# REDROCK TRADING PARTNERS, LLC X-17A-5 (2026-04-14) — Broker-dealer annual report

- Company: REDROCK TRADING PARTNERS, LLC
- Form: X-17A-5
- Filed: 2026-04-14
- Period: 2025-12-31
- Accession: 0001306928-26-000001
- CIK: 1306928
- File #: 8-66707
- Type: Broker-dealer
- Material weakness: No
- Auditor: NTT & Company, PLLC
- Auditor location: Beaumont, TX
- Contact: Thane Plummer
- Phone: 707-726-2648
- Email: thane@redrocktradingpartners.com
- Website: redrocktradingpartners.com
- Signed by: Thane Plummer (COO)

Original filing: https://www.sec.gov/Archives/edgar/data/1306928/000130692826000001/RedrockPublic25.pdf

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Red rock Trading Partners, LLC

Financial Statement Required by the U.S. Securities and Exchange Commission

Including Independent Auditor's Report Thereon

December 31, 2025

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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Wa\$hlngton, D.C. 20549

> **ANNUAL REPORTS FORM X-17A-5 PART** Ill

| 0MB Number: 3iJS-Oln<br>Expires: Nov.'30, 2026 |  |
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| SEC Fil[ NUMBER                                |  |
| 8-66707                                        |  |

# **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 /25** 

MM/DD/'('{ AND ENDING 12131125

MM/DD/YY

**A. REGISTRANT IDENTIFICATION** 

NAME oF FIRM: Red rock Trading Partners, LLC

TYPE OF REGISTRANT {check all applicable boxes):

D Broker-dealer D Security-based swap dealer D Major security-based **swap** participant 0 Check here if respondent is also an OTC deriva.tives dealer

ADDRESS OF PRINCIPAL PlACE OF BUSINESS: (Do **not** use a P.O. box no.)

| 2605 Walton Way                                                           |                                                           |                                  |            |
|---------------------------------------------------------------------------|-----------------------------------------------------------|----------------------------------|------------|
|                                                                           | (No. and Street)                                          |                                  |            |
| Augusta                                                                   | GA                                                        | 30904                            |            |
| {City}                                                                    | (State)                                                   | (Zip Code)                       |            |
| PERSON TO CONTACT WITH REGARD TO THIS FILING                              |                                                           |                                  |            |
| Thane Plummer                                                             | (707) 726-2648                                            | thane@redrocktradingpartners.com |            |
| (Name)                                                                    | (Area Code- Telephone Number)                             | (Email Address)                  |            |
|                                                                           | B. ACCOUNTANT IDENTIFICATION                              |                                  |            |
| INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing• |                                                           |                                  |            |
| NTT & Company, PLLC                                                       |                                                           |                                  |            |
|                                                                           | (Name- if individual, state last, first; and middle name} |                                  |            |
| 5865 Mistletoe Avenue                                                     | Beaumont                                                  | TX                               | 77707      |
| (Address)<br>03/19/2019                                                   | (City}                                                    | {State)<br>6543                  | {Zip Code) |
|                                                                           |                                                           |                                  |            |

(Date of ReRistration with PCAOBHif apolicable) IPCA0B Rel!istration Number, if applicable)

#### **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{el(l){iij, if applicable.

Persons who 11re 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.

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*CONFIDENTIAL* 

## OATli OR AFFIRMATION

1, .-..,"! P!..r:wn(: swe• **(or** affirm~ that, to tht best of *mv* knowled&• **ind** ti.l,.f, the finanoal report pertair11ng to the firm of "" .,.\_. '' aJl!'-J ""•"'"' ' i,L 11 of

12/31 z~ ts true .tnd CO(Nt(t, I further J\'<HT (or :affirm) ttMatne1ther the to Y mw any partnu, officer, dmu:tot, or equ,v.alent penOfl, aHh• taH m1y be, has any p,0pri1:tary int•re,t '" .ny •cc-nlCllu \_ ~ -,. \_\_\_ . \_ .is that of **a** et.1,tomer, • .-"

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![](_page_3_Picture_0.jpeg)

## REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING **FIRM**

fo the :vkmhers of Redrock Trading Partners. LI ,C:

# Opinion on Financial Statements

We have audi1cd the accompanying statement of linancial condition or Rcclrnck Trading Partners, 1.1,C ( Lhe "Company'") as of December 31. 2025. and th..: rclati:!d notes (.:ollectively n:lcrred lo as '•financial statement"). In our opinion. the financial statement presents fairly, in all material respects. the financial position of the Company as of Dcct:mber 3 L 2025. in conformity with accounting principles generally accepted in the Unit.:d States of Amt>rica.

# **Basis for Opinion**

These financial ~tatcmcnt is the responsibility of the Company's management. Our re~ponsibility is to expr.:ss an opinion on the Company's financial statement based on our audit. We arc a public a..:coun1ing firm registered with the Public Company Accounting Oversight Board (United States) (PC AOl3) and arc required to be independent with respect lo the Company in accordance with the U.S. federal securities laws and the applicable rules and regulations of the Securities and Exchang.: Commission and the PCAOB.

We conducted our audit in accordance with the standards of the PCAOB. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statement is free from material misstalement. whether due to ..:rror or fraud.

Our audit incluckd pcrfonning proccdurcs to assess the risks of material misstatement of the limrncial statement. whdher due to error or fraud, and pcrfonning procedures that respond to those risks. Such procedures included examining. on a test basis, evidence regarding the amounts and di~closures in the financial statement. Our audit also included evaluating the accounting principles used and significant estimates made by management. as well as evaluating the overall presentation of the financial statement. We believe that the audit of the financial statement provides a reasonable basis for our opinion.

