# INVESTX MARKETS LLC X-17A-5 (2026-02-10) — Broker-dealer annual report

- Company: INVESTX MARKETS LLC
- Form: X-17A-5
- Filed: 2026-02-10
- Period: 2025-12-31
- Accession: 0001443348-26-000004
- CIK: 1443348
- File #: 8-67996
- Type: Broker-dealer
- Material weakness: No
- Auditor: DCPA
- Auditor location: Century City, CA
- Contact: Joseph Vigliarolo
- Phone: 805-432-0320
- Signed by: Daniel T. Sanders (CEO)

Original filing: https://www.sec.gov/Archives/edgar/data/1443348/000144334826000004/InvestXMarketsLLC2025.pdf

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**InvestX Markets LLC Report Pursuant to Rule 17a-5 (d) Financial Statements For the Year Ended December 31, 2025** 

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u <sup>J</sup> A GE OMMI 10 n, D. 2054

## **A UA REPORT FORM X-17A-5 PA T** II

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FACING PAGE

Information Requ·red Pursuan to Rules 17a-S, 17a-12, and 18a-7 under the Securitie Exchange Act o 1934

FILING FOR TH PERIOD B INNING Q 1 /Q 1 /25 ND ENDING 12/31125 MM/ DD/YY /DD/

**A. REGISTRANT DE TIFICATION** 

AME OF FIRM· I VESTX MARKETS LC

TYP OF R GISTRANT (check al l applicable boxes)·

■ Broker-dealer C Se urity-based swap dealer D Majors curity-bas d swap part1c1pant

C e her if espondent s also an OTC e 1va 1ves de ler

ADDRESS OF PRINCIPA PLACE OF BUSIN SS: (Do not use a P.O. box no.)

# 19 FUL TO S REET SUITE 300

|                                            | ( o. a d S ree )                                                       |                         |
|--------------------------------------------|------------------------------------------------------------------------|-------------------------|
| EWYORK                                     | NY                                                                     | 10038                   |
| (City)                                     |                                                                        | ( ip Cod )              |
| P RSON TO CONTACT WITH REGARD              | O THI<br>ILING                                                         |                         |
| Sanders<br>Daniel                          | 212-390-9270                                                           | da .sande s@1 vestx.com |
| (Nam )                                     | (Are Code - T lephone Nu ,be )                                         |                         |
|                                            | B. ACCOUNTANT IDENTIFICATIO                                            |                         |
| DCPA                                       | INDEPENDENT PUBLIC ACCOUNTANT who e report a e ontained 1n this fili g |                         |
|                                            | (Nan e - if ind1v1du I t t I t, f,<br>, and<br>1ddl                    | )                       |
| 2121 Avenue of the Stars #800 Century City |                                                                        | California 90067        |

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#### **REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM**

DCPA

To Those Charged with Governance and the Member of InvestX Markets LLC:

#### **Opinion on the Financial Statements**

We have audited the accompanying statement of financial condition of InvestX Markets LLC (the "Company") as of December 31, 2025, the related statements of operations, changes in member's equity, and cash flows for the year then ended, and the related notes (collectively referred to as the "financial statements"). In our opinion, the financial statements present fairly, in all material respects, the financial position of the Company as of December 31, 2025, and the results of its operations and its cash flows for the year then ended, in conformity with accounting principles generally accepted in the United States.

#### **Basis for Opinion**

These financial statements are the responsibility of the Company's management. Our responsibility is to express an opinion on the Company's financial statements based on our audit. We are a public accounting firm registered with the Public Company Accounting Oversight Board (United States) ("PCAOB") and are required to be independent with respect to the Company in accordance with the U.S. federal securities laws and the applicable rules and regulations of the Securities and Exchange Commission and the PCAOB.

We conducted our audit in accordance with the standards of the PCAOB. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement, whether due to error or fraud. Our audit included performing procedures to assess the risks of material misstatement of the financial statements, whether due to error or fraud, and performing procedures that respond to those risks. Such procedures included examining, on a test basis, evidence regarding the amounts and disclosures in the financial statements. Our audit also included evaluating the accounting principles used and significant estimates made by management, as well as evaluating the overall presentation of the financial statements. We believe that our audit provides a reasonable basis for our opinion.

