Full text of DAIWA CORPORATE ADVISORY LLC's X-17A-5 filed 2024-05-24 (period 2024-03-31). 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 FINANCIAL CONDITOIN AS OF MARCH 31, 2024 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 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 > SEC FILE NUMBER 8-66273 ## **ANNUAL REPORTS FORM X-17A-5 PART Ill** **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 **4/1/2023** MM/DD/YY AND ENDING **3/31/2024** MM/DD/VY **A. REGISTRANT IDENTIFICATION** # NAME OF FIRM: DAIWA CORPORATE ADVISORY LLC TYPE OF REGISTRANT (check all applicable boxes): � Broker-dealer D Security-based swap dealer D Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) ## 605 Third Ave, 11th Floor | | (No. and Street) | | | | |----------------------------------------------|------------------------------------------------------------|---------------|-----------------------------------------|--| | New York | NY | | 10171 | | | (City) | (State) | | {Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Peter Pacitto | 212-904-9488 | | Peter. Pacitto@dcadvisory.com | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | KPMG LLP | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 345 Park Avenue | New York<br>(City) | NY<br>(State) | 10154<br>(Zip Code) | | | (Address)<br>10/20/2003 | | 185 | | | | te of Reg;stcaUoo w;th PCAOB)(;f appl;cable) | | | (PCAOB Reg;waMo Nombec, ;f appl;cable 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-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…Read the full text as markdown