# Nrr & co-m,p~, PLLC

Beaumont. Texa~

April 11, 2026

We have served as the auditor for Rcdrock Trading Pa11ncrs, LLC since 2021.

NIT & Company, PLLC 5865 Mistletoe Avenue Beaumont, TX 77707 512.766.8131 NathanTuttle@NTTCoCPA.com

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# **REDROCK TRADING PARTNERS, LLC STATEMENT OF FINANCIAL CONDITION AS OF DECEMBER 31, 2025**

#### **ASSETS**

| Total liabilities and member's equity    |                                 | \$<br>14,092 |
|------------------------------------------|---------------------------------|--------------|
| Member's equity                          |                                 | 14,092       |
| Liabilities                              |                                 | \$           |
|                                          | LIABILITIES AND MEMBER'S EQUITY |              |
| Total assets                             |                                 | \$<br>14,092 |
| Prepaid expenses<br>Flex funding account |                                 | 283<br>1,011 |
| Cash and cash equivalents                |                                 | \$<br>12,798 |

The accompanying notes are an integral part of these financial statements.

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# Redrock Trading Partners, LLC Footnotes to Financial Statements For the year ended December 31, 2025

# **Note 1 Nature of Business and Summary of Significant Accounting Policies**

### Nature of Business

Redrock Trading Partners, LLC was formed on May 24, 2004, in the State of Arizona as a Limited Liability Corporation (LLC). The LLC was re-domiciled in Georgia on August 12, 2006. The Company is a registered broker-dealer under the provisions of the Securities Exchange Act of 1934. The Company began operations as a broker-dealer in April 2005. The Company provides services on behalf of clients for the purchase and/or sale of securities and private placements.

#### Estimates

The preparation of financial statements in conformity with accounting principles generally accepted in the United States of America requires management to make estimates and assumptions that affect the reported amounts of assets and liabilities, and disclosure of contingent assets and liabilities at the date of the financial statements and the reported amounts of revenues and expenses during the reporting period. Accordingly, actual results could differ from those estimates.

#### Cash and Cash Equivalents

The Company considers all highly liquid debt instruments with a maturity of 90 days or less at the time of purchase to be cash equivalents.

#### Revenue Recognition

The Company receives revenue for private placement fees and other miscellaneous services. Revenue is recognized when the performance obligation for the transactions is completed under the terms of each engagement and when collection is reasonably assured.

During the year ending December 31, 2025, the Company had only one client but collected no revenue. The only performance obligation within this agreement is that the customer remains invested in contracted placement. This performance obligation is deemed to be satisfied over time, and the fees are recorded quarterly when collection is reasonably assured.

#### Income Taxes

The Company is recognized as a partnership for income tax purposes under the provisions of the Internal Revenue Code for Limited Liability Companies. As a result, income and losses of the Company are passed through to the members for income tax reporting purposes. Accordingly, no provision has been made for federal or state income taxes. The tax returns of the past three years have not been audited and could be subject to audit.

### Fair Value of Financial Instruments

The Company's financial assets and liabilities are reported in the statement of financial condition at market or fair value or at carrying amounts of approximate current fair value. Financial instruments consist principally of cash and payables.

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# Redrock Trading Partners, LLC Footnotes to Financial Statements For the year ended December 31, 2025 (Continued)

# **Note2**

#### **Concentrations of Credit Risk**

The Company maintains its cash in bank deposit accounts which, at times, may exceed federally insured limits. Accounts are guaranteed by the Federal Deposit Insurance Corporation (FDIC) up to \$250,000. On December 31, 2025, the Company had no cash in excess of the FDIC insured limits. During the year ending December 31, 2025, one customer accounted for 100% of the company's revenues.

# **Note 3**

#### **Net Capital Requirements**

The Company, as a registered broker-dealer, is subject to the Securities and Exchange Commission Uniform Net Capital Rule (Rule 15c3-I). Rule 15c3 1 requires the maintenance of minimum net capital of \$5,000, as defined, and requires that aggregate indebtedness, as defined, shall not exceed 15 times net capital. On December 31, 2025, the Company had net capital, as defined, of \$12,798, which exceeded the required net capital of \$5,000 by \$7,798. On December 31, 2025, the Company had a ratio of aggregate indebtedness to net capital of 0%.

# **Note4 Fidelity Bond**

As a FINRA member, the Company is required to maintain minimum fidelity bond coverage of \$100,000. The coverage was properly maintained from January 1, 2025 through December 31, 2025.

### **Note 5**

## **Going Concern**

Management has evaluated the Company's ability to continue as a going concern and has concluded that it will be able to meet its obligations as they become due for a reasonable period of time. Although the Company is in the process of winding down certain activities in anticipation of a potential sale, the senior owner, who maintains substantial personal financial resources, has committed to providing capital contributions as needed to ensure the Company remains sufficiently liquid and in full compliance with all regulatory capital and other requirements throughout this period.

# **Note6**

# **Contingencies**

There are currently no asserted claims or legal proceedings against the Company, however, the nature of the Company's business subjects it to various claims, regulatory examinations, and other proceedings in the ordinary course of business. The ultimate outcome of any such action against the Company could have an adverse impact on the financial condition, results of operations, or cash flows of the Company.

# **Note7**

#### **Subsequent Events**

Management has evaluated subsequent events through the date on which the financial statements were available to be issued and is unaware of any events requiring recognition or disclosure in the financial statements or notes thereto. The reduction in activity is due to a winding down of the firm as a potential buyer of the firm is sought.


Source: SEC EDGAR via Adviser Search (https://search.stillhousedata.com). Agents: see https://search.stillhousedata.com/llms.txt.