Full text of DAIWA CORPORATE ADVISORY LLC's X-17A-5/A filed 2021-06-01 (period 2021-03-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ DAIWA CORPORATE ADVISORY LLC (SEC I.D. No. 8Ͳ66273) STATEMENT OF FINANICAL CONDITION AS OF MARCH 31, 2021 AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM \* \* \* \* \* \* \* This report is filed pursuant to Rule 17aͲ5(e)(3) under The Securities Exchange Act of 1934 as a PUBLIC DOCUMENT. {1}------------------------------------------------ # **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C.20549** # burden OMB APPROVAL OMB Number: 3235Ͳ0123 Expires: August 31, 2021 Estimated average hours per response.12.00 | SEC<br>FILE<br>NUMBER | |-----------------------| | 8Ͳ66273 | # **ANNUAL AUDITED REPORT FORM XͲ17AͲ5 PART III** # **FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17aͲ5 Thereunder** | REPORT<br>FOR<br>THE<br>PERIOD<br>BEGINNING | 4/1/20 | AND<br>ENDING | 3/31/21 | | | |----------------------------------------------------------------------------------------------------------------------|----------------------------------------------------|-------------------------------------|---------------------------------|--|--| | | MM/DD/YY | | MM/DD/YY | | | | A.<br>REGISTRANT<br>IDENTIFICATION | | | | | | | NAME<br>OF<br>BROKERͲDEALER:<br>DAIWA<br>CORPORATE<br>ADVISORY<br>LLC<br><br> | | OFFICIAL<br>USE<br>ONLY<br><br><br> | | | | | ADDRESS<br>OF<br>PRINCIPAL<br>PLACE<br>OF<br>11th Floor<br>605<br>Third<br>Ave, | BUSINESS:<br>(Do<br>not<br>use<br>P.O.<br>Box | No.) | <br>FIRM<br>I.D.<br>NO.<br> | | | | | (No.<br>and<br>street) | | | | | | New<br>York | NY | | 10171 | | | | (City) | (State) | | (Zip<br>Code) | | | | NAME<br>AND<br>TELEPHONE<br>NUMBER<br>OF | PERSON<br>TO<br>CONTACT<br>IN<br>REGARD | TO<br>THIS<br>REPORT | | | | | Peter<br>Pacitto | | | (212)<br>904Ͳ9488 | | | | | | | (Area<br>Code<br>–<br>Telephone | | | | | | | Number) | | | | | B.<br>ACCOUNTANT<br>IDENTIFICATION | | | | | | INDEPENDENT<br>PUBLIC<br>ACCOUNTANT<br>whose<br>opinion<br>is<br>contained<br>in<br>this<br>Report* | | | | | | | KPMG<br>LLP | | | | | | | (Name | –<br>if<br>individual,<br>state<br>last,<br>first, | middle<br>name) | | | | | 345<br>Park<br>Avenue | New<br>York | NY | 10154 | | | | (Address) | (City) | (State) | (Zip<br>Code) | | | | CHECK<br>ONE:<br>;Certified<br>Public<br>Accountant<br>†Public<br>Accountant<br>†Accountant<br>not<br>resident<br>in | United<br>States<br>or<br>any<br>of<br>its | possessions. | | | |…Read the full text as markdown