# UHY CAPITAL GROUP, LLC X-17A-5 (2026-03-31) — Broker-dealer annual report - Company: UHY CAPITAL GROUP, LLC - Form: X-17A-5 - Filed: 2026-03-31 - Period: 2025-12-31 - Accession: 0001146218-26-000001 - CIK: 1146218 - File #: 8-53608 - Type: Broker-dealer - Material weakness: No - Auditor: Goldman & Co. CPA's PC - Auditor location: Atlanta, GA - Contact: Brian Megenity - Phone: 7702636003 - Email: bmegenity@bccaonline.com - Website: bccaonline.com - Signed by: Alex Conti (CEO) Original filing: https://www.sec.gov/Archives/edgar/data/1146218/000114621826000001/uhyaud.pdf --- {0}------------------------------------------------ OM JAPPROVAL UNITED STATES OMB Number: 3235-0123 SECURITIES AND EXCHANGE COMMISSION Exclies: Nov. 30, 2026 Washington, D.C. 20549 Estimated acrage burden hot is per response: 12 ANNUAL REPORTS SECFLE NUMBER FORM X-17A-5 8-3608 PART III Facing Page Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 AND ENDING 12/31/2025 Filing for th: Period Beginning 1/1/2025 MM/DD/YY MMDD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: UHY Capital Group, LLC TYPE OF REGISTFANT (check all applicable boxes): [] Security-based swap dealer @ Broker-dealer O Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 27725 Stansbury Blvd, Ste. 385 (No. and Street) 48334 Farmington Hills MI (5tate) Cip Code) (City) PERSON TO CONTACT WITH REGARD TO THIS FILING (770) 263-6003 bmegenity@bccaonline.com Brian Magenity Email Address) (Area Code -- Telephone Number) (Name) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing" Goldman & Company CPA's PC (Name - if individual, state last, first, and middle name GA 30062 3535 Roswell Rd., Ste. 32 Atlanta (Zip Code) (Citv) (State) (Address) 1052 6/25/2009 (PCAO3 Registration Number, if applicable) (Date of Registration with PCAOB)(if applicable) For OFFICIAL USE ONLY · Claims for exemption from the requirement that the annual reports be covered by the re sorts of as independent public ﺍﻟﻤﺴﺘﻘ accountant mast be supported by a statement of facts and circumstances reliad on as the basis of the exer prion. See 17 CFR 240.17a-5.ek(1)(ii), if applicable. Persons who areapond to the collection of information contained in this farm are not respond uniess the form displays a currently walld OMB control number. {1}------------------------------------------------ #### OATH OR AFFIRMATION | Alex Conti | | | . swear (or affirm) that, to the best of my knowledge and belief, the | |-------------------------------------------------------------------|--|--|-----------------------------------------------------------------------| | financial report pertaining to the firm of UHY Capital Group, LLC | | | as of | | December 31 | | | 2025 . | true and correct. I further swear (or affirm) tr at helther the company non partner, officer, director, or equivalent person, as the case may be, has any proprietary interest in any account classified solely as that of a customer. | Signature: | | |---------------|--| | Title:
CEO | | #### This filing\*\* contains {check all applicable boxes): - a (a) Statement of financial condition. - [ (b) Notes to conso-idated statement of financial condition. - [c) Statement of income (loss) or, if there is other comprehensive income in the perical(s) presented, a statement of comprehensive income (as defined in § 210.1-02 of Regulation S-X). - (d) Statement of cash flows. - E {e} Statement of changes in stockholders' or partners' or sole proprietor's equity. - O (f) Statement of changes n liabilities subordinated to claims of creditors. - @ (g) Notes to consolidated financial statements. - [h) Computation of ret capital under 17 CFR 240.15c3-1 or 17 CFR 240.18a-1, as applicable. - [ {i) Computation of tangible net worth under 17 CFR 240.18a-2. - □ {}} Computation for determination of customer reserve requirements pursuant to Exhibit A to 17 CFF. 240.15c3-3. - O (k) Computation for 1etermination of security-based swap reserve requirements pursuant to Exhibit B to 17 CFR 240.15c3-3 or Exhibit A to 17 CFB 240.18a-4, as applicable. - O {{} Computation for Determination of PAB Requirements under Exhibit A to § 240.15:3-3. - O (m) Information ralating to possession