Full text of CAPITAL PORTFOLIO MANAGEMENT, INC.'s X-17A-5 filed 2023-05-30 (period 2023-03-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # CAPITAL PORTFOLIO MANAGEMENT, INC. FINANCIAL STATEMENTS AND SUPPLEMENT AL SCHEDULES (Pursuant to Rule l 7a-5 of the Securities and Exchange Commission) for the year ended March 31, 2023 {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** # **ANNUAL REPORTS FORM X-17A-S PART** Ill 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER **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 **04/01/2022** MM/DD/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: Capital Portfolio Management, Inc. TYPE OF REGISTRANT (check all applicable boxes): L!J Broker-dealer □ Security-based swap dealer □ Check here if respondent is also an OTC derivatives dealer D Major security-based swap participant AND ENDING **03/31/2023** ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 9515 Deereco Rd, Suite 1010 | | (No. and Street) | | | | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------|--------------------------|------------------------------------------|--| | Timonium | Maryland | | 21093 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Patrick Dyer | 410-667-4575 | pdyer@cpminvestments.com | | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | Kuczak & Associates, P.A.<br>139 North Main St, Ste 101 | (Name - if individual, state last, first, and middle name)<br>Bel Air | MD | 21014 | | | (Address) | (City) | (State) | (Zip Code) | | | 02/23/2010 | | 5023 | | | | T''<br>of Reglmatioo with PCAOB )Hf appHcable] | | | {PCAOB Reg1mat100 Nombec, It apphcable)I | | | | FOR OFFICIAL USE ONLY | | | | | • Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public<br>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}(1)(ii), if applicable. **P…Read the full text as markdown