# POLYGON CAPITAL ADVISORS, LLC X-17A-5 (2022-03-02) — Broker-dealer annual report - Company: POLYGON CAPITAL ADVISORS, LLC - Form: X-17A-5 - Filed: 2022-03-02 - Period: 2021-12-31 - Accession: 0001529989-22-000003 - CIK: 1529989 - File #: 8-68965 - Type: Broker-dealer - Material weakness: No - Auditor: Tuttle & Bond, PLLC - Auditor location: Fredericksburg, TX - Contact: Patricia E Glovsky - Phone: 415-377-0155 - Email: pglovsky@polygoncapital.com - Website: polygoncapital.com - Signed by: Patricia E. Glovsky (CEO/Managing Partner) Original filing: https://www.sec.gov/Archives/edgar/data/1529989/000152998922000003/2021Auditpub.pdf --- {0}------------------------------------------------ ### UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 ## ANNUAL REPORTS FORM X-17A-5 PART III sec file number 8-68965 FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 AND ENDING\_12/31/21 filing for the period beginning \_\_1/01/21 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION # NAME OF FIRM: Polygon Capital Advisors, LLC TYPE OF REGISTRANT (check all applicable boxes): Broker-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.) ## 15 Second Street, Suite 9 | | (No. and Street) | | | | | |--------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------|------------|--|--| | Sausalito | CA | 94965 | | | | | (City) | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Patricia E. Glovsky | (415) 775-3300 | pglovsky@polygoncapital.com | | | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | Tuttle & Bond, PLLC | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*
(Name - if individual, state last, first, and middle name) | | | | | | 2954 Goehmann Lane | Fredericksburg | TX | 78624 | | | | (Address) | (City) | (State) | (Zip Code) | | | | 03/19/2019 | | 6543 | | | | | (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. {1}------------------------------------------------ #### OATH OR AFFIRMATION and belief, the submit is a swear (or affirm) that, to the best of my knowledge and belief, the |, Patricia E. Glovsky financial report pertaining to the firm of Polygon Capital Advisors, LLC as of any more and as of December 31 2 021 \_ , 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. See Atlachment Title CEO/Managing Partner Notary Public #### 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). - O (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. - □ (I) 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. - □ (o) 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-2, 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-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. - □ (u) Independent public accountant's report based on an examination of the financial report or 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 exist or 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 240.17a-5(e)(3) or 17 CFR 240.18a-7(d)(2), as applicable. {2}------------------------------------------------ #### CALIFORNIA ALL-PURPOSE ACKNOWLEDGMENT CIVIL CODE § 1189 紫磷酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸酸 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 | | |---------------------------------------------|------------------------------------------------------| | 428 " 2022 pefore, r | Kila Monica Sedano-Carria | | Date
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personally appeared | Here Insert Name and Title of the Officer
Chousky | | | 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 Motary 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 unintended document. | | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--| | Description of Attached Document | | | | Title or Type of Document: ___________________________________________________________________________________________________________________________________________________ | | | | 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): // | □ Corporate Officer - Title(s): --------------------------------- | | | [] Partner -- [] Limited [] General | Partner -- □ Limited □ General | | | OAttorney in Fact
