Full text of CLAYTON, WILLIAMS & SHERWOOD INVESTMENTS'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}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 sec file number # ANNUAL REPORTS FORM X-17A-5 PART III FACING PAGE AND ENDING\_12/31/2025 filing for the period beginning \_01/01/2025 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION # NAME OF FIRM: Clayton Williams & Sherwood Investments TYPE OF REGISTRANT (check all applicable boxes): Broker-dealer □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 14 Corporate Plaza Drive Suite 210 | | (No. and Street) | | | | | |---------------------------------------------------------------------------|------------------|------------------------------------------------------------|-------------------------|--------------------------------------------|--| | Newport Beach | | CA | | 92660 | | | (City) | | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Mark Ruggles | 949-698-1039 | | mruggles@cwscapital.com | | | | (Name) | | (Area Code - Telephone Number) | (Email Address) | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | B. ACCOUNTANT IDENTIFICATION | | | | | BakerTilly US, LLP | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 66 Hudson Blvd E, Suite 2200 New York | | | NY | 10001 | | | (Address) | (City) | | (State) | (Zip Code) | | | 10/22/2003 | | | 23 | | | | (Date of Registration with PCAOB)(if applicable) | | | | (PCAOB Registration Number, if applicable) | | \* Claims for exemption from the requirement that the annual 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-5(e)(1)(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 OMB control number. {1}------------------------------------------------ #### OATH OR AFFIRMATION I, Mark Ruggles , swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of Clayton Williams & Sherwood Investments 12/31 , 2 025 partner, officer, director, or equivalent person, as the case may be, has any proprietary interest in a…Read the full text as markdown