# OCP CAPITAL, LLC X-17A-5 (2026-04-03) — Broker-dealer annual report - Company: OCP CAPITAL, LLC - Form: X-17A-5 - Filed: 2026-04-03 - Period: 2025-12-31 - Accession: 0001390802-26-000003 - CIK: 1390802 - File #: 8-67556 - Type: Broker-dealer - Material weakness: No - Auditor: OHAB AND COMPANY, PA - Auditor location: MAITLAND, FL - Contact: George Rudman - Phone: 9176565997 - Email: grudman@ocpcap.com - Website: ocpcap.com - Signed by: George Rudman (President) Original filing: https://www.sec.gov/Archives/edgar/data/1390802/000139080226000003/Public_OCP_2025_AFS.pdf --- {0}------------------------------------------------ PUBLIC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 # ANNUAL REPORTS FORM X-17A-5 PART IIl | OMB Number: 3235-0123 | | | | | |------------------------------------------------------------------------------|--|--|--|--| | Expires: Nov. 30, 2026
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hours per response: 12 | | | | | | SEC FILE NUMBER | | | | | | 8-67556 | | | | | OMB APPROVAL 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: OCP Capital, LLC TYPE OF REGISTRANT (check all applicable boxes): Broker-dealer ☐ Security-based swap 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.) 12156 Longwood Green Dr Wellington (City) (No. and Street) FL (State) PERSON TO CONTACT WITH REGARD TO THIS FILING 33414 (Zip Code) George Rudman 917-656-5997 grudman@ocpcap.com (Name) (Area Code - Telephone Number) (Email Address) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* OHAB AND COMPANY, PA 100 E SYBELIA AVENUE, SUITE 130 MAITLAND (Address) JULY 28, 2004 (City) (Name - if individual, state last, first, and middle name) FL 32751 (State) 1839 (Zip Code) (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 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-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 | I, George Rudman
_ swear (or affirm) that, to the best of my knowledge and belief, the | | | | | | | |-------------------------------------------------------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--|--|--|--|--| | | financial report pertaining to the firm of OCP Capital, LLC
as of
2dy
207,
is true and correctI turther swear (or affrm) that neither the company
any | | | | | | | | nor
partner, officer, director, or equivalent person, as the case may be, has any proprietary interest in any account classified solely | | | | | | | | as that of a customer. | | | | | | | | | | | | | | | | | | | | | | | | ROBERTO VIOLA | | | | | | | | Notary Public, State of New York
No. 01V16189600
Title: | | | | | | | | AAL
Certified in Queens County
President | | | | | | | | Commission Expires 06/30/208 | | | | | | | Notary | Public | | | | | | | | | | | | | | | | This filing** contains (check all applicable boxes): | | | | | | | | (a) Statement of financial condition. | | | | | | | | (b) Notes to consolidated statement of financial condition. | | | | | | | | (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 partners' or sole proprietor's equity. | | | | | | | | (f) Statement of changes in liabilities subordinated 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. | | | | | | | ㅁ | (j) Computation for determination of customer reserve requirements pursuant to Exhibit A to 17 CFR 240.15c3-3. | | | | | | | | (k) 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.
(I) 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. | | | | | | | ㅁ | (o) Reconciliations, including appropriate explanations, of the FOCUS Report with computation of net capital or tangible net | | | | | | | | worth under 17 CFR 240.15c3-1, 17 CFR 240.18a-1, or 17 CFR 240.18a-2, as applicable, and the reserve requirements under 17 | | | | | | | | CFR 240.15c3-3 or 17 CFR 240.18a-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. | | | | | | | | (q) Oath or affirmation in accordance with 17 CFR 240.17a-5, 17 CFR 240.17a-12, or 17 CFR 240.18a-7, as applicable. | | | | | | | | (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. | | | | | | | | (t) Independent public accountant's report based on an examination of the statement offinancial condition. | | | | | | | | (u) 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. | | | | | | | | (v) 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.
