# EQUIFINANCIAL LLC X-17A-5 (2026-05-07) — Broker-dealer annual report - Company: EQUIFINANCIAL LLC - Form: X-17A-5 - Filed: 2026-05-07 - Period: 2025-12-31 - Accession: 0001335352-26-000003 - CIK: 1335352 - File #: 8-67037 - Type: Broker-dealer - Material weakness: No - Auditor: Pamela Ohab - Auditor location: Maitland, FL - Contact: David L. Wilson - Phone: 3053581040 - Email: dwilson@equitinanciall.c.com - Website: c.com - Signed by: David L. Wilson (Managing Member) Original filing: https://www.sec.gov/Archives/edgar/data/1335352/000133535226000003/jojomackfamily.pdf --- {0}------------------------------------------------ | | | | | | OMB APPROVAL | | |------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------|--------------------------------|-----------------------------------------|------------------------------|----------------------------------------------------|--| | | UNITED STATES
SECURITIES AND EXCHANGE COMMISSION | | | OMB Number: 3235-0123 | | | | CONFIDENTIAL | | Washington, D.C. 20549 | | | Expares: Now. 30, 2026 | | | TREATMENT | | | | | Estimated average burden
nours per response: 12 | | | REQUESTED | | ANNUAL REPORTS | | | SEC FILE NUMBER | | | | | FORM X-17A-5 | | | 8-67037 | | | | | | | | | | | | | PART III | | | | | | | | 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 01/01/2025 AND ENDING 12/31/2025 | | | | | | | | | | mm/DD/YY | | | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: Equifinance LLC | | | | | | | | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | | | | Broker-dealer | | | [ Major security-based swap participant | | | | | Check here if respondent is also an OTC derivatives dealer | | | | | | | | | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | 1717 N Bayshore Dr Suite 228 | | | | | | | | | | (No. and Street) | | | | | | Miami | | | Florida | | 33132 | | | | | | | | | | | ((City) | | (State) | | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | | | | | | | | David Wilson | | 305-358-1040 | | Dwilson@equitinanciall.c.com | | | | (Name) | | (Area Code - Telephone Number) | | (Email Address) | | | | | | B. Accountant IDENTIFICATION | | | | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filling * | | | | | | | | OHAB AND COMPANY, PA | | | | | | | | | | | | | | | | | (Narme - if imdlividual, statte last, first, and middle name) | | | | | | | 100 E SYBELIA AVENUE, SUITE 130 MAITLAND | | | | -1 | 32751 | | | (Address) | | (City) | | (State) | (Zip Code) | | | JULY 28, 2004 | | | 1839 | | | | | (Date of Registration with PCAOB)(if applicable) | | | | | (PCAOB Registration Number, if applicable) | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | * Claims for exemption from the requirement that the annual 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-5(e)(1)(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 OMB control number. {1}------------------------------------------------ #### OATH OR AFFIRMATION swear (or affirm) that, to the best of my knowledge and belief, the Equilificatial, LCC as of as a many as of financial report pertaining to the firm of \_ is the and correct. I further swear (or affirm) that neither the company nor any 129/2016 expay be, has any proprietary interest in any account classified solely partner, officer, director, or equivalent pers as that of a customer. Signature: MY COMMISSION XPIRES 6-20-2027 Title: Notary Publ This filing\*\* contains (check all applicable loowes): (a) Statement of financial condition. [ (b) Notes to consolidated statement of filmancial comdition. (c) Statement of income (loss) or, if there is other comprehensive income in the period(s) presented, a statement of comprehensive income (as defined in § 210.1-02 of Regulation S-X). (d) Statement of cash flows. (e) Statement of changes in stockholders' or partmers' or sole proprietor's equity. [ (f) Statement of changes in liabilities subordlimated to claims of creditors. (g) Notes to consolidated financial statements. (h) Computation of net capital under 17 CFR 240.15c3-1 or 17 CFR 240.18a-1, as applicable. [ (i) Computation of tangible net worth under 17 CFR 240.18a-2. (i) Computation for determination of customer reserve requirements pursuant to Exhibit A to 17 CFR 240.15c3-3. E {} Computation for determination of security-based swap reserve requirements pursuant to Exhibit B to 17 CFR 240.15c3-3 or Exhibit A to 17 CFR 240.18a-4, as applicable. [1) Computation for Determination of PAB Requirements under Exhibit A to § 240.15c3-3. (m) Information relating to possession or control requirements for customers under 17 CFR 240.15c3-3. ■ (n) Information relating to possession or control requirements for security-based swap customers under 17 CFR 240.15c3-3(p)(2) or 17 CFR 240.18a-4, as