Full text of DWM FINANCE LLC's X-17A-5 filed 2026-02-05 (period 2025-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 # ANNUAL REPORTS FORM X-17A-5 PART III | SEC FILE NUMBER | |-----------------| | FACING PAGE<br>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<br>AND FNDING<br>MM/DD/YY | | | 12/31/2025 | | | | | | | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | DWM FINANCE LLC<br>NAME OF FIRM. | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br> Broker-dealer Security-based swap dealer Major security-based swap participant<br>Check here if respondent is also an OTC derivatives dealer | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | 100 FIRST STAMFORD PLACE 4TH FLOOR SUITE 450 | | | | | | | | | (No. and Street) | | | | | | | STAMFORD | CT | | | 06902 | | | | (City) | (State) | | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | Vrinda Arora | (212)-668-8700<br>varora@acisecure.com | | | | | | | (Name) | (Email Address)<br>(Area Code - Telephone Number) | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing * | | | | | | | | Jerome Davies, CPA, P.C. | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | | 3605 SANDY PLAINS RD. SUITE 240-480 MARIETTA | | | GA | 30066 | | | | (Address) | (City) | | (State) | (Zip Code) | | | | 04/25/2017 | | 6363 | | | | | | (Date of Registration with PCAOB)(if applicable)<br>(PCAOB Registration Number, if applicable)<br>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 ar…Read the full text as markdown