(w) 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. | | | | | | | | (x) Supplemental reports on applying agreed-upon procedures, in accordance with 17 CFR 240.15c3-1e or 17 CFR 240.17a-12, | | | | | | | | as applicable. | | | | | | - 미 (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). - (z) Other: \*\*To request confidential treatment of certain portions of this filing, see 17 CFR 240.17a-5(e)(3) or 17 CFR 240.18a-7(d)(2), as applicable. {2}------------------------------------------------ ![](_page_2_Picture_0.jpeg) Financial Statements December 31, 2025 {3}------------------------------------------------ #### Page | Report of Independent Registered Public Accounting Firm…………………………… | | | | | |--------------------------------------------------------------------|---|--|--|--| | Financial Statements | | | | | | Statement of Financial Condition………………………………………………………… | 2 | | | | | Notes to Financial Statements…………………………………………………………… | 3 | | | | {4}------------------------------------------------ ![](_page_4_Picture_0.jpeg) Cf Ofat Compay. C {5}------------------------------------------------ #### Assets | 271,762 | |---------| | 113,894 | | 1,609 | | 14,801 | | 402,066 | | | | | | 56,166 | | 225,553 | | 281,719 | | 120,347 | | | | 402,066 | | | {6}------------------------------------------------ ## Note 1. Organization OCP Capital, LLC (the "Company") is a Delaware limited liability company based in Wellington, Florida and is a wholly owned subsidiary of Chimera Capital Partners, LLC. The Company is engaged in a single line of business which is comprised of several classes of services, including providing private placement and corporate finance advisory services to corporations and fund managers in the United States, Canada and the European Union. The Company has registered with the Securities and Exchange Commission ("SEC") as a broker-dealer and is a member of the Financial Industry Regulatory Authority ("FINRA"). The Company operates under the provisions of Footnote 74 of Rule 15c3-3 of the Securities and Exchange Commission Release No. 34-70073 and accordingly, is exempt from all remaining provisions of that rule. ## Note 2. Summary of Significant Accounting Policies #### Basis of Financial Statement Presentation The accounting policies and reporting practices of the Company conform to the predominant practices in the broker-dealer industry and are in accordance with accounting principles generally accepted in the United States of America ("GAAP"). #### Cash and Cash Equivalents The Company considers all highly liquid investments with a maturity when purchased of three months or less to be cash and cash equivalents for the purpose of the financial statements. #### Credit Losses The Company follows ASC Topic 326, Financial Instruments – Credit Losses ("ASC 326"). ASC 326 impacts impairment model for certain financial assets by requirement current expected credit loss ("CECL") methodology to estimate expected credit losses over the entire life of the financial asset. Under the accounting update, the Company has the ability to determine that there are no expected credit losses in certain circumstances (e.g., based on the credit quality of the customer). The Company had accounts receivable of \$113,994 and \$229,500 as of December 31, 2025 and 2024, respectively. Accounts receivable are written off against the allowance as they are deemed uncollectible based upon a periodic review of the account. As of December 31, 2025, no allowance for credit losses is considered necessary. #### Use of Estimates The preparation of financial statements and related disclosures in conformity with GAAP requires management to make estimates and assumptions that affect the reported amounts of liabilities, and the disclosure of contingent assets and liabilities at the date of the financial statements, and the reported amounts of income and expenses during the reporting period. Accordingly, actual results could differ from those estimates and such differences could be material. {7}------------------------------------------------ #### Note 2. Summary of Significant Accounting Policies (continued) #### Regulatory Requirements The Company's business is subject to significant regulation by various governmental agencies and selfregulatory organizations, including the SEC and FINRA. Such regulation includes, among other things, periodic examinations by these regulatory bodies to determine whether the Company is conducting and reporting its operations in accordance with the applicable requirements of these organizations. As a registered broker-dealer, the Company is subject to the SEC's net capital rule (Rule 15c3-1), which requires that the Company maintain a minimum net capital, as defined #### Revenue Recognition Significant judgement is required to determine whether performance obligations are satisfied at a point in time or over time; how to allocate transaction prices where multiple performance obligations are identified; when to recognize revenue based. On the appropriate measure of the Company's progress under the contract; and whether constraints on variable consideration should be applied due to uncertain future events. Private placement fees: The Company receives success fees for raising funds for client for which revenue is generally recognized at the point in time that the performance obligation under the arrangement is completed ("closing date of the transaction"). The Company earns placement fee revenues in nonunderwritten transactions for the private placement of securities in unregistered offerings. The revenues are recognized in accordance with the terms of their applicable contracts in the period in which the services are performed. Generally, placement fee revenues are calculated based on a percentage of the investor capital commitment or investment. Advisory fees: The Company receives advisory fees from unregistered offerings which are recognized over time as the performance obligations under the terms of the arrangement are satisfied. Management