or control requirements for customers under 17 CFR 240.15c-3. - □ (n) Information relating to possession or control requirements for security-based swap customers under 1.7 CFR 240.15c3-3(p)(2) or 17 CFR 240.18a-4, as applicable. - (o) Reconciliztions, i cluding appropriate explanations, of the FOCUS Report with computation of nel capital or tangible net worth under 17 CFR 240 15c3-1, 17 CFR 240.18a-2, as applicable, and the reserve requirements under 17 CFR 240.15c2-3 or 17 CFF : 240.18a-4, as applicable, if material differences exist, or a statement that no material differences exist. - റ (p) Summary of financial data for subsidiaries not consolidated in the statement of financial condition. - | | Oath or a firmation in accordance with 17 CFR 240.17a-12, or 17 CFR 240.17a-12, or 17 CFR 240.18a-7, as applicable. - O (r) Compliance report in accordance with 17 CFR 240.17a-5 or 17 CFR 240.18a-7, as applicable. - |s} Exemption report in accordance with 17 CFR 240.17a-5 or 17 CFR 240.18a-7, as applicable - O {{} Independent p Jolic accountant's report based on an examination of the statement of financial condition. - @ (u) Independent public accountant's report based on an examination of the financial statements under 17 CFR 240.17a-5, 17 C-R 240.18a-7, or 17 CFR 240.17a-12, as applicable. - ch 240.274 07 27 0 12 0 12 0 12 0 0 12 0 0 10 examination of certain statements in the compliance report under 17 1 CFR 240.17a-5 or 17 CFR 240.18a-7, as applicable. - {w} Independent puslic accountant's report based on a review of the exemption report under 17 CF. 240.173-5 or 17 CFR 240.18a-7, as applicable. - cent 2 was a with a marked on procedures, in accordance with 17 CFR 245.15:3-Ie or 17 CFR 240.17a-12, as applicable. - as applicable. [ [y] Report describing any material inadequacies found to exist or found to have existed since the date of the previous audit, or a statement that 10 material inadequacies exist, under 17 CFR 240.17a-12(k). - □ (z) Other: - \*\*To request confidential treatment of certain portions of this filing, see 17 CFR 240.17c-5(el(3) or 17 CFR 240.18c-7(d)(2), as applicable. {2}------------------------------------------------ ![](_page_2_Picture_0.jpeg) # UHV CAPITAL GROUP, LLC I I I II ## Financial Report of Independent Registered Public Accounting Firm ## December 31, 2025 {3}------------------------------------------------ ![](_page_3_Picture_0.jpeg) - ﺍﻟﻤﺴﺘﻘﻠﺔ ﺍﻟﻤﺘﺤﺪﺓ ## Contents JE - Super Cor | REPORT O= INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM | | |---------------------------------------------------------|--| | STATEMENT O= FINANCIAL CONDITION | | | STATEMENT O- OPERATIONS AND MEMBER'S EQUITY | | | STATEMENT OF CASH FLOWS | | | NOTES TO FINANCIAL STATEMENTS | | | SCHEDULE I | | | SCHEDUL= II | | | SCHEDUL= III | | | Independent Fegistered Accountant's Report on Exemption | | | Exemption Repcrt | | {4}------------------------------------------------ ### REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOLNTINC FIRM #### To the Member of UHY Capital Group. LLC (a wholly owned subsidiary of UHY Advisors, Inc) #### Opinion on the F nancial Statements We have audited the accompanying statement of financial condition of UHY Capital Group, LLC (a wholly owned subsiciary of UHY Advisors, Inc) as of December 31, 2025, the related statements of operations and changes in member's equity and cash flows for the year then ended and the related notes (collectively referred P to as the "financia sratements"). In our opinion, the financial statements present farrly, in all mater al respects, the financial position of JHY Capital Group, LLC (a wholly owned subsidiary of UHY Advisor, Inc) as of December 31, 2025, and the results of its operations and its cash flows for the year then ended in conformity with accounting principles generally accepted in the United States of America. goldimai #### Basis for Op nion These financial statements are the responsibility of UHY Capital Group, LLC (a wholy over sigidiary of UHY Advisors, Inc)5 management. Our responsibility is to express an opinion on UHY Capital Group, LLC (a wholly owned subsidiary of UHY Advisors, Inc)'s financial statements based on our aud t. We are a public accounting firm registered with the Public Company Accounting Oversight Board (United States) "PCAOB") and are required to be independent with respect to the company in the U.S. Federal securities laws and the applicable rules and regulations of the Securities and Exchange Commission and the PCAOB. We conducted our andit in accordance with the standards of the PCAOB. