# INVESTX MARKETS LLC X-17A-5 (2026-04-02) — Broker-dealer annual report - Company: INVESTX MARKETS LLC - Form: X-17A-5 - Filed: 2026-04-02 - Period: 2024-12-31 - Accession: 0001443348-26-000005 - 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 - Email: dan.sanders@investx.com - Website: investx.com - Signed by: Daniel T. Sanders (CEO) Original filing: https://www.sec.gov/Archives/edgar/data/1443348/000144334826000005/InvestXMarketsLLC2024Audit.pdf --- {0}------------------------------------------------ InvestX Markets LLC Report Pursuant to Rule 17a-5 (d) Financial Statements For the Year Ended December 31, 202 {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | ANNUAL REPORTS | |----------------| | FORM X-17A-5 | | PART III | | OMB APPROVAL | | |---------------------------|--| | OMB Number: 3235-0123 | | | Expires: Nov. 30, 2026 | | | Estimated average burden | | | hours per response:
12 | | | SEC FILE NUMBER | |-----------------| | 8-67996 | MM/DD/YY 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 01/01/24 MM/DD/YY AND ENDING 12/31/24 A. REGISTRANT IDENTIFICATION ## NAME OF FIRM: INVESTX MARKETS 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.) ### 19 FULTON STREET SUITE 300 | | (No. and Street) | | |----------|------------------|------------| | NEW YORK | NY | 10038 | | (City) | (State) | (Zip Code) | PERSON TO CONTACT WITH REGARD TO THIS FILING | 212-390-9270 | | |--------------|--| | | | (Name) (Area Code - Telephone Number) (Email Address) dan.sanders@investx.com ### B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* ### DCPA | 2121 Avenue of the Stars #800 Century City | | | California 90067 | |--------------------------------------------------|-----------------------|--------------------------------------------|------------------| | (Address) | (City) | (State) | (Zip Code) | | 9/15/2020 | | 6567 | | | (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 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. {2}------------------------------------------------ ### OATH OR AFFIRMATION I, Daniel T. Sanders swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of INVESTX MARKETS LLC 12/31 2024\_\_ is true and correct. I further swear (or affirm) that neither the company nor any partner, officer, director, or equivalent person, as the case may be, has any proprietary interest in any account clasified solly as that of a customer. > JACQUELYN M. BURROWS NOTARY PUBLIC OF NEW JERSEY COMM. NO. 50112604 My Commission Expires Sept. 13, 2029 otary Publi ### 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. - [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. - [1) 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. - | | | 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 of financial condition. - | | Independent public accountant's report based on an examination of the 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 240.17a-12, as applicable. - [ (v) Report describing any material inadequacies 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: SIPC Report \*\* To request confidential treatment of certain portions of this filing, see 17 CFR 240.170-5(e)(2), as applicable. {3}------------------------------------------------ DCPA ## 2121 AVE OF THE STARS #800 424-253-1212 CENTURY CITY, CA 90067 AUDIT@DCPAPRO.COM REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM 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, 2024, 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, 2024, 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. 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 ### Basis for Opinion 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. The information contained in Schedules I and II ) has been subjected to audit Information is the responsibility of the Company management. Our audit procedures included determining ### Supplemental Information procedures performed in conjunction with the audit of the 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. January 30, 2025 DCPA We have served as the Company's auditor since 2022. Century City, California {4}------------------------------------------------ ### INVESTX MARKETS LLC STATEMENT OF FINANCIAL CONDITION DECEMBER 31, 2024 ### ASSETS | 424,127 | |---------------| | 51,344 | | 15,600 | | 19,206 | | \$
510,277 | | | | \$
193,412 | | 19,491 | | 212,903 | | 297,374 | | \$
510,277 | | \$ | {5}------------------------------------------------ ### INVESTX MARKETS LLC STATEMENT OF OPERATIONS FOR THE YEAR ENDED DECEMBER 31, 2024 | \$ 1,744,494 | |----------------| | 1,744,494 | | | | 2,334,040 | | 303,366 | | 68,273 | | 52,973 | | 95,350 | | 2,854,002 | | \$ (1,109,508) | | | The accompanying notes are an integral part of these financial statements. {6}------------------------------------------------ ### INVESTX MARKETS LLC STATEMENT OF CHANGES IN MEMBER'S EQUITY FOR THE YEAR ENDED DECEMBER 31, 2024 | INVESTX MARKETS LLC