and incentive fees: The Company receives management and incentive fees from customers which were previously introduced to a fund based on a percentage applied to customer assets under management which can be paid quarterly or monthly. These fees are considered variable consideration as the uncertainty is dependent on the value of the assets for which the Company is not able to assess in order to make an estimate. Revenues are recognized once it is probable that a significant reversal will not occur. #### Income Taxes The Company files as a single member Limited Liability Company. Consequently, net income or loss, in general, is apportioned to the Parent and reported in its tax returns. Generally, the Company is subject to income tax examinations by major taxing authorities during the three-year period prior to the period covered by this financial statement. Deferred income taxes are provided for temporary differences between the financial statement and tax basis of assets and liabilities that will result in taxable or deductible amounts in the future, based on enacted tax law and rates applicable to the periods in which differences arise. No provisions have been made for deferred taxes or for such differences due to insignificance. {8}------------------------------------------------ ## Note 2. Summary of Significant Accounting Policies (continued) #### Property and Equipment Acquisitions of property and equipment are recorded at cost. Improvements and replacements are capitalized. Maintenance and repairs that do not improve or extend the lives of property and equipment are charged to expense as incurred. When assets are sold or retired, their cost and related accumulated depreciation are removed from the balance sheet accounts and any gain or loss reported in the consolidated statement of operations. Depreciation and amortization are recorded using the straight-line method over the estimated useful lives of the assets. The estimated life of furniture and equipment is 5 to 7 years. #### Note 3. Concentrations of Risk The Company maintains its cash balances at a major financial institution. The balances are insured by the Federal Deposit Insurance Corporation ("FDIC") up to \$250,000. From time to time, balances have exceeded \$250,000 in cash on deposit. No losses have been incurred related to these balances. The Company engages in various investment banking and advisory services. In the event customers do not fulfill their obligations, the Company may be exposed to small amount of risk relating to its out-of-pockets expenses. The risk of default depends on the creditworthiness of the customers. It is the Company's policy to review, as necessary, the credit standing of each customer. For the year ended December 31, 2025, two external customers accounted for 70% of total revenues and as of December 31, 2025, two external customers represented 100% of accounts receivable. #### Note 4. Furniture and Equipment Major classifications of furniture and equipment, as of December 31, 2025 are summarized as follows: | Furniture | \$
24,059 | |--------------------------------|--------------| | Total | 24,059 | | Less: accumulated depreciation | (22,450) | | Furniture and equipment, net | \$
1,609 | #### Note 5. Pension Plan The Company has a safe harbor 401(k) plan covering non-highly compensated employees. The Company makes safe harbor contributions of 3% of pay to the retirement accounts of all non-highly compensated employees, regardless of whether those employees contribute to their accounts. #### Note 7. Net Capital Requirement The Company is subject to the SEC's net capital rule ("Rule 15c3-1"), which requires that the Company maintain "net capital" equal to the greater of \$5,000 or 6-2/3% of "aggregate indebtedness," as defined, and requires that the ratio of aggregate indebtedness to net capital shall not exceed 15 to 1. At December 31, 2025, the Company's net capital was \$103,937 and the required net capital was \$18,781. At December 31, 2025, the Company's ratio of aggregate indebtedness to net capital was 2.7105 to 1. {9}------------------------------------------------ ## Note 8. Segment Reporting The Company is engaged in a single line of business which is comprised of several classes of services, including private placement and corporate finance advisory services. 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 7), 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 distributions. 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 9. Transactions with Related Party In prior years, the Company shared expenses with an affiliate whereby the affiliate provided office space. In connection with this arrangement, the Company funded a security deposit of \$5,400. The related office lease expired in November 2021. As of December 31, 2025, the \$5,400 security deposit remains recorded as an asset of the Company. The affiliate continues to work with the landlord to recover the deposit. The Company had no related party transactions during the year ended December 31, 2025. ## Note 10. Subsequent Events The Company has evaluated subsequent events for potential recognition or disclosure through March 20, 2026, the date the financial statements were available to be issued. There were no material subsequent events that require recognition or disclosures in these financial statements #### Note 11. Company Condition The Company has a loss of \$548,816 for the year ended December 31, 2025. The Company's member has agreed to provide capital contributions to the company as necessary for it to continue operations and maintain compliance with minimum net capital requirements. Management expects the Company to continue as a going concern and the accompanied financial statements have been prepared on a going concern basis without an adjustment for realization in the event the Company ceases to continue as a going concern. Source: SEC EDGAR via Adviser Search (https://search.stillhousedata.com). Agents: see https://search.stillhousedata.com/llms.txt.