# POLYGON CAPITAL ADVISORS, LLC X-17A-5 (2021-03-02) — Broker-dealer annual report - Company: POLYGON CAPITAL ADVISORS, LLC - Form: X-17A-5 - Filed: 2021-03-02 - Period: 2020-12-31 - Accession: 0001529989-21-000002 - CIK: 1529989 - File #: 8-68965 - Material weakness: No - Auditor: Tuttle & Bond, PLLC - Auditor location: China Spring, TX - Contact: Patricia E. Glovsky - Phone: 415-377-0155 - Signed by: Patricia E Glovsky (CEO) Original filing: https://www.sec.gov/Archives/edgar/data/1529989/000152998921000002/2020filepublic.pdf --- {0}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours per response .. . . . . . 12.00 # ANNUAL AUDITED REPORT FORM X-17A-5 PART III | SEC FILE NUMBER | | |-----------------|--| | 8-68965 | | FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | REPORT FOR THE PERIOD BEGINNING | 01/01/2020 | AND ENDING | 12/31/2020 | | |-----------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|------------|--------------------------------|--| | | MM/DD/YY | | MMADD/Y Y | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: | Polygon Capital Advisors, LLC | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | 15 Second Street, Suite 9 | | | | | | | (No. and Street) | | | | | Sausalito | CA | | 94955 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT
Patricia E. Glovsky, 415-775-3300 / Nicolette Denney, 760-815-1817 | | | | | | | | | (Area Code - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | Tuttle & Bond, PLLC | | | | | | | (Name - if individual, state last, first, middle name) | | | | | 1928 Jackson Lane | China Spring | TX | 76633 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | Certified Public Accountant | | | | | | Public Accountant | | | | | | Accountant not resident in United States or any of its possessions. | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | \*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240.17a-5(c)(2) > Potential 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. {1}------------------------------------------------ ### OATH OR AFFIRMATION #### Patricia E. Glovsky I. swear the best of the swear (or affirm) that, to the best of my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of Polygon Capital Advisors, LLC \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ of December 31 are true and correct. I further swear (or affirm) that neither the company nor any partner, principal officer or director has any proprietary interest in any account classified solely as that of a customer, except as follows: Notary Public This report \*\* contains (check all applicable boxes): - (a) Facing Page. - (b) Statement of Financial Condition. - (c) Statement of Income (Loss) or, if there is other comprehensive in the period(s) presented, a Statement of Comprehensive Income (as defined in \$210.1-02 of Regulation S-X). - (d) Statement of Changes in Financial Condition. - (e) Statement of Changes in Stockholders' Equity or Partners' or Sole Proprietors' Capital. - (f) Statement of Changes in Liabilities Subordinated to Claims of Creditors. - (g) Computation of Net Capital. - (h) Computation for Determination of Reserve Requirements Pursuant to Rule 15c3-3. - (i) Information Relating to the Possession or Control Requirements Under Rule 15c3-3. - (i) A Reconciliation, including appropriate explanation of Net Capital Under Rule 15c3-1 and the Computation for Determination of the Reserve Requirements Under Exhibit A of Rule 15c3-3. - (k) A Reconciliation between the audited Statements of Financial Condition with respect to methods of consolidation. - (1) An Oath or Affirmation. - (m) A copy of the SIPC Supplemental Report. - (n) A report describing any material inadequacies found to have existed since the date of the previous audit. \*\* For conditions of confidential treatment of certain portions of this filing, see section 240.17a-5(e)(3). Signature Managing Partner Title {2}------------------------------------------------ #### CALIFORNIA ALL-PURPOSE ACKNOWLEDGMENT CIVIL CODE § 1189 800000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000 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 NORM | | | on Friday , February 194, 2021 before me, Eita Movica Sedamo - Connece | | | | Here Insert Name and Title of the Officer | | personally appeared Rahiria E. GLOUSKY | | | | Name(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_2_Picture_6.jpeg) I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct. WITNESS my hand and official seal. Signature Signature of Notary Public Place Notary Seal and/or Stamp Above OPTIONAL Completing this information can deter alteration of the document or fraudulent reattachment of this form to an uniptended document. Description of Attached Document Title or Type of Document: \_\_ Document Date: \_\_ Number of Pages: No Signer(s) Other Than Named Above: \_ W Capacity(ies) Claimed by Signer/s) Signer's Name: Signer's Name: O Corporate Officer - Title(s): D Corporate Officer - Title(s): D Partner - O Limited & General □ Partner - □ Limited □ General O Individual O Attorney in Fact o Individual O Attorney in Fact D Trustee D Guardian of Conservator O Trustee O Guardian of Conservator O Other: O Other: Signer is Representing: Signer is Representing: 1998 000 000 000 000 000 000 000 000 000 000 000 000 000 000 000 000 000 000 000 000 00000000000000000000000000000000000000000000000000000000000000000000000000000000000000000 ©2017 National Notary Association {3}------------------------------------------------ Polygon Capital Advisors, LLC Statement of Financial Condition Required by the U.S. Securities and Exchange Commission For the Year-Ending December 31, 2020 {4}------------------------------------------------ ## Polygon Capital Advisors, LLC Statement of Financial Condition As of and for the Year-Ending December 31, 2020 #### Assets | Cash | \$
15,673 | |---------------------------------|--------------| | Total assets | \$
15,673 | | Liabilities and Member's Equity | | | Liabilities | | | Accounts payable | \$
647 | | SBA Loan EIDL Loan | 2,000 | | SBA Loan PPP Loan | 3,600 | | Total liabilities | \$
6,247 | | | | | Member's equity | | | Member's equity | \$
9,426 | | Total member's equitv | 9.426 | |---------------------------------------|--------| | Total liabilities and member's equity | 15,673 | The accompanying notes are an integral part of these financial statements. Source: SEC EDGAR via Adviser Search (https://search.stillhousedata.com). Agents: see https://search.stillhousedata.com/llms.txt.