Full text of DAIWA CORPORATE ADVISORY LLC's X-17A-5 filed 2026-05-21 (period 2026-03-31). 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. 8-66273) ## STATEMENT OF FINANCIAL CONDITION AS OF MARCH 31, 2026 AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM \* \* \* \* \* \* \* This report is filed Pursuant to Rule 17a-5(e)(3) under The Securities Exchange Act of 1934 as a PUBLIC DOCUMENT. {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0 MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART Ill** 8 66273 SEC FILE NUM BER 0 M B APPROVAL | Information Required Pursuant to Rules 17a-5, 17a-12, and lSa-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | | |-------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------|---------------------------------------------------|------------------------------|------------| | FILING FOR THE PERIOD BEGINNING | ----------<br>4/1/2025 | AND ENDING | -----------<br>3/31/2026 | | | | MM/DD/YY | | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: | ____________________________<br>DAIWA CORPORATE ADVISORY LLC | | | _ | | TYPE OF REGISTRANT (check all applicable boxes):<br>□ Broker-dealer<br>□ Check here if respondent is also an OTC derivatives dealer | □ Security-based sw ap dealer | □ Major security-based sw ap participant | | | | 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)<br>(Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>KPMG LLP | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | Two Manhattan West | New York | | NY | 10001 | | (Address)<br>10/20/2003 | (City) | 185 | (State) | (Zip Code) | | | 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 f…Read the full text as markdown