Full text of FTI CAPITAL ADVISORS, LLC's X-17A-5 filed 2026-04-03 (period 2025-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # AMENDED GENERAL ASSESSMENT FORM For the fiscal year ended 12/31/2025 | | Determination of "SIPC NET Operating Revenues" and General Assessment for: | | |---|------------------------------------------------------------------------------------------------------------------------------------|------------------| | | MEMBER NAME<br>SEC No.<br>FTI CAPITAL ADVISORS LLC<br>8-65587 | | | | and ending 12/31/2025<br>1/1/2025<br>For the fiscal period beginning | | | 1 | Total Revenue (FOCUS Report - Statement of Income (Loss) - Code 4030) | \$ 19,812,667.00 | | 2 | Additions: | | | | a Total revenues from the securities business of subsidiaries (except foreign | | | | subsidiaries) and predecessors not included above. | | | | b Net loss from principal transactions in securities in trading accounts. | | | | c Net loss from principal transactions in commodities in trading accounts. | | | | d Interest and dividend expense deducted in determining item 1. | | | | e Net loss from management of or participation in the underwriting or<br>distribution of securities. | | | | f Expenses other than advertising, printing, registration fees and legal fees | | | | deducted in determining net profit management of or participation in | | | | underwriting or distribution of securities. | | | | g Net loss from securities in investment accounts. | | | | h Add lines 2a through 2g. This is your total additions. | \$ 0.00 | | 3 | Add lines 1 and 2h | \$ 19,812,667.00 | | 4 | Deductions: | | | | a Revenues from the distribution of shares of a registered open end investment | | | | company or unit investment trust, from the sale of variable annuities, from the | | | | business of insurance, from investment advisory services rendered to | | | | registered investment companies or insurance company separate accounts<br>and from transactions in security futures products. | | | | b Revenues from commodity transactions. | | | | c Commissions, floor brokerage and clearance paid to other SIPC members | | | | in connection with securities transactions. | | | | d Reimbursements for postage in connection with proxy solicitations. | | | | e Net gain from securities in investment accounts. | | | | f 100% commissions and markups earned from transactions in (1) certificates | | | | of deposit and (ii) Treasury bills, bankers acceptances or commercial paper<br>that mature nine months or less from issuance date. | | | | g Direct expenses of printing, adver…Read the full text as markdown