Full text of DAK CAPITAL, LLC's X-17A-5 filed 2019-02-26 (period 2018-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED ST ATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 0MB APPROVAL **0MB Number:** 3235-0123 Expires: August 31, 2020 Estimated average burden hours **r** res nse ... 12.00 > SEC FILE NUMBER 8-67764 #### **ANNUAL AUDITED REPORT FORM X-17A-5 PARTID** #### **FACING PAGE** #### **Information Required or Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | _,,0'-"l/"""0"""l/'-'-1"""8 | | 12/31/18<br>MM/DD/YY | |-----------------------------|-----------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | OFFICIAL USE ONLY | | | | FIRM ID. NO. | | | | | | | | | | | | | | | | | | | | (Zip Code) | | | | | | | | (201) 712-9555 | | | | (Area Code -<br>Telephone No.) | | | | | | | | | | | | | | | | | | | | | | | | | | (City) | | (Zip Code) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | ___<br>MM/DD/YY<br>(No. and Street)<br>(State)<br>293 Eisenhower Parkway. Suite 209, Livingston, NJ 07039 | __<br>AND ENDING<br>A. REGISTRANT IDENTIFICATION<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.)<br>NAME AND TELEPHONE NUMBER OF PERSON TO CONT ACT IN REGARD TO THIS REPORT<br>B. ACCOUNTANT IDENTIFICATION<br>INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report*<br>(Name - if individual, state last, first, middle name)<br>(Slate)<br>Accountant not resident in United States or any of its possessions.<br>FOR OFFICIAL USE ONLY | *\*Claims for exemption from rhe requiremem rhar rhe annual reporr be covered by the opinion of an independenr public accounronr must be supporred by a sraremenr offacrs and circ,11nsrances relied on as the basis for the txemption. See section 240. Ila 5(e)(2).* SEC 1410 (06-02) {1}------------------------------------------------ #### **OATH OR AFFIRMATION** I, Alan Scharfstein, swear (or affirm) that, to the best of my knowledge and belief t…Read the full text as markdown