Full text of SPOUTING ROCK CAPITAL ADVISORS, LLC's X-17A-5 filed 2021-06-29 (period 2021-03-31). 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** 0MB APPROVAL 0MB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours per response .... .. 12.00 > SEC FILE NUMBER **8-** 67539 ### **ANNUAL AUDITED REPORT FORM X-17 A-5 PART Ill** **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act** of **1934 and Rule 17a-5 Thereunder** | PO<br>FO<br>IO<br>G<br>G<br>R<br>E<br>R<br>T<br>R<br>T<br>H<br>E<br>P<br>ER<br>D<br>B<br>E<br>IN<br>N<br>IN<br>_ | _4<br>_1<br>2<br>_0<br>_1<br>o<br>;<br>_o<br>_<br>_<br>_<br>_<br>_ | A<br>G<br>N<br>D<br>E<br>N<br>D<br>IN<br>_<br>_ | 0<br>_3<br>_3<br>_1<br>_2<br>_1<br>_1<br>1<br>_<br>_<br>_<br>_<br>_<br>_ | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------|-----------------------------------------------------------|------------------------------------------------------------------------------| | | /D<br>D/<br>M<br>M<br>YY | | M<br>M<br>/D<br>D/<br>YY | | A<br>. R<br>E<br>G | IS<br>T<br>R<br>A<br>N<br>T<br>I<br>D<br>E<br>N<br>T<br>IF | IC<br>A<br>T<br>IO<br>N | | | S<br>in<br>R<br>ut<br>N<br>A<br>M<br>E<br>O<br>F<br>B<br>R<br>O<br>K<br>E<br>R<br>-D<br>E<br>A<br>L<br>E<br>R<br>po<br>g<br>: | k<br>C<br>ita<br>l A<br>dv<br>is<br>LL<br>oc<br>ap<br>or<br>s | C | O<br>FF<br>IC<br>IA<br>L<br>U<br>S<br>E<br>O<br>N<br>LY | | A<br>D<br>D<br>R<br>E<br>SS<br>O<br>F<br>PR<br>IN<br>C<br>IP<br>A<br>L<br>PL<br>A<br>C<br>E<br>O<br>F<br>B<br>U<br>SI | N<br>E<br>SS<br>(D<br>P<br>.O<br>. B<br>N<br>)<br>t u<br>:<br>o<br>no<br>se<br>ox<br>o. | | 1<br>.D<br>O<br>FI<br>R<br>M<br>. N | | 92<br>W<br>. L<br>A<br>S<br>ui<br>2<br>50<br>5<br>st<br>te<br>an<br>ca<br>er<br>ve<br>nu<br>e | | | | | | (N<br>d<br>St<br>et)<br>o.<br>an<br>re | | | | B<br>M<br>ry<br>n<br>a<br>r<br>w | PA | | 19<br>0<br>10 | | (C<br>ity<br>) | (S<br>e)<br>tat | | (Z<br>ip<br>C<br>od<br>e) | | N<br>A<br>M<br>E<br>A<br>N<br>D<br>T<br>E<br>L<br>E<br>PH<br>O<br>N<br>E<br>N<br>U<br>M<br>B<br>E<br>R<br>O<br>F<br>PE<br>C<br>ol<br>A<br>K<br>in<br>ar<br>nn<br>ze<br>r | R<br>SO<br>N<br>T<br>O<br>C<br>O<br>N<br>T<br>A<br>C<br>T<br>IN | R<br>E<br>G<br>A<br>R<br>D<br>T<br>O<br>T<br>H<br>IS<br>R | E<br>PO<br>R<br>T<br>67<br>8-<br>52<br>5-…Read the full text as markdown