#### **Supplemental Information**

The information contained in Schedules I and II ("Supplemental Information") has been subjected to audit procedures performed in conjunction with the audit of the Company's financial statements. The Supplemental Information is the responsibility of the Company's management. Our audit procedures included determining whether the Supplemental Information reconciles to the financial statements or the underlying accounting and other records, as applicable, and performing procedures to test the completeness and accuracy of the information presented in the Supplemental Information. In forming our opinion on the Supplemental Information, we evaluated whether the Supplemental Information, including its form and content is presented in conformity with 17 C.F.R. § 240.17a-5. In our opinion, Schedules I and II are fairly stated, in all material respects, in relation to the financial statements taken as a whole.

 **DCPA**

DCPA We have served as the Company's auditor since 2022. Century City, California January 30, 2026

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### **INVESTX MARKETS LLC STATEMENT OF FINANCIAL CONDITION DECEMBER 31, 2025**

#### **ASSETS**

| Cash                                  | \$<br>501,795 |
|---------------------------------------|---------------|
| Prepaid expenses                      | 54,442        |
| Security deposits                     | 15,600        |
| Right of use asset                    | 84,133        |
| TOTAL ASSETS                          | \$<br>655,970 |
| LIABILITIES AND MEMBER'S EQUITY       |               |
| Accounts payable and accruals         | \$<br>275,957 |
| Lease liability                       | 84,662        |
| Related party payable                 | 41,173        |
| TOTAL LIABILITIES                     | 401,792       |
| Member's equity                       | 254,178       |
| TOTAL LIABILITIES AND MEMBER'S EQUITY | \$<br>655,970 |

The accompanying notes are an integral part of these financial statements.

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#### **INVESTX MARKETS LLC STATEMENT OF OPERATIONS FOR THE YEAR ENDED DECEMBER 31, 2025**

| Revenues                      |                |
|-------------------------------|----------------|
| Finder fees                   | \$ 1,541,158   |
| Private placements            | 3,087,486      |
| Total Revenues                | 4,628,644      |
| Expenses                      |                |
| Salaries and benefits         | 2,352,789      |
| Commissions to Broker Dealers | 3,191,732      |
| Professional fees             | 158,011        |
| Office space (Rent)           | 79,160         |
| Regulatory fees               | 58,151         |
| Other operating expenses      | 122,597        |
| Total Expenses                | 5,962,440      |
| Net Loss                      | \$ (1,333,796) |
|                               |                |

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#### **INVESTX MARKETS LLC STATEMENT OF CHANGES IN MEMBER'S EQUITY FOR THE YEAR ENDED DECEMBER 31, 2025**

|                              | Member's      |
|------------------------------|---------------|
|                              | Equity        |
| Balance at December 31, 2024 | \$<br>297,374 |
| Net Loss                     | (1,333,796)   |
| Member Contributions         | 1,290,600     |
| Balance at December 31, 2025 | \$<br>254,178 |

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### **INVESTX MARKETS LLC STATEMENT OF CASH FLOWS FOR THE YEAR ENDED DECEMBER 31, 2025**

| Cash flows from operating activities:         |                   |
|-----------------------------------------------|-------------------|
| Net Loss                                      | \$<br>(1,333,796) |
| Adjustments to reconcile net loss to net cash |                   |
| flows used in operating activites:            |                   |
| Amortization of Right of use asset            | 52,103            |
| Changes in operating assets and liabilities   |                   |
| Increase in prepaid expenses                  | (3,098)           |
| Increase in accounts payable and accruals     | 82,545            |
| Incease in related party payable              | 41,173            |
| Repayments of lease liability                 | (51,859)          |
| Net cash used in operating activities         | (1,212,932)       |
| Cash flows from investing activities:         | -                 |
| Cash flows from financing activities:         | -                 |
| Member contributions - Cash and non cash      | 1,290,600         |
| Net cash provided by financing activities     | 1,290,600         |
| Net increase in cash                          | 77,668            |
| Cash December 31, 2024                        | 424,127           |
| Cash December 31, 2025                        | \$<br>501,795     |

#### **Supplemental Disclosure of Cash Flow Information:**

 Interest Income Taxes \$ -

The accompanying notes are an integral part of these financial statements.

