Full text of ROSE & CO. CAPITAL ADVISORS, LLC's X-17A-5 filed 2026-02-24 (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 OMB APPROVAL OMB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 ## ANNUAL REPORTS FORM X-17A-5 PART III | SEC FILE NUMBER | |-----------------| | 8-69298 | FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 12/31/25 FILING FOR THE PERIOD BEGINNING 1/1/25 AND ENDING MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: Rose & Co. Capital Advisors, LLC TYPE OF REGISTRANT (check all applicable boxes): Broker-dealer O 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.) 610 5th Avenue, Suite 308 (No. and Street) New York NY 10020 (Zip Code) (City) (State) PERSON TO CONTACT WITH REGARD TO THIS FILING Steven C Bender 646.290.7248 (Area Code - Telephone Number) (Email Address) (Name) #### B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* ## DCPA | | (Name - if individual, state last, first, and middle name) | | | |--------------------------------------------------|------------------------------------------------------------|---------|--------------------------------------------| | 2121 Avenue of the Stars | Century City | CA | 90067 | | (Address) | (City) | (State) | (Zip Code) | | 9/15/2020 | | 6567 | | | (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 | Robert Brinberg | swear (or affirm) that, to the best of my knowledge and belief, the | | |-----------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------|-------|…Read the full text as markdown