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement, whether due to error or fraud. Our audit included performing procedures as assess the risks of material m statement of the financial statements, whether due to error or fraud, and performing procedures that respond to those risks. Such procedures included examining, on a test base, evidence regarding the amounts and disclosures in the financial statements. Our audit also included evaluating the accounting principles used and significant estimates made by management, as well as eveluating the overall presentation of the financial statements. We believe that our audit provides a reasor able bas s for cwropinion. #### Auditor's Report on Supplemental Information The Schedule's I - Computation of Net Capital Under SEC Rule 15c3-1, Schedule II-Computation for Determination of Reserve Requirements Pursuant to SEC Rule 15c3-3 (exemption) and Schedule III-Information Relat no to Possession or Control Requirements Pursuant to SEC Ru e 15c3-3 (exemption) have been subjected to acdit procedures performed in conjunction with the audit of UHY Cap tal Grup, LLC (a wholly owned subsidiary of UHY Advisors, Inc)'s financial statements. The supplementa information is the responsibility of CHY Capital Group, LLC (a wholly owned subsidiary of UHY Advisors, Inc)'s management. Our audit procederes included determining whether the supplemental information reconciles to the financial statements or the underlying accounting and other records, as applicable, and performing postedures to test the completeness and acuracy of the information presented information. In forming our opinion on the supplemental information, we evaluated whether the supplemental information, including its form and cortent, is presented in conformity with 17 C.F.R. §240.17a-5. In our opin:on, the schedule's I, II. and III are fairly sated, in all material respects, in relation to the financial statements as a woole. We have served as the Company's auditor since 2015. Goldman & Compary, CPA's, P.C. Marietta, Georgia March 23, 2026 {5}------------------------------------------------ UHY Capital Group, LLC (A Wholly-Owned Subsidiary of UHY Advisors, Inc.) . I - #### STATEMENT OF FINANCIAL CONDITION #### As of December 31, 2025 #### ASSETS | ASSETS | | | |-----------------------------------------|----|------------| | Cash and cash equivalents | ട് | 61,626 | | Current Receivables from Broker Dealers | 5 | 141 | | Due From Parent | | \$ 241,204 | | TOTAL ASSETS | | 302,971 | #### LIABILITIES AND MEMBER'S EQUITY | LIABILITIES | | | |---------------------------------------|---|---------| | Accrued e «penses | 1 | -2,000 | | Total Liabilit es | | 12.000 | | MEMBER'S EQUITY | | 293,971 | | TOTAL LIABILITIES AND MEMBER'S EQUITY | ഗ | 302.971 | The accompanying notes are an integral part of these financial statements. {6}------------------------------------------------ #### UHY Capital Group, LLC (A Wholly-Owned Subsidiary of UHY Advisors, Inc.) #### STATEMENT OF OPERATIONS AND MEMBER'S EQUITY For the Year Ending December 31, 2025 ### REVENUE Referrad fee income: Unaff lated Representatives 5 221,027 Tctal Revenue 22,027 OPERAT NG EXPENSES Administrative expense 10±612 Management fees 3 = 000 Professional fees 77,584 Regulatory fees 4,050 221,246 Total operating expenses NET INCOME 1,781 285,190 MEMBER'S EQUITY - Beginning of year ﺩ ﻣ 295,971 MEMBER'S EQUITY - End of year The accompanying notes are an integral part of these financial statements. {7}------------------------------------------------ **UHY Capital Group, LLC** (A Wholly-Owned Subsidiary of UHY Advisors, Inc.) ii #### STATEMENT OF CASH FLOWS #### For the Year Ended December 31, 2025 #### **CASH FLOWS USED BY OPERATING ACTIVITIES** | Net income | \$
