Full text of ARETE RESEARCH LLC's X-17A-5 filed 2023-06-12 (period 2023-03-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ## ARETE RESEARCH, LLC (A Wholly-Owned Subsidiary of Arete Research Services, LLP) FINANCIAL STATEMENTS PUBLIC COPY MARCH 31, 2023 {1}------------------------------------------------ ## ARETE RESEARCH, LLC (A Wholly-Owned Subsidiary of Arete Research Services, LLP) # CONTENTS | | Page(s) | |---------------------------------------------------------|---------| | Form X-17A-5 Part Ill: Facing Page | 1 | | Oath or Affirmation | 2 | | Report of Independent Registered Public Accounting Firm | 3 | | Financial Statements | | | Statement of Financial Condition at March 31, 2023 | 4 | | Notes to Financial Statements | 5-9 | {2}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL REPORTS FORM X-17A-S PART** Ill **FACING PAGE** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-66145 **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **04/01/2022** MM/DD/VY AND ENDING **03/31/2023** MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: Arete Research 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 D Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.). 101 Arch Street, 8th Floor (No. and Street) Boston MA 02110 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING Francis Robert Merrill IV 617-357-4800 robert.merrill@arete.net (Name) (Area Code - Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* WithumSmith+Brown PC (Name - if individual, state last, first, and middle name) 155 Seaport Blvd. Boston MA 02210 (Address) (City) (State) (Zip Code) <sup>100</sup>l" **of R,g;~,atioo with PCAOBJ(;f appHcable) FOR OFFICIAL USE ONLY {PCAOB Regi~,atioo N,mb", if applicabh,{** I \* 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 contain…Read the full text as markdown