO, 202 {5}------------------------------------------------ #### **Signature Estate DQG6HFXULWLHV//&** STATEMENT OF FINANCIAL CONDITION December 31, #### **ASSETS** | Cash | \$
818,623 | |---------------------|---------------| | Accounts receivable | 685,778 | | Prepaid expense | 97,173 | | Total Assets | \$
601,574 | #### **LIABILITIES AND STOCKHOLDER EQUITY** | Accounts payable DQGRWKHUDFFUXHGH[SHQVHV | \$
| |------------------------------------------|---------| | Accrued commissions | 295,626 | | | | | Total Liabilities | | | | | *Commitments and Contingencies (Note 7)* #### Stockholder Equity | Common stock, \$.01 par value; 1,000 shares authorized, | 10 | |---------------------------------------------------------|--------| | issued and outstanding | | | Additional paid in capital | | | 5HWDLQHG(DUQLQJV | | | Total Stockholder Equity | | | Total Liabilities & Stockholder Equity | \$
| See accompanying noteV {6}------------------------------------------------ # **Signature EstateDQG6HFXULWLHV//&** STATEMENT OF ,1&20( Year Ended December 31, # REVENUES \$ Commissions 6DOHVEDVHG 7UDLOLQJ 6HUYLFHDQG)HH Total revenues OPERATING EXPENSES ComPLVVLRQ ,QVXUDQFH 3URIHVVLRQDOVHUYLFH &RPPXQLFDWLRQVDQGGDWDSURFHVVLQJ 2FFXSDQF\ 2WKHU Total expenses Net ,QFRPH \$ See accompanying notes. {7}------------------------------------------------ #### **Signature Estate DQG6HFXULWLHV//&**STATEMENT OF CHANGES IN STOCKHOLDER EQUITY Year Ended December 31, | | Common Stock
Number of
Shares | | Amount | | Additional
Paid-In
Capital | | 5HWDLQHG
(DUQLQJV | | Total
Stockholder
Equity | | |-----------------------------|-------------------------------------|----|--------|----|----------------------------------|----|----------------------|----|--------------------------------|--| | Balance at December 31, 202 | 1,000 | \$ | 10 | \$ | 38,000 | \$ | () | \$ | | | | Net ,QFRPH | | | | | | | | | | | | 'LVWULEXWLRQV | | | | | | | | | | | | Balance at December 31, | 1,000 | \$ | 10 | | \$ 8,000 | \$ | | | \$ | | See accompanying notes. {8}------------------------------------------------ # **Signature Estate DQG6HFXULWLHV//&** STATEMENT OF CASH FLOWS Year Ended December 31, | Net ,QFRPH | \$
| |-----------------------------------------------|---------| | Adjustments to Reconcile NeW,QFRPH to | | | Net
Cash 3URYLGHGE\ Operating Activities: | | | (Increase) Decrease in Operating Assets: | | | Accounts receivable | () | | Prepaid expense | () | | Increase (Decrease) in Operating Liabilities: | | | Accounts payable and accrued expenses | | | Net cash SURYLGHGE\ operating activities | | | &DVK8VHG,Q)LQDQFLQJ\$FWLYLWLHV | | | 6KDUHKROGHUGLVWULEXWLRQV | | | Net increase in cash | | | Cash at Beginning of Year | | | Cash at End of Year | \$
| | Supplemental Cash Flows Disclosures | | | Cash paid for income taxes | \$
- | | Cash paid for interest | \$
- | See accompanying notes. {9}------------------------------------------------ Notes To Financial Statements December 31, #### **1 Organization and Nature of Business** Signature Estate DQG 6HFXULWLHV //& (the Company) (formerly Transam Securities, Inc.) is a securities broker-dealer registered with the Securities Exchange Commission and is a member of the Financial Industry Regulatory Authority - FINRA and the Securities Investor Protection Corporation - SIPC. The Company was incorporated under the Laws of the State of Florida on November 21, 1986. The Company holds no customer funds or securities and does not participate in the underwriting of Securities. 