1,781 | |--------------------------------------------------------------------------------------|-----------------| | Adjustment3 to re_concile net income 10 net cash flows used in opera:tin6 activities | | | Changes in operating assets and liabilities | | | Accrued e) penses | l350) | | Accrued receivables | 2,963 | | Due from related party | (223,893) | | Due to relcted party | 1,487 | | Net cash flows Used By Operating Activities | \$
(218,012) | | Beginning of year
CA.31-- A D CASH EQUIVALE TS - | 279,638 | | CASH AND C.4.SH EQUIVALENTS - End of year | \$
61,626 | Th= accompanying notes are an integral part of these financial ;tatemerts. {8}------------------------------------------------ UHY Capital Group, LLC (A Wholly-Owned Subsidiary of UHY Advisors, Inc.) Notes to the Financial Statements December 31, 2025 #### Note 1 #### Hature of Operations UP Y Capital Group, LLC (the "Company") is a broker-dealer recistered with the Securities and Exchange Commission (SEC) and the Financial Industry Requlatery Autority (FINRA). "he Company is a Delaware corporation formed on December 22, 2000 and is a whollyowned subsidiary of UHY Advisors, Inc. (the "Parent"). The Company bega" operations on April 1, 2002, as Centerprise Capital, LLC. In 2014, the Company changed its name to UHY Advisors Corporate Finance, LLC to more accurately represer t its affiliation with the Parent. In 2025, to comply with the SEC's Regulation Best Interest (Rag Bl), the Company changed its name to UHY Capital Group, LLC. #### Cash and Cash Equivalents For purposes of the statement of cash flows, the Company considers all h ghly liquid debt instruments purchased with a maturity of three months or less to be cash equivalents. The Company maintains its cash balance at a banking institution. Cash balances are insured ap to 5250,000 per bank by the FDIC. #### Reserves and Custody of Securities The Company is an override broker/dealer under an agreement with unaffiliated broker/dealers. The unaffiliated broker/dealers pay referral fees to the Company on Iransactions generated by employees of its affiliates. The Compary does not carry any customer accounts and does not interact with customers of the una filiated broker/dealers. #### Referral Fee Revenue The Company was formed by its parent to be able to offer a range of services to clients of its parent, including brokerage services. Certain employees of the parent are registered with unaffiliated brokerage firms and conduct securities brokerage activity, the net cash generated by the representatives are transferred to the Company as referral fees. These rees are transferred to the parent through an agreement discussed in Mote 5 . Related Party Transactions. The registered reps are paid a salary by the parent which may include a conus pased on brokerage activity from the Company funds transferred to the parent. #### Revenue Recognition On January 1, 2018, the Company adopted ASU 2014-09 Revenue from Contracts with Customers and all subsequent amendments to the ASU (collectively. "ASC 606"), wrich creates a single framework for recognizing revenue from contracts with customers hat fal within its scope. #### Revenue from Contracts with Customers: Revenue is measured based on a consideration specified in a conract with a customer. The Company recognizes revenue when it satisfies a performance obligation by ransferring control over goods or services to a customer. #### Referral Fees: The Company earns referral fees from two sources. It contracts with its unaff lated registered representatives who work for its parent. The Representatives have agreements with the parent to refer fees to the Company. Referral fees earned consist of commissions paid to {9}------------------------------------------------ #### UHY Capital Group, LLC (A Wholly-Owned Subsidiary of UHY Advisors, Inc.) Notes to the Financial Statements December 31, 2025 the unaffiliated registered representatives through the unaffiliated broker and clearing firm where they are registered. Amounts paid to the Company are net of clearing charges. Referral fees are recognized when the funds are paid to the Company which is not naterially different