# RHCA SECURITIES, LLC X-17A-5 (2018-03-08) — Broker-dealer annual report - Company: RHCA SECURITIES, LLC - Form: X-17A-5 - Filed: 2018-03-08 - Period: 2017-12-31 - Accession: 0001603037-18-000001 - CIK: 1603037 - File #: 8-69439 - Material weakness: No - Auditor: GBH CPA's, PC - Auditor location: Houston, TX - Contact: Kristy Johnson - Phone: 281-367-0380 - Signed by: Kristy K Johnson (Chief Financial Officer/FINOP) Original filing: https://www.sec.gov/Archives/edgar/data/1603037/000160303718000001/RHCAAudit.pdf --- {0}------------------------------------------------ UNITED STATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours per response ...... 12.00 SEC FILE NUMBER 8-69439 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** 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 01/01/2017 | | | AND ENDING 12/31/2017 | | | |-------------------------------------------------------------------------------------------|----------------------------------------------------------------------|---------|------------------------------------|--|--| | | MM/DD/YY | | ----------------------
MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | NAME oF BROKER-DEALER: RHCA Securities, LLC | | OFFICIAL USE ONLY | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | | 5065 Westheimer, Suite 604 | | | | | | | | (No. and Street) | | | | | | Houston | Texas | | 77056 | | | | (City) | (State) | | (Zip Code) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT
Kristy Johnson | | | | | | | | | | (Area Code- Telephone Number) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | | | GBH CPA's, PC | | | | | | | | (Name- if individual, state last, first, middle name) | | | | | | 6002 Rogerdale Road, Suite 500 Houston | | Texas | 77072 | | | | (Address) | (City) | (State) | (Zip Code) | | | | CHECK ONE: | | | | | | | II' I
Certified Public Accountant | | | | | | | OPublic Accountant | | | | | | | | DAccountant 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(e)(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. SEC 1410 (06-02) {1}------------------------------------------------ # **OATH OR AFFIRMATION** 1, Krlsty K. Johnson , swear (or affirm) that, to the best of my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of RHCA Securities, LLC --------------------------------------------------------------------------------------- , as of December 31 are true and correct. I further swear (or affirm) that neither the company nor any partner, proprietor, 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): **0** (a) Facing Page. ~(b) Statement of Financial Condition . *.(* (c) Statement oflncome (Loss). (d) Statement of Changes in Financial Condition . Chief Financial Officer/FINOP Title ./ (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. **0** G) A Reconciliation, including appropriate explanation ofthe Computation ofNet Capital Under Rule 15c3-1 and the Computation for Determination of the Reserve Requirements Under Exhibit A of Rule 15c3-3. **0** (k) A Reconciliation between the audited and unaudited Statements of Financial Condition with respect to methods of consolidation. **0** (I) An Oath or Affirmation. 0 (m) A copy of the SIPC Supplemental Report. **0** (n) A report describing any material inadequacies found to exist or found to have existed since the date oft he previous audit. *\*\*For conditions of confidential treatment of certain portions of this filing, see section 240.17a-5(e)(3).* {2}------------------------------------------------ ### RHCA Securities, LLC ### TABLE OF CONTENTS DECEMBER 31, 2017 | | Page | |------------------------------------------------------------------------------------------------------------------------|------| | REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM | 1 | | FINANCIAL STATEMENTS
Statement of Financial Condition | 2 | | Statement of Operations and Changes in Member's Equity | 3 | | Statement of Cash Flows | 4 | | Notes to Financial Statements | 5 | | SUPPLEMENTAL INFORMATION
Schedule 1-
Computation of Net Capital Under SEC Rule 15c3-1 | 8 | | Schedule II - Information Relating to the Possession or Control Requirements
under Rule 15c3-3 | 9 | | ADDITIONAL REPORTS AND RELATED INFORMATION