applicable. (o) Reconciliations, including appropriate explanations, of the FOCUS Report with computation of net capital in the prot worth under 17 CFR 240.18-2 p. 17 CFR 240.18a-1, or 17 CFR 240.18a-2, as applicable, and the reserve requirements under 17 worth blibel 17 CFR 240.186-4, as applicable, if material differences exist, or a statement that no material differences exist. [ {p) Summary of financial data for subsidiaries not consolidated in the statement of financial condition. . [r] Compliance report in accordance with 17 CFR 240.17a-5 or 17 CFR 240.18a-7, as applicable. (s) Exemption report in accordance with 17 CFR 240.17a-5 or 17 CFR 240.18a-7, as applicable. [] Independent public accountant's report based on an examination of the statement of financial condition. [ (1) Independent public accountant's report based on an examination of the financial report or financial statements under 17 CFR 240.17a-5, 17 CFR 240.18a-7, or 17 CFR 240.17a-12, as applicable. [ { } Independent public accountant's report based on an examination of certain statements in the compliance report under 17 CFR 240.17a-5 or 17 CFR 240.18a-7, as applicable. (v) Independent public accountant's report based on a review of the exemption report under 17 CFR 240.17a-5 or 17 CFR 240.18a-7, as applicable. CH 240.106" , as opplication: . [] [x] Supplemental reports on applying agreed-upon procedures, in accordance with 17 CFR 240.17a-12, as applicable. as applicable. [] {y) Report describing any material inadequacies found to exist or found to have existed since the date of the previous audit, or a statement that no material inadequacies exist, under 17 CFR 240.17a-12(k). O (z) Other: \*\*To request confidential treatment of certain portions of this filing, see 17 CFR 240.17a-5(e)(3) or 17 CFR 240.180-7(d)(2), as applicable. {2}------------------------------------------------ # **Equifinancial LLC** # **Annual Audit** # **01/01/2025 to 12/31/2025** {3}------------------------------------------------ # **EQUIFINANCIAL, LLC FOR THE YEAR ENDED DECEMBER 31, 2024** # **TABLE OF CONTENTS** | Report of Independent Registered Public
Accounting
Firm | | |------------------------------------------------------------------------------------------------------------------------------------------------|-----| | Financial Statements | | | Statement of
Financial
Condition | 2 | | Statement
of
Operations | 3 | | Statement of Changes in
Member's
Equity | 4 | | Statement of
Cash
Flows | 5 | | Notes to
Financial
Statements | 6-8 | | Supplemental Information | | | Schedule I -
Computation of Net Capital Pursuant to SEC Rule 15c3-1 and
Reconciliation of Net Capital Pursuant to SECRule
17a-5(d)(4) | 9 | | Schedule II -
Computation of Aggregate Indebtedness Under Rule 17a-5 of
the Securities and
Exchange
Commission | 10 | | Schedule III -
Information Relating to the Possession orControl
Requirements
Under 15c3-3 | 11 | {4}------------------------------------------------ ![](_page_4_Picture_0.jpeg) 100 E. Sybelia Ave. Suite 130 Maitland, FL 32751 Certified Public Accountants Email: pam/aiohabco.com Telephone 407-740-7311 Fax 407-740-6441 ### REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Member of Equifinancial, LLC #### Opinion on the Financial Statements We have audited the accompanying statement of financial condition of Equifinancial, LLC as of December 31, 2025, the related statements of operations, changes in member's equity, and cash flows for the year then ended, and the related notes (collectively referred to as the "financial statements"). In our opinion, the financial statements present fairly, in all material respects, the financial position of Equifinancial, LLC as of December 31, 2025, and the results of its operations and its cash flows for the year then ended in conformity with accounting principles generally accepted in the United States of America. #### Basis for Opinion These financial statements are the responsibility of Equifinancial, LLC management, Our responsibility is to express an opinion on Equifinancial, LLC's financial statements based on our audit. We are a public accounting firm registered with the Public Company Accounting Oversight Board (United States) (PCAOB) and are required to be independent with respect to Equifinancial, LLC in accordance with the U.S. federal securities laws and the applicable rules and regulations of the Securities and Exchange 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 statements are free of material misstatement, whether due to error or fraud. Our audit included performing procedures to assess the risks of material misstatement of the financial statements, whether due to error or fraud, and performing procedures that respond to those risks. Such procedures included examining, on a test basis, evidence regarding the amounts and disclosures in the financial statements. 