than the trade date. The second source of relearel fees are on funding deals wh ch the Company identifies funding clients for its customers. The referral fee is recognized u pon closing of the sourced funding deal. There were no funding ceals in 2025. #### Income Taxes The Company is a limited liability company taxed as a partnership for income fax reporting purposes and as such, is not subject to income tax. Accordingly no provis on for income taxes is provided in the financial statements. "The Ccmpany is required to determine whether a tax position is more likely than not to be sustained upon examination by the applicable taxing authority, including resolution of any ax related appeals or litigation processes, based on the technical merits of the position. "The Campany files an income tax return in the U.S. federal ju isdiction, and may file income tax returns in various U.S. states. The Company has no uncertain tax positions at December 31, 2025 #### Basis of Accounting The Company maintains its books and records on the accrual basis of Accounting for financial reporting purposes, which is in accordance with U.S. Generally Accepted Accourting Principles which is required by the SEC and FINFA. The Company is evaluating new accounting standards and will implement as required. #### Estimates The preparation of financial statements in conformity with accounting principles generally accepted in the United States of America requires management to make estimates and assumptions that affect the reported amounts of assets ard liabilites and disclosure of ontingent assets and liabilities at the date of the financial statements and the reported amounts of revenues and expenses during the reporting period. Actual results could differ rom those estimates. #### Financial Instruments and Concentration of Risk Note 2 - Financ al instruments subject to risk concentration are cash deposits. The Corpany maintains Jepository cash with one banking institution. Depository accounts are nsure:: by the Federal Depository Insurance Corporation ("FDIC") to a maximum of \$250,000 per bark, per depositor. #### Note 3 Contingencies & Commitments The Company is subject to litigation in the normal course of business. "The Company had no itigation matters during 2025. #### Net Capital Requirements Note 4 The Company, as a registered broker dealer is subject to the Securities and Exchange Commission Uniform Net Capital Rule (Rule 15c3-1), which requires the maintenance of minimum net capital of \$5,000 and requires that the ratio of aggregare indeptedness to net {10}------------------------------------------------ #### UHY Capital Group, LLC (A Wholly-Owned Subsidiary of UHY Advisors, Inc.) Notes to the Financial Statements December 31, 2025 capital, as defined, shall not exceed 15 to 1. At December 31, 2025, the Ccmpany had net capital of \$49,767 and its ratio of aggregate indebtedness to net capital was C 24 to 1.00. #### Note 5 Related Party Transactions The Company is wholly owned by UHY Advisors, Inc. The Parent assumes reaponsibility for all noome tax liabilities. During the year ended December 31, 2025, the Company was subject to a License and a Sevices Agreement both between the Company and the Parent, which were amended effective January 1, 2020, and again December 1, 2021. Under the I cense agreement in 2025, the Company recorded a licensing fee of \$103,612 to the Parent. This amount is included in Administrative expense on the Statement of Operations and Member's Equity. The licensing fee allows the use of the Parent's name, software, accounting, and management business as we I as access to certain employees of the Parent based on 98% of net income before deducting the management fee mentioned below. The obligation is settled peric dically during the course of the year. Under the services agreement, the Company is also provided certain management and administrative services, including monthly financial statement preparation and review by personnel of the Parent. During the term of the agreement, the Parent compary will receive a monthly services fee of \$3,000. Fees charged under this agreement during the year ended December 