7KH&RPSDQ\LVDEURNHUGHDOHUZKRVHSULQFLSDORSHUDWLRQVDUHWRRIIHUYDULRXVILQDQFLDODQGLQVXUDQFH SURGXFWVDQGPXQLFLSDOIXQGVHFXULWLHV #### **2 Significant Accounting Policies** #### *(a) Basis of Presentation* The financial statements and accompanying notes are prepared in accordance with accounting principles generally accepted in the United States of America ("U.S. GAAP") unless otherwise disclosed. #### *(b) Use of Estimates* The preparation of financial statements in conformity with generally accepted accounting principles requires management to make estimates and assumptions that affect the reported amounts of assets and liabilities and disclosure of contingent assets and liabilities at the date of the financial statements and the reported amounts of revenue and expenses during the reporting period. Actual results could differ from those estimates. #### *(c) Statement of Cash Flows* For purposes of the statement of cash flows the Company has defined cash equivalents as highly liquid investments, with original maturities of less than three months, that are not held for sale in the ordinary course of business. The company has adopted the indirect method of presenting the statement of cash flows in accordance with current authoritative pronouncements. There were no cash equivalents at December 31, Cash is held at WZR financial institutionV and is insured by the Federal Deposit Insurance Corporation up to \$250,000. {10}------------------------------------------------ Notes To Financial Statements December 31, #### (*d) Revenue Recognition* The Company earned commissions from the sale of various insurance products and mutual funds. Revenue is recorded when the premium due has been fully funded and the transaction has closed. Revenue is recognized in accordance with ASC Topic 606 as services are rendered and a given contract's identified performance obligations are satisfied. There were no unsatisfied performance obligations at December 31, #### *(e) Income Taxes* The Company, with the consent of its shareholder, has elected under the Internal Revenue Code to be treated as an S Corporation. In lieu of corporation income taxes, the shareholder of an S Corporation is taxed on their proportionate share of the Company's taxable income. Therefore, no provision or liability for federal income taxes has been included in the financial statements. The Company's tax returns and the amount of income or loss allocable to the shareholder is subject to examination by federal and state taxing authorities. In the event of an examination of the Company's tax return, the tax liability of the shareholder could be changed if an adjustment in the Company's income or loss is ultimately determined by the taxing authorities. Certain transactions of the Company may be subject to accounting methods for federal and state income tax purposes which differ significantly from the accounting methods used in preparing the financial statements. Accordingly, the net income or loss of the Company and the resulting balances in the shareholder's capital account reported for federal and state income tax purposes may differ from the balances reported for those same items in these financial statements. The Company recognizes and measures its unrecognized tax benefits in accordance with ASC Topic 740, Income Taxes. Under that guidance the Company assesses the likelihood, based on their technical merit, that tax positions will be sustained upon examination based on the facts, circumstances and information available at the end of the financial reporting period. The measurement of unrecognized tax benefits is adjusted when new information is available, or when an event occurs that requires a change. Management has determined that the Company has no uncertain tax positions that would require financial statement recognition at December 31, This determination will always be subject to ongoing evaluation as facts and circumstances may require. The Company remains subject to U.S. federal and state income tax audits for all years subsequent to 20. In addition, no income tax related penalties or interest have been recorded for the year ended December 31, #### *(f) Advertising and Marketing* Advertising and marketing costs are expensed as incurred. #### *(g) General and Administrative Expenses* General