Full text of HRC FUND ASSOCIATES, LLC's X-17A-5 filed 2023-02-22 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | UNITED STATES | | | | | | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------|---------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------|-----------------|--------------------------------------------|--| | SECURITIES AND EXCHANGE COMMISSION | | | | OMB APPROVAL | | | | Washington, D.C. 20549 | | | OMB Number: 3235-0123<br>Expires: Oct. 31, 2023<br>Estimated average burden<br>hours per response: 12 | | | | | | ANNUAL REPORTS | | | | | | | FORM X-17A-5 | | | | SEC FILE NUMBER | | | | PART III | | | | 8-67496 | | | | | | FACING PAGE | | | | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | | | REPORT FOR THE PERIOD BEGINNING | 01/01/2022<br>MM/DD/YY | AND ENDING | 12/31/2022<br>MM/DD/YY | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: HRC FUND ASSOCIATES LLC | | | | | | | | TYPE OF<br>REGISTRANT (check all applicable boxes):<br>☒Broker-dealer<br>☐Security-based swap<br>dealer<br>☐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 P.O. Box No.) | | | | | | | | | | 20th Floor<br>100 Wall Street – | | | | | | | | (No. and Street) | | | | | | New York | | NY | | 10005 | | | | (City)<br>PERSON TO CONTACT WITH REGARD TO THIS FILING | | (State) | | | (Zip Code) | | | Scott Daniels | 212-751-4422 | | sdaniels@dfppartners.com | | | | | (Name) | (Area Code – Telephone Number) | | | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | | | WithumSmith&Brown, PC<br>(Name – if individual, state last, first, middle name) | | | | | | 506 Carnegie Center –<br>Suite 400 | Princeton | | NJ | | 08540 | | | (Address) | (City) | | (State) | | (Zip Code) | | | 10/08/2003 | | | | | 100 | | | (Date of Registration with PCAOB)(if applicable) | | | | | (PCAOB Registration Number, if applicable) | | | | | | | | | | \* Claims for exemption from the requirement that the annual reports be covered by the repor…Read the full text as markdown