Full text of OCM INVESTMENTS, LLC's X-17A-5 filed 2024-03-28 (period 2023-12-31). 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: Nov. 30, 2026 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill **FACING PAGE** | SEC FILE NUMBER | |-----------------| | 8-66176 | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | |-------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------------|--|--|--| | FILING FOR THE PERIOD BEGINNING O 1/01 /23 | | AND ENDING 12/3<br>1 /<br>2 3 | | | | | | MM/DD/YY | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME oF FIRM: OCM Investments, LLC | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>~ Broker-dealer<br>□ Check here if respondent is also an OTC derivatives dealer | D Security-based swap dealer | D 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*<br>Ernst & Young LLP | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | 725 South Figueroa Street | Los Angeles | CA<br>90017 | | | | | (Address) | (City) | (St ate)<br>(Zip Code) | | | | | 10/20/2003 | | 42 | | | | | | | | | | | | | 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}------------------------------------------------…Read the full text as markdown