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 statements. We believe that our audit provides a reasonable basis for our opinion. # Auditor's Report on Supplemental Information The Schedule I, Computation of Net Capital Pursuant to SEC Rule 15c3-1 and Reconciliation of Net Capital Pursuant to SEC Rule 17s-5(d)(4), Schedule II, Computation of Reserve Requirements Under Rule 15c3-3 and Schedule III, Information Relating to Possession or Control Requirements Under Rule 15c3-3 have been subjected to audit procedures performed in conjunction with the audit of Equifinancial, LLC's financial statements. The supplemental information is the responsibility of Equifinancial, LLC's management. Our audit procedures included determining whether the supplemental information reconciles to the financial statements or the underlying accounting and other records, as applicable, and performing procedures to test the completeness and accuracy of the information presented information. In forming our opinion on the supplemental information, we evaluated whether the supplemental information, including its form and content, is presented in conformity with 17 C.F.R. §240.17a-5. In our opinion, the Schedule I, Computation of Net Capital Pursuant to SEC Rule 15c3-1 and Reconciliation of Net Capital Pursuant to SEC Rule 17s-5(d)(4), Schedule II, Computation for Determination of Reserve Requirements Under Rule 15c3-3 and Schedule III, Information Relating to Possession or Control Requirements Under Rule 15c3-3 are fairly stated, in all material respects, in relation to the financial statements as a whole. Other and Compay BN We have served as Equifinancial, LLC's auditor since 2011 Maitland, Florida April 26, 2026 {5}------------------------------------------------ # **STATEMENT OF FINANCIAL CONDITION FOR THE YEAR ENDED DECEMBER 31, 2025** #### **ASSETS** | Assets: | | |------------------------------------------|-------------| | Cash and cash equivalents | \$
7,032 | | Commissions receivable | 1,414 | | Total Assets | \$
8,446 | | LIABILITIES AND MEMBER'S EQUITY | | | Liabilities: | | | Accounts payable and accrued liabilities | | | | | | Member's equity: | 8,446 | | | | | | \$
8,446 | The accompanying notes are an integral part of these financial statements. {6}------------------------------------------------ # **STATEMENT OF OPERATIONS FOR THE YEAR ENDED DECEMBER 31, 2025** | Revenues: | | |--------------------------------|----------------| | Mutual Fund 12B-1 Fees | \$
21,729 | | Total revenues | 21,729 | | Expenses: | | | Commission | 13,996 | | Occupancy (Related Party) | 6,000 | | Corporate Filling Fees | 139 | | Professional fees | 5,000 | | Dining Expense | 1,079 | | Online Web Service | | | Postage | 30 | | Parking | 15 | | Travel and Entertainment | 1,381 | | Reimbursed Expenses | | | CRD | \$50 | | Regulatory fees | 12,132 | | Conference | 862 | | Software Subscription Services | 2,083 | | Bank Fees | 216 | | Total expenses | 42,983 | | Net Income (loss) | \$
(21,254) | The accompanying notes are an integral part of these financial statements. {7}------------------------------------------------ # **STATEMENT OF CHANGES IN MEMBER'S EQUITY FOR THE YEAR ENDED DECEMBER 31, 2025** | BALANCE - JANUARY 1, 2025 | \$
15,821 | |-----------------------------|--------------| | Contribution | 12,700 | | Prior Period Adjustment | 1,179 | | Net income (loss) | (21,254) | | BALANCE - DECEMBER 31, 2025 | \$
8,446 | The accompanying notes are an integral part of these financial statements {8}------------------------------------------------ # **STATEMENT OF CASH FLOWS FOR THE YEAR ENDED DECEMBER 31, 2025** | Cash flows from operating activities: | | |---------------------------------------------------|----------------| | Net income (loss) | \$
(21,254) | | Adjustments to reconcile net income (loss) to net | | | cash flows from operating activities: | | | Increase in commissions receivable | (235) | | Net cash used in operating activities | (21,489) | | Cash flows from financing activities:
s | | | Contribution | 12,700 | | Net decrease in cash and cash equivalents | - | | Cash and cash equivalents at beginning of period | 15,821 | | Cash and cash equivalents at end of period | \$
7,032 | | Supplemental Disclosure: | | | Cash use for interest | \$
- | | Cash use for taxes | \$
- | The accompanying notes are an integral part of these financial statements. {9}------------------------------------------------ # **SCHEDULE I EQUIFINANCIAL, LLC COMPUTATION OF NET CAPITAL PURSUANT TO SEC RULE 15c3-1 AND RECONCILIATION OF NET CAPITAL PURSUANT TO SEC RULE 17a-5(d)(4) AS OF DECEMBER 31, 2025** | `