STATEMENT OF CHANGES IN MEMBER'S EQUITY | | |----------------------------------------------------------------|---------------| | FOR THE YEAR ENDED DECEMBER 31, 2024 | | | | | | | | | | | | | Member's | | | Equity | | Balance at December 31, 2023 | \$
345,095 | | Net Loss | (1,109,508) | | Member Contributions | 1,061,787 | The accompanying notes are an integral part of these financial statements. {7}------------------------------------------------ ### INVESTX MARKETS LLC STATEMENT OF CASH FLOWS FOR THE YEAR ENDED DECEMBER 31, 2024 | Cash flows from operating activities: | | | | | | |-----------------------------------------------|-------------------|--|--|--|--| | Net Loss | \$
(1,109,508) | | | | | | Adjustments to reconcile net loss to net cash | | | | | | | flows used in operating activites: | | | | | | | Amortization of Right of use asset | 55,589 | | | | | | Changes in operating assets and liabilities | | | | | | | Increase in prepaid expenses | (7,317) | | | | | | Increase in accounts payable and accruals | 133,865 | | | | | | Decrease in due to Member | (1,825) | | | | | | Repayments of lease liability | (55,874) | | | | | | Net cash used in operating activities | (985,070) | | | | | | | | | | | | | Cash flows from investing activities: | - | | | | | | Cash flows from financing activities: | - | | | | | | Member contributions | 1,061,787 | | | | | | Net cash provided by financing activities | 1,061,787 | | | | | | Net increase in cash | 76,717 | | | | | | | | | | | | | Cash December 31, 2023 | 347,410 | | | | | | Cash December 31, 2024 | \$
424,127 | | | | | | | | | | | | | Supplemental Disclosure of Cash Flow Information: | | | |---------------------------------------------------|-------------|--| | Interest | \$
2,267 | | | Income Taxes | \$
- | | ### Supplemental Disclosure of Non-Cash Transactions: During the year, the Member contributed \$161,786 in the form of forgiveness of intercompany payables. The accompanying notes are an integral part of these financial statements. {8}------------------------------------------------ ### 1. ORGANIZATION AND NATURE OF BUSINESS: ### Business InvestX Markets, LLC , 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 The Company is a Member of the Financial Industry 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, 2025. ### 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 Comp 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, 2024, 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 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. {9}------------------------------------------------ ### 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 2021. It is difficult to predict the final timing and 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, t 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 ### 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, 2024, the Company had no balance due to the Member. During the year ended December 31, 2024, the Member contributed \$161,786 in the form of forgiveness of intercompany payables. {10}------------------------------------------------ ### 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. non-cancelable lease is set to expire on April 25, 2025 Other information as of December 31, 2024: The discount rate used for the lease present value calculation represents the rate of interest it would have to pay on a collateralized basis to borrow an amount equal to was not readily determinable. The components of lease cost for the year ended December 31, 2024 are as follows: | Operating lease cost | \$
68,272 | |------------------------|--------------| | Short term lease costs | 0 | | Total lease cost | \$
68,272 | Amounts reported in the Statement of Financial Condition as of December 31, 2024 are as follows: | Operating leases: | | | |--------------------|--------------|--| | Right of use asset | \$
19,206 | | | Lease liability | \$
19,491 | | Maturities of lease liability under the non-cancelable operating lease as of December 31, 2024 are: | 2025 | \$
19,570 | |-----------------------------------|--------------| | Total undiscounted lease payments | \$
19,570 | | Less imputed interest | (79) | | Total lease liability | \$
19491 | ### 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, 2024 the Company had net capital of \$230,430, which was \$217,517 in excess of its required net capital of \$12,913. The Company's ratio of aggregate indebtedness to net capital was .84 to 1. {11}------------------------------------------------ ### 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, 2024. ### 8. RECENTLY ISSUED ACCOUNTING PRONOUNCEMENTS The Financial Accounting Standards Board (the 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 For the year ending December 31, 2024, 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. {12}------------------------------------------------ ### INVESTX MARKETS LLC SCHEDULE I - COMPUTATION OF NET CAPITAL FOR BROKERS AS OF DECEMBER 31, 2024 AND DEALERS UNDER SEC RULE 15c3-1 | Total member's equity | \$