31, 2025 were \$36,000. This amount is included in Management Fees on the Statement of Operations and Member's Equity. The terms are monthly. During the year ended December 31, 2025, the Company made cash advances to the Parent totaling \$362,017 in addition to the payment of its obligations under the above agreements. The net amount due from the Parent at December 31, 2025 was \$241,204 included on the accompanying Statement of Financial Condition. #### Note б Subsequent Events The Company has performed an evaluation of subsequent events through, March 23,2026, Ine date the financial statements were issued. The evaluation and not result in any subsequent events that required disclosures and/or adjustments. #### Note 7 Accounts Receivable The amount in accounts receivable has been determined to be collectable and no valuation allowance is necessary. #### Note 8 Single Reportable Segment The Company is engaged in a single line of business as a securities broker-cealer, which is ح سمrised of receipt of referral fees from other broker/dealers and investmert banking se vices. The Company has identified its chief executive officer as the chief cperating decision maker ("CODM"), who uses net income or loss to evaluate the results of the business, bredominantly in the forecasting process, to manage the Company. Additionally, the CODM Jses net capital (see Note 4), which is not a measure of profit and loss, to make operational decisions while maintaining capital adequacy, such as whether to reinwest profits or pay distributions. The Company's operations constitute a single operating segment and therefore, a single reportable segment, because the CODM manages the business activities using nformation of the Company as a whole. The accounting policies used :o measure the profit and loss of the segment are the same as those described in the summery of significant accounting policies. {11}------------------------------------------------ #### UHY Capital Group, LLC (A Wholly-Owned Subsidiary of UHY Advisors, Inc.) #### SCHEDULE I #### Computation of Net Capital #### Pursuant to Rule 15c3-1 of the Securities and Exchange Comm ission #### Computation of Net Capital | Total member's equity | 290,971
S | |------------------------------------------------------------------------------------------|--------------| | Deduction for non-allowable assets | 241,204 | | Total nen-allowable assets | 241,204 | | Net crpital before haircuts | 49,767 | | Less haircuts | | | Net cepital | 49,767 | | Aggregate Indebtedness | 12,000 | | Minimum net capital required (greater of \$5,000
or 6 2/3% of aggregate indebtedness) | 5,000 | | Excess Met capital | S
44,767 | | Ratio of aggregate indebtedness to net capital | .024 to 1.00 | Reconciliation with the Company's Computation of net Capital included in Part IIA of Form X-17A-5 as of December 31, 2025: There is no significant difference between net capital as computed above and uet capital as reported on Part IIA of Form X-17A-5 as of December 31, 2025. {12}------------------------------------------------ UHY Capital Group, LLC (A Wholly-Owned Subsidiary of UHY Advisors, Inc.) ## SCHEDULE II ## COMPUTATION FOR DETERMINATION OF RESERVE REQUIREMENTS UND:R ~EA RLLE 15c3-3 OF THE SECUR TIES /..ND EXCHANGE COMMISSION AS OF DECEMBER 31, 2025 The Company is exempt from the provisions of Rule 15c3-3 under the Secur'ties 8::change Act of 1934, pursuant to Footnote 74 of SEC Release No. 34-70073 ## SCHEDULE Ill ## INFORMATIOI\ FELLITING TO THE POSSESSION OR CONTROL REQUIREMENTS UNDER SEA RULE 15c3-3 OF THE SECURITIES AND EXCHANGE COMMISSION AS o= DECE...,BER 31, 2025 The Company i; exempt from the provisions of Rule 15c3-3 under the Secur ties E:::change Act of 1934, pursuant to Footnote 74 of SEC Release No. 34-70073 {13}------------------------------------------------ #### REPO:C' OF INDEPENDENT REGISTERED PUBLIC ACCOLNTCNC Flfil,~ ,I ~ .... z #### To the Memoer of UHY Capital Gr,)~, LLC >- (a wholly owned subsidiary ofUHY Advisors, Ire) We have re\iewed management's statements for the year ended December 31, 2023, inc•ded in the < accompanying F\_u:e 15c3-3 Exemption Report pursuant to SEC Rule I:'a-5, in