# BUILDER ADVISOR GROUP, LLC X-17A-5 (2022-03-30) — Broker-dealer annual report - Company: BUILDER ADVISOR GROUP, LLC - Form: X-17A-5 - Filed: 2022-03-30 - Period: 2021-12-31 - Accession: 0001511838-22-000001 - CIK: 1511838 - File #: 8-68801 - Type: Broker-dealer - Material weakness: No - Auditor: Ernst Wintter & Associates - Auditor location: Walnut Creek, CA - Contact: Elizabeth Collins - Phone: 415-246-9169 - Email: tony@builderadvisorgroup.com - Website: builderadvisorgroup.com - Signed by: Anthony Avila (CEO) Original filing: https://www.sec.gov/Archives/edgar/data/1511838/000151183822000001/bag2021audit2.pdf --- {0}------------------------------------------------ Annual Audit Report December 31, 2021 {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: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-68801 FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 12/31/21 FILING FOR THE PERIOD BEGINNING MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: Builder Advisor Group, LLC TYPE OF REGISTRANT (check all applicable boxes): Broker-dealer □ Security-based swap dealer Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 770 Tamalpais Drive, Suite 401B (No. and Street) Corte Madera California 94925 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING Anthony G. Avila (415) 561-0600 tony@builderadvisorgroup.com (Name) (Area Code - Telephone Number) (Email Address) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Ernst Wintter & Associates LLP (Name - if individual, state last, first, and middle name) 675 Ygnacio Valley Road, Suite A200 Walnut Creek California 94596 (Address) (City) (State) (Zip Code) February 24, 2009 3438 (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 | Anthony G. Avila | | swear (or affirm) that, to the best of my knowledge and belief, the | | |----------------------------|-------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------|-------| | | financial report pertaining to the firm of Builder Advisor Group, LLC | | as of | | | | December 31, 2021 , 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 classified solely | | | as that of a customer.
| CARA IVY NEWMAN
Notary Public - California
San Francisco County
Commission # 2279258
My Comm. Expires Mar 1, 2023 | Signaturé:
Title: | | Notary Public ### This filing \*\* contains (check all applicable boxes): - (a) Statement of financial condition. - [ (b) Notes to consolidated statement of financial condition. - 2 (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. - (i) 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. - [ (I) Computation for Determination of PAB Requirements under Exhibit A to § 240.15c3-3. - 2 (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. - 2 (o) Reconciliations, including appropriate explanations, of the FOCUS Report with computation of net capible net worth under 17 CFR 240.15c3-1, 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. - 2 (u) 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. - □ (y) 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). - O (z) Other: - \*\* To request confidential treatment of certain portions of this filing, see 17 CFR 240.170-5(e)(3), as applicable. {3}------------------------------------------------ ### CALIFORNIA ACKNOWLEDGMENT ### CIVIL CODE § 1189 A notary public or other officer completing this certificate verifies only the individual who signed the document to which this certificate is attached, and not the truthfulness, accuracy, or validity of that document. | State of California | | | |-----------------------------|----------------------|-------------------------------------------| | County of | | | | March 23, d022 before me, ! | - m heiman - | 10 Tour | | Date | | Here Insert Name and Title of the Officer | | personally appeared | mone | | | | Nome(s) of Signer(s) | | who proved to me on the basis of satisfactory evidence to be the person(s) whose name(s) is/are subscribed to the within instrument