Full text of HOULIHAN LOKEY ADVISORS, LLC's X-17A-5 filed 2022-02-25 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **PUBLIC VERSION** # **HOULIHAN LOKEY ADVISORS, LLC** FINANCIAL STATEMENT WITH REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM DECEMBER 31, 2021 {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill **FACING PAGE** | SEC FILE NUMBER | | |-----------------|--| | B-66065 | | 2 \_ 1 \_\_ \_ **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING \_\_\_ 01\_f0\_1\_12\_1 \_\_\_\_ AND ENDING \_\_\_ 1 \_ 21\_3\_ 11\_ MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: Houlihan Lokey Advisors, LLC TYPE OF REGISTRANT (check all applicable boxes): ,/ Broker-dealer • Security-based swap dealer 0 Check here if respondent is also an OTC derivatives dealer • Majo r security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 333 Bush Street, 31st Floor San Francisco (City) (No. and Street) Ca (State) PERSON TO CONTACT WITH REGARD TO THIS FILING 94104 !Zip Code) Aaron Cohen 415-273-367 5 aaron. cohen@hl.com (Name) (Area Code - Telephone Number} (Email Address) INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* | | (Name- if individual, state last, first, and middle name) | | | |------------------------------------------------------------------|-----------------------------------------------------------|---------|---------------------------------------------| | 675 Ygnacio Valley Rd., Ste A200 | Walnut Creek | Ca | 94596 | | (Address) | (City) | (State) | (Zip Code) | | l"<br>February 24, 2009 | | 3438 | | | of Re<stratloo with PCAOB)(il • P~i<able) FOR OFFIC(Al USE ONL y | | | (PCAOB R,g.,ratio, Nombec, If appli<able) I | **8. ACCOUNTANT IDENTIFICATION** \* 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 as the basis of the exemption. See 17 CFR 240.17a-5(e)(l)(ii}, if applicable. **Persons who are to respond to the collection of information contained** in **this form are not required to respond unless the form displays a currently valid 0MB control number.** {2}-----------------------…Read the full text as markdown