Full text of IMPERIAL CAPITAL, LLC's X-17A-5 filed 2022-04-01 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Statement of Financial Condition December 31, 2021 Public Document {1}------------------------------------------------ Statement of Financial Condition December 31, 2021 # Public Document {2}------------------------------------------------ | 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 | | | Notes to Statement of Financial Condition | 5-16 | {3}------------------------------------------------ | A notary public or other officer completing this<br>certificate verifies only the identity of the individual<br>who signed the document to which this certificate<br>is attached, and not the truthfulness, accuracy, or<br>validity of that document. | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | State of California<br>County of Los Angeles | | Subscribed and sworn to (or affirmed) before me on this 31St<br>20 22 , by Sara Williams<br>day of March<br>Mark Martis | | proved to me on the basis of satisfactory evidence to be the<br>person(s) who appeared before me. | | SARA VALERIE WILLIAMS<br>Notary Public - California<br>Los Angeles County<br>Commission # 2392477<br>My Comm. Expires Feb 2, 2026 | | Signature AMA WIllian<br>(Seal) | | | {4}------------------------------------------------  ### Report of Independent Registered Public Accounting Firm To the Managing Member of Imperial Capital, LLC Los Angeles, California ### Opinion on Financial Statement We have audited the accompanying statement of financial condition of Imperial Capital, LLC (the "Broker-Dealer") as of December 31, 2021, and the related notes (collectively referred to as the "financial statement"). In our opinion, the financial statement presents fairly, in all material respects, the financial position of the Broker-Dealer at December 31, 2021, in conformity with accounting principles generally accepted in the United States of America. ### Basis for Opinion This financial statement is the responsibility of the Broker-Dealer's management. Our responsibility is to express an opinion on the Broker-Dealer's financial statem…Read the full text as markdown