Computation of basic net capital requirements:
Total member's equity qualified for net capital | \$
8,446 | |--------------------------------------------------------------------------------------------------------------------------------------------|-------------| | Non allowable | | | Net capital | \$
8,446 | | Minimum net capital requirements:
6 2/3% of total aggregate indebtedness
Minimum dollar net capital for this broker-dealer (\$5,000) | 5,000 | | Net capital in excess of required minimum | \$
3,446 | There are no material differences between the above computation of net capital and the Company's Corresponding unaduited Part IIA of Form X-17A-5 as of December 31, 2022 {10}------------------------------------------------ ### **SCHEDULE II** # **EQUIFINANCIAL, LLC COMPUTATION FOR DETERMINATION OF RESERVE REQUIREMENTS UNDER RULE 15c3-3 AS OF DECEMBER 31, 2025** **With respect to the Computation for Determination of Reserve Requirements under Rule 15c3-3. The Company Does not claim exemption under paragraph (k) of SEA Rule 5c3-3 Pertaining to certain other business activities that the company performs in reliance upon foot 74 of the SEC Release N0. 34-70073. The Company does not hold customer funds or securities.** {11}------------------------------------------------ # **SCHEDULE III** # **EQUIFINANCIAL, LLC INFORMATION RELATING TO THE POSSESSION OR CONTROL REQUIREMENTS UNDER SEC RULE 15c3-3 FOR THE YEAR ENDED DECEMBER 31, 2025** **With respect to the information relating to the possession or control requirement under Rule 15c3-3 the Company does not claim and exemption under paragraph (k)of SEA Rule Rule 15c-3-3 Pertaining to certain other Business activities that the company performs in reliance upon footnote 74 of the SEC release No. 34-70073. The company does not hold customer funds or securities.** {12}------------------------------------------------ # **EQUIFINANCIAL, LLC NOTES TO FINANCIAL STATEMENTS DECEMBER 31, 2025** # **Note 1 – Summary of Significant Accounting Policies** #### *Nature of Business* Equifinancial, LLC ("the Company") is a broker-dealer, registered with the Securities Exchange commission ("SEC"), a member of the Financial Industry Regulatory Authority ("FINRA"), and a member of the Securities Investor Protection Corporation ("SIPC"). The Company was organized in 2004. The Company's commission income is substantially derived from commissions from mutual funds and sales of annuities. As is typical in the industry, the Company engages in activities with various financial institutions and brokers. In the event these counter parties do not fulfill their obligations, the Company may be exposed to risks. # *Cash and Cash Equivalents* For purposes of reporting the statement of cash flows, the Company considers all cash accounts, which are not subject to withdrawal restrictions or penalties, and all highly liquid debt instruments purchased with an original maturity of three months or less to be cash equivalents. Cash balances in excess of FDIC and similar insurance coverage are subject to the usual banking risks associated with funds in excess of those limits. At DECEMBER 31, 2025, the Company had no uninsured cash balances. # *Estimates* The preparation of financial statements in accordance 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 revenues and expenses during the reporting period. Actual results could differ from those estimates. *Income Taxes* The Company, with the consent of its member, has elected under the Internal Revenue Code to be a Limited Liability Company for both federal and state income tax purposes. In lieu of corporation income taxes, the members of a Limited Liability Company are taxed on their proportionate share of the Company's taxable income. Therefore, no provision or liability for federal or state income taxes has been included in the financial statements. The Company has adopted the provisions of FASB Accounting Standards Codification 740-10, Accounting for Uncertainty in Income Taxes. Under ASC 740-10, the Company is required to evaluate each of its tax positions to determine if they are more likely than not to be sustained if the taxing authority examines the respective position. A tax position includes an entity's status, including its status as a passthrough entity, and the decision not to file a tax return. The Company has evaluated each of its tax positions and has determined that no provision or liability for income taxes is necessary. The shareholders and the Company are generally not subject to U.S. federal, state or local income tax examinations related to the Company's activities for tax years before 2015. {13}------------------------------------------------ # **EQUIFINANCIAL, LLC NOTES TO FINANCIAL STATEMENTS DECEMBER 31, 2025** # **Note 1 – Summary of Significant Accounting Policies (continued)** # *Fair Value of Financial Instruments* All of the Company's financial assets and liabilities are carried at market value or at amounts, which, because of their short-term nature, approximate current fair value. **Revenue Recognition.