Full text of SUMO CAPITAL, LLC's X-17A-5 filed 2024-04-01 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, O.C. 20549 | | | OM8 Number: 3235-0123<br>Expires: Oct. 31, 2023<br>Estimated average burden<br>12<br>hours per response: | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|------------|----------------------------------------------------------------------------------------------------------| | | ANNUAL REPORTS | | SEC FILE NUMBER | | | FORM X-17A-5 | | 8-67809 | | | PART Ill | | | | Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | | FILING FOR THE PERIOD BEGINNING | 01/01/23 | AND ENDING | 12/31/23<br>MM/DD/YY | | | MM/0D/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | Sumo Capital, LLC<br>NAME OF FIRM: | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>0 Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | D Security-based swap dealer | | D Major security-based swap participant | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 440 S. LaSalle Street #1525 | | | | | | (No. and Street) | | | | Chicago | IL | | 60605 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | WIiiiam D'Anna | (773) 383-9230 | | bdanna@sumocap.com | | (Name) | (Area Code - Telephone Number) | | ---<br>(Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Michael Coglianese CPA, P.C. | | | | | | (Name - if individual, state last, first, and middle name) | | | | 125 E Lake St., Unit 303 | Bloomingdale | IL | 60108 | | (Address) | (City) | (State) | (Zip Code) | | 10/20/2009 | | 3874 | | | (Date of Registration with PCAOB)(if applicable)<br>I | FOR OFFICIAL USE ONLY | | {PCAOB Registration Number, if applicable) | | • Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public<br>accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17<br>CFR 240.17a-5(e)(l){ii), if applicable. | | | | - -…Read the full text as markdown