a Individual | O Individual
Attorney in Fact | | | Guardian of Conservator
D Trustee | ri Guardian of Conservator
D Trustee | | | D Other: | □ Other: | | | Signer is Representing: | Signer is Representing: ______________________________________________________________________________________________________________________________________________________ | | 【和我们是我们都是我们的意见的人民的人民的经济的意见的意见的意见的处理的处理的意见的负责的意见的是很好的是我们的意见的意见的是很好的意见的是 ©2017 National Notary Association {3}------------------------------------------------ Polygon Capital Advisors, LLC Financial Statements Required by the U.S. Securities and Exchange Commission For the Year-Ended December 31, 2021 {4}------------------------------------------------ # Contents | Financial Statements | | |----------------------------------|--| | Statement of Financial Condition | | | Notes to Financial Statements | | {5}------------------------------------------------ Polygon Capital Advisors, LLC Financial Statements For the Year-Ended December 31, 2021 {6}------------------------------------------------ ### Polygon Capital Advisors, LLC Statement of Financial Condition As of and for the Year-Ended December 31, 2021 #### Assets | Cash | \$
11,692 | |---------------------------------------|--------------| | Total assets | \$
11,692 | | Liabilities and Member's Equity | | | Liabilities | | | Accounts payable | \$
1,147 | | Total liabilities | \$
1,147 | | | | | Member's equity | | | Member's equity | 10,545 | | Total member's equity | 10,545 | | Total liabilities and member's equity | \$
11,692 | The accompanying notes are an integral part of these financial statements. {7}------------------------------------------------ #### !"#\$%&%# #### ( )\*) #' +,-./,0123452-67849,:9;<<1=>1,?320.>@AB-2C2:B<4?45B7<42D4-45.1,?320.;C29E,:?B74063:4-FGGHIJKB L,?320.49CK,--.,C0B7D.+,-./,0123452-;<<1=>+2:B05>@IJKB1,?320.93BL42-4MB940NB:/B:9207 6LOP49454,09207492?B?DB:,E5KBQ4020L42-R07P95:.SB/P-25,:.6P5K,:45.=>QRTS6>@IR5?24052409459?240 D:20LK,EE4LB405KB9525B,E12-4E,:042I JKB1,?320.49B0/2/B7405KBDP940B992929BLP:454B9D:,UB:V7B2-B:;CK4LKL,?3:49B99B8B:2-L-299B9,E 9B:84LB9;40L-P740/W - X NB:/B:92072LOP49454,09:B-25B79B:84LB9;95:25B/4L3-20040/20782-P254,09B:84LB9Y207 - X +:4825B3-2LB?B059,E9BLP:454B9I #### % ) JKBE4020L42-9525B?B059,E5KB1,?320.K28BDBB03:B32:B7402LL,:720LBC45K/B0B:2--.2LLB35B7 2LL,P0540/3:40L43-B9405KBZ045B7[525B9,E6?B:4L2=>Z[\66+>@I ## ]^\_`abc^de`d\_fg\_h^d^icf`jh\_khlm nopqrstuvwxyzuyo{u|uvzp}su~vu~vpuu~vuvz~u|~vy~~rv}suwu~spy{p~vpzpyyropusrv~vyp {wopppu|ptry~vyuvzpqrtru~rvuvupspvp|u|wsrv~ryop~vuvz~u|zrv~~rvrop ~vy~~rv~vrprpptoptrpv~u|~yrus~v~ss ## ]^\_`c^hjbgdj\_`cke\_ vuzo}qr~~yytpu~v~vopv~pupy|prvu~rvu|uuwv|uzpsuvupnop rpvspvrppysu||{y~vpyypysrv~pyvpopq ¡¢ zoroopuwzopzrpz~rvrus£¤ uv¢zrvrs~zv¥w~yuyp¦ruvy£¢¦¤ ||{y~vpyypyu§upyzo|ruvyupp|~~{|prpu~vopsrv~pyuv upvrr{|~uprptuwopyp|ruvy~opvyupyp~vuzzruvzprop|pyuvp|u~rvytpyz~{p{w opq ¡¢ znopypvy§pptr~p~vuv~z~tu~rvr~vuvz~u|vppuvvrp|upruzu|~vuvz~u| z~zsyuvzpyroppzp~~vzrstuvwr|wrvqut~u| ~yry}¦¦qutt|~puvpzp~popypvyuv pzp~pr~pvpyy}¨u|~~prvrptuwopypvyuytpyz~{p{wopq ¡¢ zuvopuvuv|ruv §pppu~vpuytps~p ## ]^\_`©bª^eg\_h^d^ic^«¬gdk`e^fjl zrtwropqrstuvwxysrypzpv~vuvz~u|yupspvy~yuu~|u{|prpus~vu~rvuopt~vz~tu|r~zpyr r|wrvqut~u| ~yry}¦¦q|rzupu®pzrvpp}¯°±²³´}uyu|~r}q µ¶®uvuopp~rvu|r~zpr opqrss~yy~rvrop·pyp~rv ## ]^\_`¸b¹ºl`»¹`d\_`d\_l uvupspvouyp~p§poppy|yrrtpu~rvyroptp~rr~sprs~ywpupvpzps{p¼} orop{uw}~vuvz~u|yupspvy§ppuu~|u{|pr{p~yyp}uvouypps~vpouvr u¥yspvyupvpzpyyuwropusrvyptrp~vopuzzrstuvw~vzrs{~vp~vuvz~u|yupspvyvroup uvwy{yp¨pvppvyrzzp}opvupr§o~zo§r|p¨~p~yz|ryp Source: SEC EDGAR via Adviser Search (https://search.stillhousedata.com). Agents: see https://search.stillhousedata.com/llms.txt.