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#### **1. ORGANIZATION AND NATURE OF BUSINESS:**

#### **Business**

InvestX Markets, LLC (the "Company"), formerly known as Auctus Securities, LLC, a registered brokerdealer pursuant to section 15 of the Securities Exchange Act of 1934. The Company was organized on October 17, 2007, in the State of Virginia and is authorized to engage in transactions in private placements of debt and equity securities and as advisor for mergers and acquisitions. The Company is a wholly owned subsidiary of InvestX Capital Ltd. ("Member") The Company is a Member of the Financial Industry Regulatory Authority ("FINRA") and the Securities Investor Protection Corporation ("SIPC").

To date and in the foreseeable future, the Company will be dependent on its Member for capital infusions and administrative support. Although not obligated to do so, the Member intends to provide capital infusions sufficient to satisfy the net capital requirements, as described in Note 4, for the year ending December 31, 2026.

#### **2. SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES**

#### **Basis of Presentation**

The financial statements have been prepared in conformity with accounting principles generally accepted in the United States of America ("GAAP").

#### **Revenue Recognition**

Revenue is recognized on the closing date of the underlying transaction when evidence of an agreement exists, the price is fixed or determinable, collectability is reasonably assured, and the Company's performance obligations have been completed in accordance with the terms of its client agreement. Transaction-related costs are recorded as expenses in the same reporting period as the associated revenue. Transaction-related costs are expensed in the event that the client engagements are terminated. As of December 31, 2025, the Company does not have any open contract balances.

#### **Income Taxes**

No federal or state income taxes have been provided for in the accompanying financial statements, as the operations reflected therein will be included in the Member's income tax returns, and the Member is responsible for paying any tax due. While not required to do so, the Company intends to make periodic distributions to its Member for federal and income taxes that pass through to the Member.

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#### **2. SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES (CONTINUED) Income Taxes (continued)**

Financial Accounting Standards Board (FASB) *Accounting Standards Codification* (ASC) 740, *Income Taxes*, is the authoritative pronouncement on accounting for and reporting income tax liabilities and expense. FASB ASC 740 prescribes a more-likely-than-not recognition threshold and measurement attribute for the financial statement recognition and measurement of a tax position take or expected to be taken. In addition, FASB ASC 740 provides guidance on derecognition, classification and disclosure.

The Member files income tax returns in the U.S. federal jurisdiction, and various other state jurisdictions. With few exceptions, the Member is no longer subject to U.S. federal, or state and local income tax examinations by tax authorities for years before 2022. It is difficult to predict the final timing and resolution of any particular uncertain tax position. Based on the Company's assessment of many factors, including past experience and complex judgments about future events, the Company does not currently anticipate significant changes in its uncertain tax positions over the next 12 months.

#### **Estimates**

The preparation of financial statements in conformity with GAAP requires management to make estimates and assumptions that affect the reported amounts of assets and liabilities and disclosure of contingent assets and liabilities at the date of the financial statements and the reported amounts of revenues and expenses during the reporting period. Actual results could differ from these estimates.

#### **3. CONCENTRATIONS OF CREDIT RISK**

Financial instruments that potentially expose the Company to concentrations of credit risk consist principally of cash and client receivables. The Company principally uses a bank to maintain its operating cash account. At certain times, the Company's balance in its bank account may be in excess of the Federal Deposit Insurance Corporation insurance limits. The Company performs credit evaluations of its customers and does not require collateral. The Company provides an allowance for doubtful accounts based upon management's review of outstanding balances and its bad debt expense has historically been within management's expectation.

#### **4. RELATED PARTY TRANSACTIONS**

It is possible that the terms of certain related party transactions are not the same as those that would result for transactions among wholly unrelated parties. As of December 31, 2025, the Company had a balance due to the Member of \$41,173 which consists of payments for the 2026 CRD renewal of \$40,646 and miscellaneous expenses of \$527 made on behalf of the Company. During the year ended December 31, 2025, the Member contributed \$140,600 in the form of forgiveness of intercompany payables.

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#### **5. LEASES**

The Company is a lessee in a non-cancelable operating lease for office space subject to ASC 842, Leases. The lease agreement does not include a termination or renewal option for either party, or restrictive financial or other covenants. The Company's entered into a new non-cancelable lease which is set to expire on May 31, 2027.

Other information as of December 31, 2025: The discount rate used for the lease present value calculation is its incremental borrowing rate ("IBR") of 5% at the lease's commencement date. The Company's IBR represents the rate of interest it would have to pay on a collateralized basis to borrow an amount equal to the lease payments under similar terms and in a similar economic environment. The lease's implicit rate was not readily determinable.

