Full text of SCHRODER FUND ADVISORS LLC's X-17A-5 filed 2022-03-01 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # Schroder Fund Advisors LLC Statement of Financial Condition December 31, 2021 {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL REPORTS FORM X-17A-5 PART Ill FACING **PAGE** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **0 1/01 /21** MM/DD/VY ANDENDING **12/31/21** MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: Schroder Fund Advisors LLC TYPE OF REGISTRANT (check all applicable boxes): ~ Broker-dealer □ Security-based swap dealer D Check here if respondent is also an OTC derivatives dealer □ Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 7 Bryant Park {No. and Street) New York NY (City) {State) PERSON TO CONTACT WITH REGARD TO THIS FILING 10018-3706 (Zip Code) Robert Fortino +1 (212) 751-4422 RFortino@dfppartners.com {Name) (Area Code -Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Ernst & Young LLP {Name - if individual, state last, first, and middle name) 5 Times Square New York **NY** 10036 (Address) (City) (State) (Zip Code) 10/20/2003 **rte of Reglstratloa with PCAOB}llhppll~ble) FOR OFFICIAL USE ONLY (PCAOB Reglstratloo N,mbec,** If **appll~ble)** I \* 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, William Sauer | | | swear {or affirm) that, to the best of my knowledge and belief, the | | |------------------|--|----|-----------------------------------------------------------------------------------|-------| | | | | financial report pertaining to the firm of Schroder Fund Advisors LLC | as of | | 12/31 | | 2~ | is true and correct. I further swear {or affirm) t…Read the full text as markdown