** Mutual funds fees which the company believes is the trade date when all performance obligations are satisfied. Distribution fees. The Company enters into arrangements with managed accounts or other pooled investment vehicles (funds) to distribute shares to investors. The Company may receive distribution fees paid by the fund upfront over time, upon the investors exit from the fund (that is, a contingent deferred sales charge), or as a combination thereof. The Company believes that it is performance obligation is the sale of securities to investors and as such this is fulfilled on the trade date. Any fixed amount is recognized on the trade date and variable amounts are recognized to the extent it is probable that a significant revenue reversal will not occur once the uncertainty is resolved. For variable amounts, as the uncertainty is dependent on the value of the shares and future points in time as well as the length of time the investor remains in the fund, both of which are highly susceptible to factors outside the Company's influence, the company does not believe that it can overcome this constraint until the market value of the fund and investor activities are known which are usually monthly or quarterly. Distribution fees recognized in the current period are primarily related to performance obligations that have been satisfied in prior periods. # **Note 2 – Net Capital Requirements** The Company is subject to the Securities and Exchange Commission's Uniform Net Capital Rule (Rule15c3-1), which requires the maintenance of minimum net capital at an amount equal to the greater of \$5,000 or 6 2/3% of aggregate indebtedness, and requires that the ratio of aggregate indebtedness to net capital not to exceed 15 to 1. At December 31, 2025 the Company had excess net capital of \$2,032 and a net capital ratio of 0% to 1. # **Note 3 – Related Party Transactions** The Company sub-leases office facilities from an entity owned 100% by the sole member at the rate of \$500 a month. Rent paid to the related party for the year 2025 was \$6,000 and is included in occupancy. There is nothing due to the related party at December 31, 2025. The Company has elected not to apply the recognition requirements of ASU 2016-02, leases – (Topic 842) relating to its short-term lease and instead has elected to recognize the lease payments as lease cost on a straight-line bases over the lease term. # **Note 4 – Company Conditions** The company has a loss of \$21,254 for the year ending December 31, 2025 and has received capital contribution from its stockholder for working capital. The company stockholders represented that he intends to continue making capital contributions, as needed, to ensure the company's continued operations. The stockholder has the financial wherewithal to continue contributing, as required. Management expects the company to continue as a going concern and the accompanying financial {14}------------------------------------------------ # **EQUIFINANCIAL, LLC NOTES TO FINANCIAL STATEMENTS DECEMBER 31, 2025** statements have been prepared on a going-concern basis without adjustments for realization in the event the company ceases to continue as a going concern. # **Note 5 – Segment Reporting** The Company is engaged in a single line of business as a securities broker-dealer, which is comprised of several classes of services, including mutual funds, non-publicly traded securities transactions, investment advisory, and venture capital businesses. The Company has identified its President as the chief operating decision maker ("CODM"), who uses net income to evaluate the results of the business, predominantly in the forecasting process, to manage the Company. Additionally, the CODM uses excess net capital (see Note 19), which is not a measure of profit and loss, to make operational decisions while maintaining capital adequacy, such as whether to reinvest profits or pay dividends. The Company's operations constitute a single operating segment and therefore, a single reportable segment, because the CODM manages the business activities using information of the Company as a whole. The accounting policies used to measure the profit and loss of the segment are the same as those described in the summary of significant accounting policies. # **Note 6 – Commitments and Contingencies** The Company does not have any commitments or contingencies. # **Note 7 - Subsequent Events** The Company has