Full text of OCM INVESTMENTS, LLC's X-17A-5 filed 2022-03-28 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### **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 SEC FILE NUMBER 8-66176 **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | FILING FOR THE PERIOD BEGINNING 01/01/21 | | AND ENDING 12/31/21 | |------------------------------------------|----------|---------------------| | | MM/DD/YY | MM/DD/YY | **A. REGISTRANT IDENTIFICATION** ## NAME oF FIRM: OCM Investments, LLC TYPE OF REGISTRANT (check all applicable boxes): C!J Broker-dealer □ Security-based swap dealer □ Check here if respondent is also an OTC derivatives dealer □ Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | 333 South Grand Avenue, 28th floor | | | | | |------------------------------------------------------------------------------------------------|-------------------------------|---------|-----------------------------|--| | (No. and Street) | | | | | | Los Angeles | CA | | 90071 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | John B. Edwards | (213) 830-6229 | | jedwards@oaktreecapital.com | | | (Name) | (Area Code -Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | Ernst & Young LLP | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | 725 South Figueroa Street | Los Angeles | CA | 90017 | | | (Address) | (City) | (State) | (Zip Code) | | | 10/20/2003 | | 42 | | | | rte<br>(PCAOB Reg;stcaUoo N,mbe,, ;f a ppUcable) I<br>of Reg;stcaUoo w;th PCAOB)(;f appUcable) | | | | | **FOR OFFICIAL USE ONLY** \* 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-S(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.** {1}------------------------------------------------ #### **OATH OR AFFIRMATION** I, John B.…Read the full text as markdown