Full text of PENTALPHA CAPITAL, LLC's X-17A-5 filed 2021-03-31 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ PENTALPHA CAPITAL, LLC FINANCIAL STATEMENTS AND SUPPLEMENTAL MATERIAL PER SEC RULE X-17A-5 DECEMBER 31, 2020 ### (WITH INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM REPORT) {1}------------------------------------------------ ## PENTALPHA CAPITAL, LLC. DECEMBER 31, 2020 ## TABLE OF CONTENTS | | Page No. | |------------------------------------------------------|----------| | Facing Page to Form X-17A-5 | 1 | | Affirmation of Officer | 2 | | Independent Registered Public Accounting Firm Report | 3 | | Financial Statements: | | | Statement of Financial Condition | 4 | | Statement of Income | 5 | | Statement of Changes in Members' Equity | 6 | | Statement of Cash Flows | 7 | | Notes to Financial Statements | 8-10 | | Supplemental Material-December 31, 2019 | 11 | | Computation of Net Capital Under SEC Rule 1Sc3-1 | 12 | | Information Relating to the Possession or Control | | | Requirements Under SEC Rule 15c3-3 | 13 | | | | {2}------------------------------------------------ **UNITED STATES SECURITIESANDEXCf(ANGECOMMISSION Washington, D.C. 20549** # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** 0MB APPROVAL 0MB Number: 3235-0123 Expires: October 31 , 2023 Estimated average burden hours per response ...... 12.00 | SEC FILE NUMBER | |-----------------| | a-49021 | **FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNINGQ1 /Q1/2020 | | AND ENDING 12/31 /20 | --------- | |-----------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------|----------------------|---------------------------------| | | MM/DD/YY | | -<br>-<br>MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME oF BROKER-DEALER: Pentalpha Capital LLC | | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM 1.D. NO. | | 2 Greenwich Office Park | | | | | | (No. and Street) | | | | Greemwibh | Ctt | | 06831 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Pasqualina Traina 203-660-6139 | | | | | | | | (Area Code - Te lephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report*<br>GR Reid Associates LLP | | | |…Read the full text as markdown