Full text of POLYGON CAPITAL ADVISORS, LLC's X-17A-5 filed 2026-03-03 (period 2025-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** > **ANNUAL REPORTS FORM X-17A-5 PART** Ill 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 ## SEC FILE NUMBER 8-68965 | FACING PAGE<br>Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | | | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|--|-----------------------------|-----------------------------------------|--|--|--| | FILING FOR THE PERIOD BEGINNING | 0_1_/0_1 /_2_0_2_5_AND ENDING _1_2_/_3_1_/2_0_2_5 __<br>__ | | | | | | | | | MM/DD/YY | | | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | NAME oF FIRM: Polygon Capital Advisors, LLC | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>O Security-based swap dealer<br>□ Major security-based swap participant<br>C!:I Broker-dealer<br>0 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 2nd 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)<br>(Email Address) | | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>NTT & Company, PLLC | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | | | 5865 Mistletoe Dr. | Beaumont | | TX | 77707 | | | | | (Address) | (City) | | (State) | (Zip Code) | | | | | December 31, 2025 | 6543 | | | | | | | | T'" of Reg;stc,Uoo w;th PCAOB){;f appl;rableJ | | | | (PCAOB ReWmat;oo N«mbec, ;r applkableJI | | | | | | FOR OFFICIAL USE ONLY | | | | | | | \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exe…Read the full text as markdown