and administrative costs are expensed as incurred. {11}------------------------------------------------ Notes to Financial Statements December 31, *(h) Fair Value Hierarchy* FASB ASC 820 defines fair value, establishes a framework for measuring fair value, and establishes a fair value hierarchy which prioritizes the inputs to valuation techniques. Fair value is the price that would be received to sell an asset or paid to transfer a liability in an orderly transaction between market participants at the measurement date. A fair value measurement assumes that the transaction to sell the asset or transfer the liability occurs in the principal market for the asset or liability or, in the absence of a principal market, the most advantageous market. Valuation techniques that are consistent with the market, income or cost approach, as specified by FASB ASC 820, are used to measure fair value. The fair value hierarchy prioritizes the inputs to valuation techniques used to measure fair value into three broad levels: - *Level 1.* Quoted prices (unadjusted) in active markets for identical assets or liabilities that the Company has the ability to access at the measurement date. - *Level 2.* Inputs other than quoted prices included in Level 1 that are observable for the assets or liability either directly or indirectly. - *Level 3.* Inputs are unobservable for the assets or liability. The availability of observable inputs can vary from security to security and is affected by a wide variety of factors, including, for example, the type of security, the liquidity of markets, and other characteristics particular to the security. To the extent the valuation is based on models or inputs that are less observable or unobservable in the market, the determination of fair value requires more judgment. Accordingly, the degree of judgment exercised in determining the fair value is greatest for instruments categorized in level 3. The inputs used to measure fair value may fall into different levels of the fair value hierarchy. In such cases, for disclosure purposes, the level in the fair value hierarchy within which the fair value measurement falls in its entirety is determined based on the lowest level input that is significant to the fair value measurement in its entirety. For further discussion of fair value, see "Note 6 Fair Value" ### **3 Net Capital Requirements** The Company, as a registered broker-dealer in securities is subject to the SEC Uniform Net Capital Rule (Rule 15c3-1). The Company has elected to operate under that portion of the Rule which requires the Company maintain "net capital" equal to the greater of \$5,000 or 6 2/3% of aggregate indebtedness, as those terms are defined in the Rule. At December 31, the Company had net capital of \$, which was \$ in excess of its required minimum net capital of \$. The Company had an AI/NC ratio of to 1. {12}------------------------------------------------ Notes to Financial Statements December 31, /PUF/FU\$BQJUBM DPOUJOVFE "EWBODFTUPBGGJMJBUFT DPOUSJCVUJPOT EJTUSJCVUJPOTBOEPUIFSXJUIESBXBMTBSFTVCKFDUUPDFSUBJOOPUJGJDBUJPO BOEPUIFSSFRVJSFNFOUTPG3VMFDBOEPUIFSSFHVMBUPSZSVMFT5IF\$PNQBOZEPFTOPUDMBJNFYFNQUJPO GSPNUIFQSPWJTJPOTPG3VMFDVOEFSUIF4FDVSJUJFT&YDIBOHF"DUPG5IF\$PNQBOZSFMJFTPO 'PPUOPUFPG4&\$3FMFBTF #### **4 Leases** The Company conducts its operations from facilities that are shared with its Parent. There is no lease agreement. Rent expense for the year ended December 31, was \$. #### **5 Concentrations and Economic Dependency** The Company's revenues consist of commissions as discussed in Note 2 above. There is no assurance of future revenues from such commissions. The Company maintains its cash at WZRfinancial institutionV in amounts that at times exceed federally insured limits. The Company has not experienced any losses in such accounts through December 31, As of December 31, there was a cash balance in the