The components of lease cost for the year ended December 31, 2025 are as follows:

| Operating lease cost   | \$<br>79,160 |
|------------------------|--------------|
| Short term lease costs | 0            |
| Total lease cost       | \$<br>79,160 |

Amounts reported in the Statement of Financial Condition as of December 31, 2025 are as follows:

| Operating leases:  |              |
|--------------------|--------------|
| Right of use asset | \$<br>84,133 |
| Lease liability    | \$<br>84,662 |

Maturities of lease liability under the non-cancelable operating lease as of December 31, 2025 are:

| 2026                              | \$<br>61,530 |
|-----------------------------------|--------------|
| 2027                              | 25,952       |
| Total undiscounted lease payments | \$<br>87,482 |
| Less imputed interest             | (2,820)      |
| Total lease liability             | \$<br>84,662 |

#### **6. NET CAPITAL REQUIREMENT**

The Company is subject to the SEC Uniform Net Capital Rule (Rule 15c3-1), which requires the maintenance of minimum net capital and requires that the ratio of aggregate indebtedness to net capital, both as defined, shall not exceed 15 to 1. At December 31, 2025 the Company had net capital of \$184,136, which was \$162,994 in excess of its required net capital of \$21,142. The Company's ratio of aggregate indebtedness to net capital was 1.72 to 1.

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#### **7. COMMITMENTS, GUARANTEES AND CONTINGENCIES**

Management of the Company believes that there are no commitments, guarantees or contingencies that may result in a material loss or future obligations as of December 31, 2025.

#### **8. RECENTLY ISSUED ACCOUNTING PRONOUNCEMENTS**

The Financial Accounting Standards Board (the "FASB") has established the Accounting Standards Codification ("Codification" or "ASC") as the authoritative source of generally accepted accounting principles ("GAAP") recognized by the FASB. The principles embodied in the Codification are to be applied by nongovernmental entities in the preparation of financial statements in accordance with GAAP in the United States. New accounting pronouncements are incorporated into the ASC through the issuance of Accounting Standards Updates ("ASU's").

For the year ending December 31, 2025, various ASU's issued by the FASB were either newly issued or had effective implementation dates that would require their provisions to be reflected in the financial statements for the year then ended.

The Company has either evaluated or is currently evaluating the implications, if any, of each of these pronouncements and the possible impact they may have on the Company's financial statements. In most cases, management has determined that the pronouncement has either limited or no application to the Company and, in all cases, implementation would not have a material impact on the financial statements taken as a whole.

#### **9. SUBSEQUENT EVENTS**

The Company has evaluated events subsequent to the statement of financial condition date for items requiring recording or disclosure in the financial statements. The evaluation was performed through the date the financial statements were available to be issued. Based upon the review, the Company has determined that there are no events which took place that would have a material impact on its financial statements.

#### **10. SEGMENT REPORTING**

The Company follows Accounting Standards Update 2023-07 - Segment Reporting (Topic 280): Improvements to Reportable Segment Disclosures ("ASU 2023-07"), which expands reportable segment information by requiring companies to disclose, on an annual and interim basis, significant reportable segment expenses that are regularly provided to the Chief Operating Decision Maker ("CODM") and included within each reported measure of a segment's profit or loss. ASU 2023-07 also requires disclosure of the title and position of the individual identified as the CODM and an explanation of how the CODM makes decisions about allocating resources to segments and evaluating performance.

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#### **10. SEGMENT REPORTING (Continued)**

The Company conducts its business activities and reports financial results as a single reportable brokerage services segment. The CODM title and position is the CEO who makes decisions about allocating resources and assesses performance in a manner consistent with the way the Company operates its business and presents their financial results. The nature of business and accounting policies of the brokerage services segment are the same as described in the description of business and summary of significant accounting policies notes.

