Full text of PENTALPHA CAPITAL, LLC's X-17A-5 filed 2022-03-21 (period 2021-12-31). 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, 2021 ### (WITH INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM REPORT} *I* {1}------------------------------------------------ ## PENT ALPHA CAPITAL. LLC. DECEMBER 31, 2021 ## 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 15c3-1 | 12 | | Information Relating to the Possession or Control | | | Requirements Under SEC Rule 15c3-3 | 13 | | | | {2}------------------------------------------------ **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 8-49021 **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 _0~1~/~01=/~2=1 | _____ | AND ENDING _1=2=/=31=/~2=1 | ____<br>_ | |--------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------------|-------------------------------------------| | | MM/DD/VY | | MM/DD/VY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF FIRM:<br>Pentalpha Capital LLC | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>D: Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | D Security-based swap dealer | □ Major security-based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 2 Greenwich Office Park | | | | | | (No. and Street) | | | | Greenwich | CT | | 06831 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Pasgualina Traina | 203-660-6139 | patty traina@pentalphaglobal.com | | | (Name) | (Area Code - Telephone Num…Read the full text as markdown