Full text of KA ASSOCIATES, LLC's X-17A-5 filed 2025-10-01 (period 2025-06-30). 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: ϯϮϯϱͲϬϭϮϯ Expires: EŽǀ͘ϯϬ͕ϮϬϮϲ Estimated average burden hours per response: > SEC FILE NUMBER 8-45640 # **ANNUAL REPORTS FORM X-17A-5 PART III** **FACING PAGE** | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | |--------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------|---------------------------------------| | | 07/01/24<br>FILING FOR THE PERIOD BEGINNING _____________________ AND ENDING ______________________ | | 06/30/25 | | | | MM/DD/YY | | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | KA<br>Associates,<br>NAME OF FIRM: _______________________________________________________________________ | LLC | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>܆<br>܆<br>Broker-dealer<br>■<br>܆ Check here if respondent is also an OTC derivatives dealer | Security-based swap dealer | ܆ | | Major security-based swap participant | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 2121<br>Avenue<br>of<br>the<br>Stars,<br>_____________________________________________________________________________________ | 9th<br>Floor | | | | | | | (No. and Street) | | | | Los<br>Angeles<br>_____________________________________________________________________________________ | | CA | | 90067 | | (City) | | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Paul<br>Stapleton | 310.284.5520<br>_____________________________________________________________________________________ | | pstapleton@kaynecapital.com | | | (Name) | (Area Code – Telephone Number) | | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>CBIZ<br>CPAs<br>P.C | | | | | | _____________________________________________________________________________________ | | (Name – if individual, state last, first, and middle name) | | | | 9<br>Parkway<br>North<br>Suite<br>_____________________________________________________________________________________ | 20…Read the full text as markdown