and acknowledged to me that he/she/they executed the same in his/her/their authorized capacity(ies), and that by his/her/their signature(s) on the instrument the person(s), or the entity upon behalf of which the person(s) acted, executed the instrument. ![](_page_3_Picture_5.jpeg) I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct. Signature of Notary Public WITNESS my hand and official seal. Place Notary Seal and/or Stamp Above OPTIONAL Signature Completing this information can deter alteration of the document or fraudulent reattachment of this form to an unintended document. | Description of Attached Document | | |------------------------------------------------------------------------------------------|--| | man a l man and contraction and contract controllation proposes proposes and parties and | | | | The of 1386 of Documents _____________________________________________________________________________________________________________________________________________________ | | | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | | Document Date: | | Number of Pages: _____________________________________________________________________________________________________________________________________________________________ | | Signer(s) Other Than Named Above: ____________________________________________________________________________________________________________________________________________ | | | | | Capacity(ies) Claimed by Signer(s) | | | | | | Signer's Name: _______________________________________________________________________________________________________________________________________________________________ | Signer's Name: _______________________________________________________________________________________________________________________________________________________________ | | | | D Corporate Officer - Title(s): ______________________________________________________________________________________________________________________________________________ | | O Corporate Officer - Title(s): ______________________________________________________________________________________________________________________________________________ | | D Partner - O Limited O General | | D Partner - D Limited O General | | | a Individual | O Attorney in Fact | O Individual | O Attorney in Fact | | Trustee | G Guardian or Conservator O Trustee | | Guardian or Conservator | | O Other: | | O Other: | | | | Signer is Representing: ______________________________________________________________________________________________________________________________________________________ | Signer is Representing: | | | | | | | CONTINUE CONSULTION CONSULTION CONSULTION CONSULTION CONSULTERS CONSULTERS CONSULTION CONSULTION CONSULTION CONSULTION CONSULTION CONSULTION CONSULTION CONSULTION CONSULTION ©2019 National Notary Association {4}------------------------------------------------ ## Table of Contents | Report of Independent Registered Public Accounting Firm | 1 | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------| | Statement of Financial Condition | 2 | | Statement of Income | 3 | | Statement of Changes in Member's Equity | 4 | | Statement of Cash Flows | 5 | | Notes to the Financial Statements | 6 - 9 | | Supporting Schedules | 10 | | Schedule | 11 | | Computation of Net Capital Under Rule 15c3-1
of the Securities and Exchange Commission | | | Reconciliation with Company's Net Capital Computation | | | Schedule II: | 12 | | Computation for Determination of the Reserve Requirements
and Information Relating to Possession or Control