evaluated subsequent events through the date which the financial statements were available to be issued, and has determined that the Company had no events occurring subsequent to December 31, 2025 requiring disclosure or adjustment. {15}------------------------------------------------ ![](_page_15_Picture_0.jpeg) 100 E. Sybelia Ave. Suite 130 Maitland, FL 32751 Certified Public Accountants Email: pamía ohabeo.com Telephone 407-740-7311 Fax 407-740-6441 ### REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Member of Equifinancial, LLC We have reviewed managements, included in the accompanying Rule 15c3-3 Exemption Report pursuant to SEC Rule 17a-5, in which (1) Equifinancial, LLC (the Company) did not claim an exemption under paragraph (k) of 17 C.F.R. §240.15c3-3, and (2) the Company is filing this Exemption Report relying on Footnote 74 of the SEC Release No. 34-70073 adopting amendments to 17 C.F.R. § 240.17a-5 because the Company limits its business activities exclusively to mutual funds, private placement and exempt non publicly traded transactions. In addition, the Company did not directly or indirectly receive, hold, or otherwise owe funds or securities for or to customers, other than money or other consideration received and promptly transmitted in compliance with paragraph (a) or (b)(2) of Rule 15c2-4 and/or funds received and promptly transmitted for effecting transactions via subscription way basis where the funds are payable to the issuer or its agent and not to the Company, did not carry accounts of or for customers and did not carry PAB accounts (as defined in Rule 15c3-3) throughout the most recent fiscal year without exception. Equifinancial, LLC's management is responsible for compliance with the provisions contemplated by Footnote 74 of SEC Release No 34-70073 adopting amendments to 17 C.F.R. § 240.17a-5 and related SEC Staff Frequently Asked Questions and its statements. Our review was conducted in accordance with the standards of the Public Company Accounting Oversight Board (United States) and, accordingly included inquiries and other required procedures to obtain evidence about Equifinancial, LLC's compliance with the provisions of Footnote 74 of SEC Release No, 34-70073, A review is substantially less in scope than an examination, the objective of which is the expression of an opinion on management's statements. Accordingly, we do not express such an opinion, Based on our review, we are not aware of any material modifications that should be made to management's statements referred to above for them to be fairly stated, in all material respects, based upon the Company's business activities contemplated by Footnote 74 of the SEC Release No. 34-70073 adopting amendments to 17 C.F.R. § 240.17a-5, and related SEC Staff Frequently Asked Questions. Ohab and Company, PA Maitland, Florida April 26, 2026 {16}------------------------------------------------ # **Equifinancial, LLC Exemption Report** **Equifinancial, LLC** (the "Company") is a registered broker-dealer subject to Rule 17a-5 promulgated by the Securities and Exchange Commission (17 C.F.R. §240.17a-5, "Reports to be made by certain brokers and dealers"). This Exemption Report was prepared as required by 17 C.F.R. §240.17a-5(d)(1) and (4). To the best of its knowledge and belief, the Company states the following: - (1) The Company does not claim an exemption under paragraph (k) of 17 C.F.R. § 240. 15c3-3, and - (2) The Company is filing this Exemption Report relying on Footnote 74 of the SEC Release No. 34-70073 adopting amendments to 17 C.F.R. § 240.17a-5 because the Company limits its business activities to mutual funds, private placement and exempt non publicly traded transactions, and the Company (1) did not directly or indirectly receive, hold, or otherwise owe funds or securities for or to customers, (other than money or other consideration received and promptly transmitted in compliance with paragraph (a) or (b)(2) of Rule 15c2-4 and/or funds received and promptly transmitted for effecting transactions via subscriptions on a subscription way basis where the funds are payable to the issuer or its agent and not to the Company); (2) did not carry accounts of or for customers; and (3) did not carry PAB accounts (as defined in Rule 15c3-3) throughout the most recent fiscal year without exception. Equifinancial, LLC [Name of Company] I, David L. Wilson , swear (or affirm) that, to my best knowledge and belief, this Exemption Report is true and correct. \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ **By: [Signature line]** Title: Managing Member **Date 4/29/2026** Source: SEC EDGAR via Adviser Search (https://search.stillhousedata.com). Agents: see https://search.stillhousedata.com/llms.txt.