# ROBERTS & RYAN INVESTMENTS INC. X-17A-5 (2022-03-29) — Broker-dealer annual report - Company: ROBERTS & RYAN INVESTMENTS INC. - Form: X-17A-5 - Filed: 2022-03-29 - Period: 2021-12-31 - Accession: 0000811063-22-000002 - CIK: 811063 - File #: 8-37469 - Type: Broker-dealer - Material weakness: No - Auditor: Knight Rolleri Sheppard, CPAS, LLP - Auditor location: Fairfield, CT - Contact: James Niemie - Phone: 866-884-9959 - Email: ie@roberts-ryan.com - Website: roberts-ryan.com - Signed by: James Niemie (CEO) Original filing: https://www.sec.gov/Archives/edgar/data/811063/000081106322000002/RRPublic21.pdf --- {0}------------------------------------------------ Roberts and Ryan Investments Incorporated Financial Statement and Report of Independent Registered Public Accounting Firm Pursuant to Rule 17a-5(d) of the Securities and Exchange Commission December 31, 2021 {1}------------------------------------------------ #### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** | 0 MB APPROVAL | | |--------------------------|--| | 0MB Number: 3235·0123 | | | Expires: Oct. 31, 2023 | | | Estimated average burden | | | hours per response: 12 | | | SEC FILE NUMBER | | | | | # **ANNUAL REPORTS FORM X-17A-5 PARTIH** #### **FACING PAGE** | Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934
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MM/DD/VY | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | NAME OF FIRM: | Roberts and Ryan Investments Incorporated | | | | TYPE OF REGISTRANT (check a.II appl.icable boxes): | | | | | D Major security-based swap participant
I&:! Broker-dealer
□ Security-based swap dealer | | | | | D Check here if respondent is also an OTC derivatives dealer | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | | | 39 Broadway, 16th Floor, STE 1640 | (No. and Street) | | | | | | | | | New York
(City) | NY
(State) | | 10006
(Zip Code) | | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | James Niemie | 866-884-9959 | | j niem ie@roberts-ryan.com | | (Name) | (Area Code -Telephone Number) | | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | Knight Rolleri Sheppard, CPAS, LLP | | | | | | (Name- if individual, stat e last, first, and middle name) | | | | 2150 Post Road, 5th Floor | Fairfield | CT | 06824 | | (Address) | (City) | | (State)
(Zip Code) | | r·
03/04/2009 | | 3437 | | | of (PCAOS s.,;strauon N,mb , . | \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(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. {2}------------------------------------------------ #### **OATH OR AFFIRMATION** I, James Niemie swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of Roberts and Ryan Investments Incorporated . as of December 31 2Jg]\_, 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. Notary Public(?. l"'\lz0~<7*SS2..* e--tf, k'\_f 51 \'.el., '2."\,2..02. o/ #### **This filing\*\* contains (check all applicable boxes):** - IXl (a) Statement of financial condition. - I&! (b) Notes to consolidated statement of financial condition. - D (c) Statement of income (loss) or, if there is other comprehensive income in the period(s) presented, a stat ement of comprehensive income (as defined in§ 210.1-02 of Regulation S-X). - 0 (d) Statement of cash flows. - D (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. - D (h) Computation of net capital under 17 CFR 240.15c3-1 or 17 CFR 240.lBa-l, as applicable. - 0 (i) Computation of tangible net worth under 17 CFR 240.18a-2. - 0 (j) Computation for determination of customer reserve requirements pursuant to Exhibit A to 17 CFR 240.15c3-3. - 0 (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 240.18a-4, as applicable. - D (I) Computation for Determination of PAB Requirements under Exhibit A to§ 240.15c3-3. - 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 se.curity-based swap customers under 17 CFR 240.15c3-3(p)(2) or 17 CFR 240.18a-4, as applicable. - D (o} Reconciliations, including appropriate explanations, of the FOCUS Report wit h computation of net cap.ital or tangible net worth under 17 CFR 240.15c3-1, 17 CFR 240.l8a-1, or 17 CFR 240.18a-2, as applicable, and the reserve requirements under 17 CFR 240.15c3-3 or 17 CFR 240.18a-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. - IX! (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-5 or 17 CFR 240.18a-7, as applicable. - □ (s) Exemption report in accordance with 17 CFR 240.17a-5 or 17 CFR 240.18a-7, as applicable. - ~ (t) Independent public accountant's report based on an examination of the statement of financial condition. - D (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-5 or 17 CFR 240.18a-7, as applicable. - 0 (w) Independent public accountant's report based on a review of the exemption report under 17 CFR 240.17a-5 or 17 CFR 240.18a-7, as applicable. - D (x) Supplemental reports on applying agreed-upon procedures, in