Requirements for Brokers and Dealers Pursuant to Rule 15c3-3 | | | Review Report of the Independent Registered Public Accounting Firm | 13 | | SEA Rule 15c3-3 Exemption Report | 14 | {5}------------------------------------------------ 675 Ygnacio Valley Road, Suite A200 Walnut Creek, CA 94596 (925) 933-2626 Fax (925) 944-6333 ## Report of Independent Registered Public Accounting Firm To the Member of Builder Advisor Group, LLC ### Opinion on the Financial Statements We have audited the accompanying statement of financial condition of Builder Advisor Group, LLC (the "Company") as of December 31, 2021, the related statements of income, changes in member's equity, and cash flows for then ended, and the related notes and schedules I and II (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, 2021, and the results of its operations and its cash flows for then ended in conformity with accounting principles generally accepted in the United States of America. ### 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 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. ### Auditor's Report on Supplemental Information Schedules I and II have been subjected to audit procedures performed in conjunction with the Company's financial statements. The supplemental is the responsibility of the Company's management. Our audit procedures included determining whether the supplemental information 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 as a whole. We have served as Builder Advisor Group, LLC's auditor since 2013. Walnut Creek, California March 29, 2022 {6}------------------------------------------------ ## Statement of Financial Condition December 31, 2021 | Assets | | |---------------------------------|------------------| | Cash | ea
4,684,456 | | Accounts receivable | 126,000 | | Prepaid expenses | 7,071 | | Total Assets | ക്ക
4,817,527 | | Liabilities and Member's Equity | | | | | | Liabilities | | | Accounts payable | સ્ત્ર
20,233 | | Due to affiliates | 124,198 | | Total Liabilities | 144,431 | | Member's Equity | 4,673,096 | | | | The accompanying notes are an integral part of these financial statements. {7}------------------------------------------------ # # !"#"! | !"#"! | | |------------------------|--------------| | | | | | | | \$

| | | %&'()*+(&*,-&./&0 | 12345664378 | | 9(/+,:;)(<(=>(&)() | ?54?77 | | %&*(;()*/&@A+( | B4875 | | C \$

| 234B?64B22 | | D | | | E;AF())/A&-GF(() | 245H74?H7 | | 9(/+,:;)-,G((=>(&)() | ?54?77 | | I:()-&<):,)@;/>*/A&) | 2H4JJJ | | K*L(;A>(;-*/&0(=>(&)() | 2374J55 | | C D | 243HJ42B8 | | M | 1 254H534JB5 | NL(-@@A+>-&O/&0&A\*()-;(-&/&\*(0;-G>-;\*AF\*L()(F/&-&@/-G)\*-\*(+(&\*)P {8}------------------------------------------------ ## Statement of Changes in Member's Equity ## For the Year Ended December 31, 2021 | Member's equity as of January 1, 2021 | S | 1,091,742 | |-----------------------------------------|---|--------------| | Distributions | | (11,265,000) | | Net income | | 14,846,354 | | Member's Equity as of December 31, 2021 | S | 4.673.096 | The accompanying notes are an integral part of these financial statements. {9}------------------------------------------------ ## Statement of Cash Flows ## For the Year Ended December 31, 2021 | Cash Flows from Operating Activities | | |-----------------------------------------------|-----------------| | Net income | S
14,846,354 | | Adjustments to reconcile net income | | | to net cash provided by operating activities: | | | (Increase) decrease in: | | | Accounts receivable | (97,800) | | Prepaid expenses | 370 | | Increase (decrease) in: | | | Accounts payable | 18,767 | | Due to affiliates | 82,559 | | Net Cash Provided by Operating Activities | 14,850,250 | | Cash Flows from Financing Activities | | | Distributions | (11,265,000) | | Net Cash Used in Financing Activities | (11,265,000) | | | | | Net Increase in Cash | 3,585,250 | | Cash at beginning of year | 1,099,206 | | Cash at End of Year | S