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#### **INVESTX MARKETS LLC SCHEDULE I - COMPUTATION OF NET CAPITAL FOR BROKERS AS OF DECEMBER 31, 2025 AND DEALERS UNDER SEC RULE 15c3-1**

| Total member's equity                                                                                | \$<br>254,178 |
|------------------------------------------------------------------------------------------------------|---------------|
| Non-allowable assets, deductions and charges:                                                        |               |
| Security deposits                                                                                    | 15,600        |
| Prepaid expenses                                                                                     | 54,442        |
| Total Non-allowable assets                                                                           | 70,042        |
| Net capital                                                                                          | \$<br>184,136 |
| Computation of basic net capital requirements                                                        |               |
| Minimum dollar net capital requirement<br>(The greater of \$5,000 or 6 2/3% of aggregate indebtness) | \$<br>21,142  |
| Excess net capital                                                                                   | \$<br>162,994 |
| Computation of aggregate indebtedness                                                                |               |
| Total aggregate indebtedness in the statement<br>of financial condition                              | \$<br>317,130 |
| Ratio of aggregate indebtedness to net capital                                                       | 1.72 to 1     |

There was no material difference between the net capital computation shown here and the net capital computation shown on the Company's most recently filed Form X-17A-5 Part IIA dated December 31, 2025.

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#### **INVESTX MARKETS LLC REQUIREMENTS AND INFORMATION RELATING TO POSSESSION OR CONTROL REQUIREMENTS FOR BROKERS AND DEALERS PURSUANT TO SEC RULE 15C3-3 SCHEDULE II - COMPUTATION FOR DETERMINATION OF THE RESERVE AS OF DECEMBER 31, 2025**

The Company does not claim an exemption under paragraph (k) of 17 C.F.R 240.15c3-3, and in reliance of Footnote 74 of the SEC Release No. 34-70073 adopting amendments to 17 C.F.R 250.15c3-3 because the Company limits its business activities exclusively to (1) private placements of securities, not including EB-5 and Oil & Gas (2) operating an Alternative Trading System that allows accredited investors and qualified institutional buyers, via their broker-dealer intermediaries, to buy and sell, as restricted users of the platform, privately held SPV's created by the Parent company. The Company (1) did not directly or indirectly receive, hold, or otherwise owe funds or securities for or to customers, other than money or other consideration received and promptly transmitted in compliance with paragraph (a) or (b)(2) of Rule 15c2-4; (2) did not carry accounts of or for customers; and (3) did not carry PAB accounts (as defined in Rule 15c3-3). Accordingly, there are no items to report under the requirements of this Rule.

{15}------------------------------------------------

**InvestX Markets LLC Report on Exemption Provisions Pursuant to 17 C.F.R. § 15c3-3(k) For the Year Ended December 31, 2025**

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#### **REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM**

DCPA

To Those Charged with Governance and the Member of InvestX Markets LLC:

We have reviewed management's statements, included in the accompanying Exemption Report, in which (1) InvestX Markets LLC does not claim an exemption under paragraph (k) of 17 C.F.R. § 240. 15c3-3, and (2) InvestX Markets LLC's other business activities contemplated by Footnote 74 of the SEC Release No. 34-70073 adopting amendments to 17 C.F.R. § 240.17a-5 ("Non-Covered Firm") but limited to (1) private placement of securities, not including EB-5 & oil & Gas; (2) advising for mergers and acquisitions; and (3) operating an Alternative Trading System that allows credited investors and qualified institutional buyers, via their broker-dealer intermediaries, to buy and sell, as restricted users of the platform, privately held SPVs created by the Parent company and that the Company did not identify any exceptions to this assertion throughout the year ended December 31, 2025. InvestX Markets LLC's management is responsible for compliance with the exemption provisions, and the provisions of Footnote 74, and its statements*.*

Our review was conducted in accordance with the standards of the Public Company Accounting Oversight Board (United States) and, accordingly, included inquiries and other required procedures to obtain evidence about InvestX Markets LLC's compliance with the exemption provisions. A review is substantially less in scope than an examination, the objective of which is the expression of an opinion on management's statements. Accordingly, we do not express such an opinion.

Based on our review, we are not aware of any material modifications that should be made to management's statements referred to above for them to be fairly stated, in all material respects, based on the provisions set forth in the Non-Covered Firm provision.

**DCPA**

DCPA

Century City, California January 30, 2026

{17}------------------------------------------------

#### Jm·cstX Markets LLC Exemption Report For the Y cur Ended Deccm bcr 3 i, 2025

Im eslX Market LLC (°the Company .. ), is a registered broker-dealer ubject to Rule 17a -5 promulgated by the Sccuritic5 and Exchange Commis ion (17 C.F.R. Section 240.l 7a -5. "Reports to be made by certain brokers and dealers"). fhis Exemption Report wns prepared a!> required b) 17 C.F.R. Section 240. l 7a-5(d)(l) and (4). To the best of ilS knowledge and belieC the Company states the following;