accordance with 17 CFR 240.15c3-le or 17 CFR 240.17a-12, as applicable. - 0 (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.l 7a-12(k). □ (z)Other: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ \_ - Title: 'cOO 2 ^\*\*To *request* confidential 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. {3}------------------------------------------------ # ROBERTS AND RYAN INVESTMENTS INCORPORATED TABLE OF CONTENTS | Report of Independent Registered Public Accounting Firm | | |---------------------------------------------------------|-----| | Statement of Financial Condition | | | Notes to Financial Statements | 3-7 | {4}------------------------------------------------ ![](_page_4_Picture_0.jpeg) ![](_page_4_Picture_1.jpeg) ### **REPORT OF INDEPENDENT REG ISTERED PUBLIC ACCOUNTING FIRM** To the Board or Directors and Shareholders of Robl.!rts and Ryan Investments, Inc. #### Opinion 011 the Fina ncial Statement We have audited the accompanying statement of financial condition of Roberts and Ryan Investments, Inc. as of December 31, 2021, and the relakd notes (collectively referred to as the "financial statement''). In our opinion. the financ ial statement presents fairly. in all material respects. the financial position of Robe11s and Ryan Investments, Inc. as or December 3 1. 2021 in conformity with accounting principles generally accepted in the United States of America. #### Basis for Opinion This financial statement is the responsibility of Roberts and Ryan Investments, lnc.'s management. Our responsibility is to express an opinion on Roberts and Ryan Investments, Inc. 's financial statement based on our audit. We are a public accounting firm registered with the Public Company Accounting Oversight Board (United States) (PCAOB) and are required to be indepenclenl with respect to Roberts and Ryan Investments, Inc. in accordance with the U.S. federal securities laws and the applicable rules and regulations of the Securities and Exchange Commission and the PCAOB. We conductl.!d our audit in accordance with the standards of the PCAOB. Those standards require that we plan and perform the audi1 to obtain reasonable assurance about whether the finnncial statement is free of material misstatement, whether due to error or fraud. Our audit included performing procedures 10 assess the risks of material misstatement of the financial statement, 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. Our audit also intluded evaluating the accounting principles used and significant estimates made by management, as well as evaluating the overall presentation of the finnncial statements. We believe that our audit provides a reasonable basis for our opinion. Knight Rollcri Sheppard CPAS. LLP We have ~ervcd a~ Rob<:rts and R)an Investments. Inc.·~ auditor since 2020. Fairfield, Connecticut March *2~. 2021* > .. , 1 -, **P("I~· Ro::id 5th floor** • f **0111,e** "! < **T Jou.)!** o 203 2 59 2 7 *J-;* • 1 :,, l *2* )tl • • **E p I u· - r,.n** -. • **Grt:F-'1,•.ic: 1 (I ⁰** , • -' U C .JO\$ Ir, (;)1'1 Americun lnsttlule of Cenified Public .Accour,1or1b • Co,111,x11cu· Soc,ery of Certified Pliblic Ac.Lou111w1;s P· 1111 ( ornpon1 Accou111111\J Oversight Boord • Ne.•, York Stale Sc,, 1u'y ril C0rtl1ed P1Jblic :,\_ccountonts • 1'v',ussc1,\_iiL,S,,,t~ "u er-, · r,\_"" {5}------------------------------------------------ # ROBERTS AND RYAN INVESTMENTS INCORPORATED # STATEMENT OF FINANCIAL CONDITION December 31, 2021 ## ASSETS | Cash | \$ 1,598,667 | |----------------------------------------------------------------------|--------------| | Securities | 2,827,059 | | Deposit with clearing broker | 315,272 | | Accounts receivable | 1,908,022 | | Prepaid expenses | 64,570 | | Due from affiliate | 78,310 | | Property and equipment - net of accumulated depreciation of \$14,749 | 2,371 | | Security deposits | 7,849 | | Right-of-use asset | 31,495 | | Total assets | \$6,833,615 | ### LIABILITIES AND STOCKHOLDERS' EQUITY ### Liabilities | Accounts payable and accrued expenses | 769.960
કર | |------------------------------------------------|---------------| | Lease liability | 31.671 | | Deferred tax liabiility | 34.757 | | Subordinated loan payable and accrued interest | 2,674,040 | | Total liabilities | 3,510,428 | | Contingency (Note 10) | | ### Stockholders' Equity | Common stock, no par value; 1,000,000 shared authorized; | | |----------------------------------------------------------|-------------| | 600,000 shared issued and outstanding | 70.000 | | Additional paid-in capital | 2,789,162 | | Accumulated earnings | 464.025 | | Total stockholders' equity | 3,323,187 | | Total liabilities and stockholders' equity | \$6.833.615 | The accompanying notes are an integral part of this statement. {6}------------------------------------------------ #### **%!,'"!! 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