Full text of COMPASS POINT RESEARCH & TRADING, LLC's X-17A-5 filed 2026-06-23 (period 2025-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | UBLIC | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | | | OMB APPROVAL<br>OMB Number: 3235-0123<br>Expires: Nov. 30, 2026<br>Estimated average burden<br>hours per response: 12 | | | |----------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------|-----------------------------|--|-----------------------------------------------------------------------------------------------------------------------|--|--| | | | ANNUAL REPORTS | | | SEC FILE NUMBER | | | | | | FORM X-17A-5 | | | 8-65866 | | | | | | PART III | | | | | | | | | FACING PAGE<br>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: Compass Point Research & Trading, LLC | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>Check here if respondent is also an OTC derivatives dealer | | Broker-dealer Security-based swap dealer Major security-based swap participant | | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | | 1055 Thomas Jefferson Street NW, Suite 303 | | | | | | | | | (No. and Street) | | | | | | | Washington | | DC | | | 20007 | | | | (City) | | (State) | (Zip Code) | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | Christopher Nealon 202-540-7315 | | | cnealon@compasspointllc.com | | | | | | (Name) | | (Area Code - Telephone Number) | (Email Address) | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | CBIZ CPAs P.C. | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | 53 State Street, 17th Floor Boston | | | MA | | 02109 | | | | | | | (State) | | (Zip Code) | | | | (Address) | | (City) | | | | | | | 10/22/2003 | | | 199 | | | | | | (Date of Registration with PCAOB)(if applicable) | | FOR OFFICIAL USE ONLY | | | (PCAOB Registration Number, if applicable) | | | D accountant must be supported by a statement…Read the full text as markdown