Full text of IMPERIAL CAPITAL, LLC's X-17A-5 filed 2021-04-01 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # Imperial Capital, LLC Statement of Financial Condition December 31, 2020 Public Document {1}------------------------------------------------ # Imperial Capital, LLC Statement of Financial Condition December 31, 2020 ## Public Document {2}------------------------------------------------ # Imperial Capital, LLC ## Contents | Facing page to Form X-17A-5 | 2A | |---------------------------------------------------------|-------| | Affirmation of Chief Financial Officer | 2B-2C | | Report of Independent Registered Public Accounting Firm | 3 | | Statement of Financial Condition | ব | | Notes to Statement of Financial Condition | 5-15 | {3}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ## ANNUAL AUDITED REPORT FORM X-17A-5 PART III OMB APPROVAL OMB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours per response........12.00 | SEC FILE NUMBER | |-----------------| | 18-50397 | # 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 BEGINNING January 1, 2020 - AND ENDING December 31, 2020<br>MM/DD/YY<br>MM/DD/YY | | | | | |--------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|---------|--------------------------------------------------|--| | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: Imperial Capital, LLC | | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.)<br>10100 Santa Monica Blvd., Suite 2400 | | | FIRM I.D. NO. | | | | (No. and Street) | | | | | Los Angeles | CA | | 90067 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Richard Genovese | | | (310) 246-3608<br>(Area Code - Telephone Number) | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>BDO USA, LLP | B. ACCOUNTANT IDENTIFICATION | | | | | | (Name - if individual, state last, first, middle name) | | | | | 515 S. Flower St., 47th Floor | Los Angeles | CA | 90071 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE:<br>V<br>Certified Public Accountant<br>Public Accountant<br>Accountant not resident in United States or any of its posses…Read the full text as markdown