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Z [ \!] ! %& '('^ | | | |-----------------------------------------|---|-----------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | _OG/33C/+G,M6+,-:,31/M*1+/N6C`*.M,C723 | | | | L,1+aa*Qb*1.cDJKJ | 8 | 9:P=>:=?; | | aCG1/,3/6CC/+.6C6.5.G,M6+,-1/4561/./C+ | | e ?>:=:>KP | | | | | {16}------------------------------------------------ Schedule II Computation for Determination of the Reserve Requirements and Information Relating to Possession or Control Requirements for Brokers and Dealers Pursuant to Rule 15c3-3 For the Year Ended December 31, 2021 The Company engages in merger and acquisition advisory services, private placement of securities, and securities underwriting for debt markets and initial public offerings (but not as a sole manager, lead manager or book-running manager). The Company does not accept customer funds or securities and does not have possession of any customer funds or securities in connection with our activities. Therefore, in reliance on Footnote 74 to SEC Release 34-70073 and as discussed in Q & A 8 of the related FAQ issued by SEC staff, the Company does not claim an exemption from SEA Rule 15c3-3 as it does not effect transactions for anyone defined as a customer under Rule 15c3-3, and there are no items to report under the requirements of this Rule. {17}------------------------------------------------ 9#("/0:;))<-:15=5 >#?45265==8777 # BCDECFBCGHIJHKLMNCGCMNCMJBCOEPJCICNQRSTEUVUUHRMJEMOWEIX YZ[\]^]\_`]aZb cdefg]ahgiejZakaZdlmnno p]\qi]a]ie]r]g\_qsqt]\_]s[ujj[q[]\_]s[jmesvfdg]ges[\]qvvZ\_lqswestxyhzdf]@{vA|Ay}]\_l[eZsz]lZa[ldajdqs[[Z xyozdf]@~q|{mesr\ev\@cdefg]ahgiejZakaZdlmnno[\]oZ\_lqswgegsZ[vfqe\_qs]}]\_l[eZsdsg]alqaqtaql\ Zb@~oz@{vA|Amqsg[\]oZ\_lqswejbefest[\ejy}]\_l[eZsz]lZa[a]fwestZsZZ[sZ[]~Zb[\]xyoz]f]qj] ZA|~~AqgZl[estq\_]sg\_]s[j[Z@~oz@~q|{`]vqdj][\]oZ\_lqswfe\_e[je[j`djes]jjqv[eie[e]j]}vfdjei]fw [Z\_]at]ajqsgqvdeje[eZsjqgiejZawj]aiev]jmlaeiq[]lfqv]\_]s[jZbj]vdae[e]jmqsgj]vdae[e]jdsg]arae[estbZag]`[\_qa][j qsgese[eqfld`fevZbb]aestj`d[sZ[qjqjZf]\_]\_`]amf]qg\_qsqt]aZa`ZZ|adssest\_qsqt]asqgge[eZsm[\]oZ\_lqswgeg sZ[gea]v[fwZaesgea]v[fwa]v]ei]m\ZfgmZaZ[\]arej]Zr]bdsgjZaj]vdae[e]jbZaZa[Zvdj[Z\_]ajmgegsZ[vqaawqvvZds[jZbZa bZavdj[Z\_]ajqsggegsZ[vqaawhcqvvZds[jqjg]bes]geszdf]@{vA|A[\aZdt\Zd[[\]\_Zj[a]v]s[bejvqfw]qare[\Zd[ ]}v]l[eZs Y\]oZ\_lqswuj\_qsqt]\_]s[eja]jlZsje`f]bZavZ\_lfeqsv]re[\[\]]}]\_l[eZslaZiejeZsjqsge[jj[q[]\_]s[j daa]ie]rrqjvZsgdv[]gesqvvZagqsv]re[\[\]j[qsgqagjZb[\]d`fevoZ\_lqswhvvZds[esti]ajet\[cZqagse[]g x[q[]jqsgmqvvZagestfwmesvfdg]gesdeae]jqsgZ[\]aa]dea]glaZv]gda]j[ZZ`[qes]ieg]sv]q`Zd[[\]oZ\_lqswuj vZ\_lfeqsv]re[\[\]]}]\_l[eZslaZiejeZsjha]ie]rejjd`j[qs[eqffwf]jjesjvZl][\qsqs]}q\_esq[eZsm[\]Z`]v[ei]Zb r\ev\ej[\]]}la]jjeZsZbqsZleseZsZs\_qsqt]\_]s[ujj[q[]\_]s[jhvvZagestfwmr]gZsZ[]}la]jjjdv\qsZleseZs cqj]gZsZdaa]ie]rmr]qa]sZ[qrqa]Zbqsw\_q[]aeqf\_Zgebevq[eZsj[\q[j\Zdfg`]\_qg][Z\_qsqt]\_]s[ujj[q[]\_]s[j a]b]aa]g[Zq`Zi]bZa[\]\_[Z`]bqeafwj[q[]gmesqff\_q[]aeqfa]jl]v[jm`qj]gZs[\]oZ\_lqswuj`djes]jjqv[eie[e]j vZs[]\_lfq[]g`wZZ[sZ[]~Zb[\]xyoz]f]qj]ZA|~~AqgZl[estq\_]sg\_]s[j[Z@~oz@~q|{mqsga]fq[]g xyox[qbba]d]s[fwhj]gd]j[eZsj pqfsd[oa]]moqfebZaseq ^qav\m {18}------------------------------------------------ ![](_page_18_Picture_0.jpeg) SEA Rule 15c3-3 Exemption Report March 22, 2022 Builder Advisor Group, LLC (the "Company") is a registered broker-dealer subject to Rule 17a-5 promulgated by the Securities and Exchange Commission (17 C.F.R. §240.17a-5, "Reports to be made by certain brokers and dealers"). This Exemption Report was prepared as required by 17 C.F.R. §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) merger and acquisition advisory services; (2) private placement of securities; (3) securities underwriting for debt markets and initial public offering (but not as sole manager or book-running manager), and the Company (1) did not directly or indirectly receive, hold, or otherwise owe funds or securities for or to customers; (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. Builder Advisor Group, LLC I affirm that, to my best knowledge and belief, this Exemption Report is true and correct. Anthony G/ Avila Chief Executive Officer Source: SEC EDGAR via Adviser Search (https://search.stillhousedata.com). Agents: see https://search.stillhousedata.com/llms.txt.