amount of \$ that was not insured. #### **6 Fair Value** Cash, accounts receivables, accounts payable and other current liabilities are reflected in the financial statements at carrying value which approximates fair value because of the short-term maturity of these instruments. ## **7 Commitments and Contingencies** Pursuant to Securities and Exchange Commission Rule 15c3-1(e)(2) the Company may not authorize distributions to its members if such distributions cause the Company's net capital to fall below 120% of the Company's minimum net capital requirement. As of December 31, the Company was not in violation of this requirement. The Company had no lease or equipment rental commitments (other than as disclosed in Note 4 above), no underwriting commitments, no contingent liabilities, and had not been named as a defendant in any lawsuit at December 31, or during the year then ended. {13}------------------------------------------------ Notes To Financial Statements December 31, #### **8 Related Party Transactions** 7KH &RPSDQ\ LV D ZKROO\RZQHG VXEVLGLDU\ RI 6LJQDWXUH )LQDQFLDO 6HUYLFHV \*URXS //& WKH 3DUHQW 7KH&RPSDQ\DQGWKH3DUHQWHQWHUHGLQWRDQH[SHQVHVKDULQJDJUHHPHQWIRUWKHDOORFDWLRQ RI FHUWDLQ H[SHQVHV RI WKH &RPSDQ\ LQFOXGLQJ EXW QRW OLPLWHG WR VDODULHV DQG SURIHVVLRQDO IHHV \$PRXQWVDOORFDWHGXQGHUWKLVDJUHHPHQWGXULQJWKH\HDUWRWDOHGDSSUR[LPDWHO\ Amounts due to the Parent at December 31, was approximately \$. ### **9"OUJ.POFZ-BVOEFSJOH1PMJDJFTBOE1SPDFEVSFT** The Company is required to implement policies and procedures relating to anti-money laundering, compliance, suspicious activities, and currency transaction reporting and due diligence on customers who open accounts with the Company. At December 31, the Company had implemented such policies and procedures. ## **10 Exemption from Rule 15c3-3** 5IF\$PNQBOZJTFYFNQUGSPNUIF4FDVSJUJFTBOE&YDIBOHF\$PNNJTTJPO3VMFDBOE UIFSFGPSF JTOPUSFRVJSFEUPNBJOUBJOBi4QFDJBM3FTFSWF#BOL"DDPVOUGPSUIF&YDMVTJWF#FOFGJUPG\$VTUPNFSTw #### **6HJPHQW5HSRUWLQJ** 7KH &RPSDQ\ LV HQJDJHG LQ D VLQJOH OLQH RI EXVLQHVV 7KH &RPSDQ\ LV D EURNHUGHDOHU ZKRVH SULQFLSDO RSHUDWLRQV DUH WR RIIHU YDULRXV ILQDQFLDO DQG LQVXUDQFH SURGXFWV DQG PXQLFLSDO IXQG VHFXULWLHV7KH&RPSDQ\KDVLGHQWLILHGLWV&(2DVWKHFKLHIRSHUDWLQJGHFLVLRQPDNHU ³&2'0´ ZKR XVHV QHW LQFRPH WR HYDOXDWH WKH UHVXOWV RI WKH EXVLQHVV DQG WR PDQDJH WKH &RPSDQ\ \$GGLWLRQDOO\ WKH &2'0 FRQVLGHUV FDSLWDO DGHTXDF\ LQ PDNLQJ RSHUDWLRQDO GHFLVLRQV LQFOXGLQJ ZKHWKHU WR UHLQYHVW SURILWV RU GLVWULEXWH GLYLGHQGV 7KH &RPSDQ\¶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{14}------------------------------------------------ **Supplementary Information Pursuant to Rule 17a-5 of the Securities Exchange Act of 1934** **As of December 31,** {15}------------------------------------------------ #### **Signature Estate DQG6HFXULWLHV//&** NET CAPITAL COMPUTATION IN ACCORDANCE WITH RULE 15c 3-1 December 31, #### **Schedule I** #### NET CAPITAL | Assets | \$
| |------------------------------------------------------------------------------------------------------|---------| | Less Liabilities | () | | Total Ownership Equity | | | Less Non Allowables | () | | TNC Before Haircuts & Undue Concentration | | | Less Haircuts | 0 | | Less Undue Concentration | 0 | | NET CAPITAL | | | Minimum Required Net Capital | | | Excess Net Capital | \$
| | AI/NC Ratio | to 1 | | Non A.I. Liabilities | 0.00 | | Reconciliation with Company's Computation (included in
Part II of Form X-17A-5 as of December 31, | | | Net Capital, as reported in Company's Part II unaudited Focus Report | \$
| | Net Capital, per above | | | Difference | \$