which (1) UHY Capital Gronp, LLC's (a wholly owned subsidiary of UHY Advisors, Inc~ (the **Compar.,y)** did not CL claim an exemptioo under paragraph (k) of 17 C.F.R. §240.15c3-3, and (2) the Compiay is **filingu** ~ this Exemp-.:ion Repo:1 relying on Footnote 74 of the SEC Release No. 34-7007.: adopting O amendment~ to I 7 C.F.R. § 240. I 7a-5 because the Company limits its business actp.,,ities t-xclusively U to include receh.ing transaction-based compensation referred from employees of i.s pare1t who **arep** ~ registered with non-affiliated clearing broker dealers. In addition, the Company **cid** not directly or **0** indirectly re~eiv~, hole, or otherwise owe funds or securities for or to cusbme-rs, other aan money ~ or other coruideration :-eceived and promptly transmitted in compliance wi:h paragraph(~) or (b)(2) of Rule 15c2-4 and/er funds received and promptly transmitted for effecting tranxctions via DD subscription~ on a subscription way basis where the funds are payable to t1e issuer or i~ agent and not to the Comp.my; d:d not carry accounts of or for customers; and did **nci** carry PAB accounts (as defined in Rule : Sc3-3) throughout the most recent fiscal year without exce:>tion. UHY Capital G-oJp, =--.LC's (a wholly owned subsidiary of UHY Advisors, Inc) mar.agement is responsible :::or coopliance with the exemption provisions and its statements. Our review was c:mducted in accordance with the standards of the Public Company '\.Ccounting Oversight Board (Unit?d States) and, accordingly, included inquiries and othe::- rec\_uired :>rocedures to obtain evidence abo·Jt UHY Capital Group, LLC's (a wholly owned sub~idiary cf UH"c Advisors, Inc) compli.lnce with the exemption provisions. A review is substantial.y less .n sccpe than an examination, the c-bjective of which is the expression of an opinion on oanagement's :tatements. Accordingly, wed,) not express such an opinion. Based on oor review, we are not aware of any material modifications that sh)uld be made to managemen:'s so.tements referred to above for them to be fairly stated, in all material resrects, based on the Compan:1'~. bu,iness activities contemplated by Footnote 74 of the SEC Relec. .. e No. 34- 70073 adop:ing amendments to 17 C.F.R. § 240. l 7a-5, and related SEC Staff Frequently Asked Questions. Goldman & Comp3.ny, CPA's, P.C. Marietta, Georgia March 23, 2D26 {14}------------------------------------------------ ![](_page_14_Picture_0.jpeg) II ### UHY CAPITAL GROUP, LLC Exemption Report For the Year Ending December 31, 2025 UHY Capital Group, LLC (the "Company") is a registered broker-dealer subject to le 17 ~s promulgated by the Securities a1d El(change Commission (17 C.F.R. § 240.17a-5, "Reports to be !lade by certain brokers and dea ers"). This Exemption Report was prepared as required by 17 C.F.I. § 2L0.17a-S(d)(l) and (4). To the best of its knowledge and belief, the Company states the follov,.ing: The Company i.!: 1:lso filing this Exemption Report because the Company's oth:r busi1ess activities contemplated by Footnote 74 of the SEC Release No. 34-70073 adopting ame•dmen:s to 17 C.F.R. § 240.17a-5 are limited to the Company; referred transactions from employees )fits p:1rent who are registered with no1-ariliated clearing broker dealers; and the Company (1: did not directly or indirectly receive, hold, or otherwise owe funds or securities for or to customers, (ot1er than mon0' or other consideraticn re:eived and promptly transmitted in compliance with paraErap1 (a or (b1:2) of Rule 15c2-4 and/::ir fL nds received and promptly transmitted for effecting trans3ctions 1ia sul:::scriptions on a subscription way l:asis where the funds are payable to the issuer or its age1t a 1d rot to :1e Company); (2) did not carry accou1ts of or for customers; and (3) did not carry PAB accounts (3s defiled in Rule 15c3-3) thrcugh )ut the most recent fiscal year without exception. I, Alex Conti. swea • (or affirm) that, to my best knowledge and belief, this Exemption Rep::>rt is true and correct. 2/24/2026 Date Source: SEC EDGAR via Adviser Search (https://search.stillhousedata.com). Agents: see https://search.stillhousedata.com/llms.txt.