Full text of BOREALIS CAPITAL LLC's X-17A-5 filed 2024-04-04 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | | | 0MB APPROVAL<br>0MB Number: 3235-0123<br>Expires: Nov. 30, 2026<br>Estimated average burden<br>hours per response: 12 | | |----------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|------|-----------------------|-----------------------------------------------------------------------------------------------------------------------|--| | | ANNUAL REPORTS | | | SEC FILE NUMBER | | | | FORM X-17A-5 | | | 8-71039 | | | | PART Ill | | | | | | | FACING PAGE | | | | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | | FILING FOR THE PERIOD BEGINNING 1/1/2023 | | | AND ENDING 12/31/2023 | | | | | MM/DD/VY | | | MM/DD/VY | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME oF FIRM: Borealis Capital LLC | | | | | | | TYPE OF REGISTRANT {check all applicable boxes):<br>l:!J Broker-dealer<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.) | | | | | | | 330 112th Avenue# 300 | | | | | | | | (No. and Street) | | | | | | Bellevue | WA | | | 98004 | | | (City) | (State) | | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Dale Garnett | 206.499.0158 | | | dale@borealiscapital-llc.com | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | Ohab and Comapny, PA | (Name - if individual, state last, first, and middle name) | | | | | | 100 E Sybelia Ave #130 Maitland | | | FL | 32751 | | | (Address) | (City) | | (State) | (Zip Code) | | | July 28, 2004 | | 1839 | | | | | rte<br>of R,g;,t,atkm with PCAOBII• appllcoble) FOR OFFICIAL USE ONLY | | | | (PCAOB Reg;ma1;,o N,m,~. ;f '""""'' 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 ilS the basis of the exemption. See 17 CFR 240.17a-5(e)(l)(ii), if applicable. Persons who are to re…Read the full text as markdown