- | There are no material differences between the net capital reflected in the above computation and the net capital reflected in the Company's FOCUS Report as of December 31, {16}------------------------------------------------ #### **Signature Estate DQG6HFXULWLHV//&** #### COMPUTATION FOR DETERMINATION OF RESERVE REQUIREMENTS UNDER RULE 15c3-3 (EXEMPTION) and INFORMATION RELATING TO POSSESSION OR CONTROL REQUIREMENTS (EXEMPTION) FOR CUSTOMERS UNDER RULE 15c3-3 #### Schedule II #### YEAR ENDED December 31, The Company is designated by its FINRA membership agreement to operate under the exemptive provisions Footnote 74 of the SEC Release No. 34-70073. The Company is also exempt from the provisions of Rule 15c3-3 because the Company's other business activities contemplated by paragraph (k)(1) of SEC Rule 15c3-3 are limited to: (1) commission-based compensation from the sale of investment company shares and variable annuities for clients; and the Company (1) did not directly or indirectly receive, hold, or otherwise owe funds or securities for or to customers; (2) did not carry accounts of or for customers; and (3) does not carry PAB accounts (as defined in Rule 15c3-3) throughout the most recent fiscal year without exception. {17}------------------------------------------------ #### **'FSSBSB\$1"** +RUL]RQ&HQWHU%OYG Hamilton, NJ 0869 **Tel:** 609- **)D[** #### REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM ### To: The Stockholder **Signature Estate BOE4FDVSJUJFT --\$** I have reviewed management's statements, included in the accompanying Rule 15c3-3 Exemption Statement, in which (1) Signature Estate DQG 6HFXULWLHV//& (the "Company") stated that the Company does not hold customers' cash or securities on behalf of customers and limits its business to commission based compensation from the sale of investment company shares and variable annuities for clients and, therefore has no obligations under Rule 15c3-3 under the Securities Exchange Act of 1934 pursuant to Footnote 74 of SEC Release 34-70073 and paragraph (k)(1) of SEC Rule 15c3-3. In addition, as a result of the Company's having no obligations under SEC Rule 15c3-3, it may file an Exemption Report and (2) the Company stated that it had no exceptions under SEC Rule 15c3-3 throughout the year ended December 31, The Company did not directly or indirectly receive, hold or otherwise owe funds or securities for or to customers, did not carry accounts of or for customers, and did not carry PAB accounts as defined in Rule 15c3-3. Management is responsible for compliance with 17 C.F.R. F DQG LWV VWDWHPHQWV 0\ UHYLHZ ZDV FRQGXFWHG LQ DFFRUGDQFH ZLWK WKH VWDQGDUGV RI WKH 3XEOLF &RPSDQ\ \$FFRXQWLQJ 2YHUVLJKW %RDUG 8QLWHG 6WDWHV DQG DFFRUGLQJO\ LQFOXGHG LQTXLULHV DQG RWKHU UHTXLUHG SURFHGXUHV WR REWDLQ HYLGHQFH DERXW WKH &RPSDQ\¶V FRPSOLDQFH ZLWK &)5 F\$ UHYLHZLVVXEVWDQWLDOO\OHVVLQVFRSHWKDQDQH[DPLQDWLRQWKHREMHFWLYHRIZKLFK LV WKH H[SUHVVLRQ RI DQ RSLQLRQ RQPDQDJHPHQW¶V VWDWHPHQWV\$FFRUGLQJO\ , GR QRW H[SUHVV VXFK DQ RSLQLRQ %DVHG RQ P\ UHYLHZ , DP QRW DZDUH RI DQ\ PDWHULDO PRGLILFDWLRQV WKDW VKRXOG EH PDGH WR PDQDJHPHQW¶V VWDWHPHQWV UHIHUUHG WR DERYH IRU WKHP WR EH IDLUO\ VWDWHG LQ DOO PDWHULDO UHVSHFWVEDVHGRQ5XOHFXQGHUWKH6HFXULWLHV([FKDQJH\$FWRI )HUUDUD&3\$ )HUUDUD CPA Hamilton, New Jersey \$SULO, {18}------------------------------------------------ # Signature Estate Exemption Statement pursuant to SEC Rule 17a-5 For the Year Ended December 31, ## Signature Estate Exemption Statement F.R. §240.17a-5, "Reports to be made by certain brokers and dealers"). This Exemption Report was prepared as required by 17 C.F.R. §240.17a-5(d)(1) and (4). To the best of its knowledge and belief, the Company states the following: - The Company claims an exemption under paragraph (k)(1) of 17 C.F.R. § 240. 15c3-3, and it also relies on Footnote 74 of the SEC release No. 34-70073 adopting amendments to 17 - Signature Estate I, swear (or affirm) that, to my best knowledge and belief, this Exemption Statement is true and correct. By: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Source: SEC EDGAR via Adviser Search (https://search.stillhousedata.com). Agents: see https://search.stillhousedata.com/llms.txt.