297,374 | | |------------------------------------------------------------------------------------------------------|---------------|--| | Non-allowable assets, deductions and charges: | | | | Security deposits | 15,600 | | | Prepaid expenses | 51,344 | | | Total Non-allowable assets | 66,944 | | | Net capital | \$
230,430 | | | Computation of basic net capital requirements | | | | Minimum dollar net capital requirement
(The greater of \$5,000 or 6 2/3% of aggregate indebtness) | 12,913 | | | Excess net capital | \$
217,517 | | | Computation of aggregate indebtedness | | | | Total aggregate indebtedness in the statement
of financial condition | \$
193,697 | | | Ratio of aggregate indebtedness to net capital | .84 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, 2024. {13}------------------------------------------------ ### 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, 2024 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. {14}------------------------------------------------ InvestX Markets LLC Report on Exemption Provisions Pursuant to 17 C.F.R. § 15c3-3(k) For the Year Ended December 31, 202 {15}------------------------------------------------ DCPA # CENTURY CITY, CA 90067 AUDIT@DCPAPRO.COM REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM 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 of the SEC Release No. 34-70073 adopting amendments to 17 C.F.R. § 240.17a- -Covered ended December 31, 2024. InvestX Markets LLC 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 Century City, California January 30, 2025 {16}------------------------------------------------ ### InvestX Markets LLC Exemption Report For the Year Ended December 31, 2024 InvestX Markets LLC ("the Company"), is a registered broker-dealer subject to Rule 17a -5 promulgated by the Securities and Exchange Commission (17 C.F.R. Section 240.17a -5, "Reports to be made by certain brokers and dealers"). This Exemption Report was prepared as required by 17 C.F.R. Section 240.17a-5(d)(1) and (4). To the best of its knowledge and belief, the Company states the following: - 1) 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. § 240.17a-5 because the Company limits its business activities exclusively 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 . 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) throughout the most recent fiscal year without exception. ### InvestX Markets LLC I, Daniel T. Sanders, swear (or affirm) that, to my best knowledge and belief, this Exemption Report is true and correct. By: Title: {17}------------------------------------------------ InvestX Markets LLC Report on the SIPC Annual Assessment Pursuant to Rule 17a-5(e)4 For the Year Ended December 31, 2024 {18}------------------------------------------------ DCPA ## 2121 AVE OF THE STARS #800 424-253-1212 CENTURY CITY, CA 90067 AUDIT@DCPAPRO.COM REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM ON APPLYING AGREED-UPON PROCEDURES 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 SIPC-7) for the year ended December 31, 2024. InvestX Markets LLC 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 2) Compared the Total Revenue amount reported on the Annual Audited Report Form X-17A-5 Part III for the year ended December 31, 2024 with the Total Revenue amount reported in Form SIPC-7 for 3) Compared any adjustments reported in Form SIPC-7 with supporting schedules and working papers, 4) Recalculated the arithmetical accuracy of the calculations reflected in Form SIPC-7 and in the related 5) Compared the amount of any overpayment applied to the current assessment with the Form SIPC-7 on - entries, noting no differences; - the year ended December 31, 2024, noting no differences; - noting no differences; - schedules and working papers supporting the adjustments, noting no differences; and - 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 applicable instructions of the Form SIPC-7 for the year ended December 31, 2024. 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 Century City, California intended to be and should not be used by anyone other than these specified parties. January 30, 2025 {19}------------------------------------------------ ### InvestX Markets LLC Schedule of Securities Investor Protection Corporation Assessments and Payments For the Year Ended December 31, 2024 | InvestX Markets LLC
Schedule of Securities Investor Protection Corporation
Assessments and Payments
For the Year Ended December 31, 2024 | | | | |---------------------------------------------------------------------------------------------------------------------------------------------------|----|---------|--| | | | Amount | | | Total assessment | \$ | 1,730 | | | SIPC-6 general assessment
Payment made on July 19, 2024 | | (1,180) | | | SIPC-7 general assessment
Payment made on January 22, 2025 | | (550) | | | Total assessment balance
(overpayment carried forward) | \$ | - | | Source: SEC EDGAR via Adviser Search (https://search.stillhousedata.com). Agents: see https://search.stillhousedata.com/llms.txt.