Full text of POLYGON CAPITAL ADVISORS, LLC's X-17A-5 filed 2023-02-28 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ OMB APPROVAL UNITED STATES OMB Number: 3235-0123 SECURITIES AND EXCHANGE COMMISSION Expires: Oct. 31, 2023 Washington, D.C. 20549 Estimated average burden hours per response: 12 ANNUAL REPORTS SEC FILE NUMBER FORM X-17A-5 8-68965 PART III FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 AND ENDING 12/31/22 filing for the period beginning 01/01/22 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 [ 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.) 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 INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Tuttle & Bond, PLLC (Name - if individual, state last, first, and middle name) 2954 Goehmann Lane Fredericksburg 78624 IX (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 | Patricia E. Glovsky | swear (or affirm) that, to the best of my knowledge and belief, the | | | |--------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------|--|--| | financial report pertaining to the firm of Polygon Capital Advisors, LLC | as of | | | | December 31 | 2 022 | | | | as that of a customer | partner, officer, director, or equivalent person, as the case may be, ha…Read the full text as markdown