- I) The Company does not claim an exemption under paragraph (k) of 17 C.F.R. *§* 240. 15c3-3, and
- 2) The Company is filing this Exemption Report relying on Footnote 74 of the SEC Release No. 34-70073 adopting amendments to 17 C.F.R. *§* 240. I 7a-5 because the Company limits its business activities exclusively to (l} private placement of securities. not including EB-5 & oil & Gas: (2) advising for mergers and acquisitions; and (3) operating an Altcrnathe 1 rading System that allo\\' credited investors and qualified institutional buyers, via their broker-dealer intermediaries. to buy and sell, as restricted u crs of the platform. private I} held SP Vs created by the Parent company . The Company (I) did not directly or indirectly receive. hold, or otherwise owe funds or securities for or to customers, other than money or other consideration received and promptly transmitted in compliance with paragraph (a) or (b)(2) of Rule J 5c2-4; (2) did not carry accounts of or for customers: and (3) did not carry PAB accounts ( as defined in Ruic 15c3-3) throughout the most recent fiscal year ,,. ithout exception.

#### lnvestX Markets LLC

I, Daniel T. Sanders. S\\Car (or affirm) that. to my best knowledge and helicC this Exemption Report is

~~~J,,L Title: Ceo

{18}------------------------------------------------

**InvestX Markets LLC Report on the SIPC Annual Assessment Pursuant to Rule 17a-5(e)4 For the Year Ended December 31, 2025**

{19}------------------------------------------------

#### **REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM ON APPLYING AGREED-UPON PROCEDURES**

DCPA

To Those Charged with Governance and the Member of InvestX Markets LLC:

We have performed the procedures included in Rule 17a-5(e)(4) under the Securities Exchange Act of 1934 and in the Securities Investor Protection Corporation (SIPC) Series 600 Rules, which are enumerated below and were agreed to by InvestX Markets LLC and the SIPC, solely to assist you and SIPC in evaluating InvestX Markets LLC's compliance with the applicable instructions of the General Assessment Reconciliation (Form SIPC-7) for the year ended December 31, 2025. InvestX Markets LLC's management is responsible for its Form SIPC-7 and for its compliance with those requirements. This agreed-upon procedures engagement was conducted in accordance with standards established by the Public Company Accounting Oversight Board (United States) and in accordance with attestation standards established by the American Institute of Certified Public Accountants. The sufficiency of these procedures is solely the responsibility of those parties specified in this report. Consequently, we make no representation regarding the sufficiency of the procedures described below either for the purpose for which this report has been requested or for any other purpose. The procedures we performed, and our findings are as follows:

- 1) Compared the listed assessment payments in Form SIPC-7 with respective cash disbursement records entries, noting no differences;
- 2) Compared the Total Revenue amount reported on the Annual Audited Report Form X-17A-5 Part III for the year ended December 31, 2025 with the Total Revenue amount reported in Form SIPC-7 for the year ended December 31, 2025, noting no differences;
- 3) Compared any adjustments reported in Form SIPC-7 with supporting schedules and working papers, noting no differences;
- 4) Recalculated the arithmetical accuracy of the calculations reflected in Form SIPC-7 and in the related schedules and working papers supporting the adjustments, noting no differences; and
- 5) Compared the amount of any overpayment applied to the current assessment with the Form SIPC-7 on which it was originally computed, noting no differences.

We were not engaged to and did not conduct an examination or review, the objective of which would be the expression of an opinion or conclusion, respectively, on InvestX Markets LLC's compliance with the applicable instructions of the Form SIPC-7 for the year ended December 31, 2025. Accordingly, we do not express such an opinion or conclusion. Had we performed additional procedures; other matters might have come to our attention that would have been reported to you.

This report is intended solely for the information and use of InvestX Markets LLC and the SIPC and is not intended to be and should not be used by anyone other than these specified parties.

 **DCPA**

Century City, California January 30, 2026

{20}------------------------------------------------

### **InvestX Markets LLC Schedule of Securities Investor Protection Corporation Assessments and Payments For the Year Ended December 31, 2025**

| Amount      |  |
|-------------|--|
| \$<br>2,155 |  |
|             |  |
| (914)       |  |
|             |  |
| (1,241)     |  |
| \$<br>-     |  |
|             |  |


Source: SEC EDGAR via Adviser Search (https://search.stillhousedata.com). Agents: see https://search.stillhousedata.com/llms.txt.