Report of Independent Registered Public Accounting Firm on the Exemption | | | from SEC Rule 15c3-3 Report | 10 | | Exemption Report | 11 | {3}------------------------------------------------ ![](_page_3_Picture_0.jpeg) # REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Members and Managers of RHCA Securities, LLC Houston, Texas # **Opinion on the Financial Statements** We have audited the accompanying statement of financial condition of RHCA Securities, LLC as of December 31 , 2017, the related statements of operations, changes in member's equity and cash flows for the year then ended, and the related notes and schedules (collectively referred to as the financial statements). In our opinion, the financial statements present fairly, in all material respects, the financial position of RHCA Securities, LLC as of December 31, 2017, and the results of its operations and its cash flows for the year then ended in conformity with accounting principles generally accepted in the United States of America. ## **Basis for Opinion** These financial statements are the responsibility of RHCA Securities, LLC's management. Our responsibility is to express an opinion on RHCA Securities, LLC's financial statements based on our audit. We are a public accounting firm registered with the Public Company Accounting Oversight Board (United States) (PCAOB) and are required to be independent with respect to RHCA Securities, LLC in accordance with the U.S. federal securities laws and the applicable rules and regulations of the Securities and Exchange Commission and the PCAOB. We conducted our audit in accordance with the standards of the PCAOB. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement, whether due to error or fraud. Our audit included performing procedures to assess the risks of material misstatement of the financial statements, whether due to error or fraud, and performing procedures that respond to those risks. Such procedures included examining, on a test basis, evidence regardir"fg the amounts and disclosures in the financial statements. Our audit also included evaluating the accounting principles used and significant estimates made by management, as well as evaluating the overall presentation of the financial statements. We believe that our audit provides a reasonable basis for our opinion. ## **Supplemental Information** The supplemental information contained in Schedule I, Computation of Net Capital Under SEC Rule 15c3-1 and Schedule II, Information Relating to the Possession or Control Requirements Under SEC Rule 15c2-3 (exemption) has been subjected to audit procedures performed in conjunction with the audit of RHCA Securities, LLC's financial statements. The supplemental information is the responsibility of RHCA Securities, LLC's management. Our audit procedures included determining whether the supplemental information reconciles to the financial statements or the underlying accounting and other records, as applicable, and performing procedures to test the completeness and accuracy of the information presented in the supplemental information. In forming our opinion on the supplemental information, we evaluated whether the supplemental information, including its form and content, is presented in conformity with 17 C.F.R. §240.17a-5. In our opinion, the supplemental information, we evaluated whether the supplemental information, including its form and content, is presented in conformity with 17 C.F.R. §240.17a-5. In our opinion, RHCA Securities, LLC is fairly stated, in all material respects, in relation to the financial statements as a whole. G/31-f CfJ~ *fc\_* We have served as RHCA Securities, LLC's auditor since 2015. GBH CPAs, PC Houston, Texas February 28, 2018 P 713-482-0000 GIHI CPAs, PC F 713-482-0099 6002 Rogerdale Road, Suite 300 \\' gbhcpas.com Houston, Texas 77072 ![](_page_3_Picture_16.jpeg) ;\ tm·mbct ofl-.:tcslon lnh~tnAccounts receivable
Prepaid expenses | \$
30,285
110,250
14,588 | |------------------------------------------------------------|-----------------------------------| | Total assets | \$
155,123 | | LIABILITIES AND MEMBER'S EQUITY | | | Accounts payable and accrued expenses
Total liabilities | \$
3,150
3,150 | | Member's equity | 151,973 | | Total liabilities and member's equity | \$
155,123 | The accompanying notes are an integral part of these financial statements. {5}------------------------------------------------ ### RHCA Securities, LLC STATEMENT OF OPERATIONS AND CHANGES IN MEMBER'S EQUITY FOR THE YEAR ENDED DECEMBER 31,2017 | REVENUE | | |-----------------------------------------|-----------------| | Transaction fee | \$
1,300,000 | | Total Revenue | 1,300,000 | | EXPENSES | | | Professional fees | 62,300 | | General and administrative | 15,743 | | Total Expenses | 78,043 | | Net income before state income tax | 1,221,957 | | State income tax | 2,250 | | NET INCOME | 1,219,707 | | MEMBER'S EQUITY | | | Member's equity as of December 31, 2016 | 135,286 | | Member contributions | 7,680 | | Member distributions | (1,210,700) | | Member's equity as of December 31, 2017 | \$
151,973 | The accompanying notes are an integral part of these financial statements. {6}------------------------------------------------ ### RHCA Securities. LLC STATEMENT OF CASH FLOWS FOR THE YEAR ENDED DECEMBER 31, 2017 #### CASH FLOWS FROM OPERATING ACTIVITIES | Net income
Adjustments to reconcile net income to net cash provided by | \$
1,219,707 | |---------------------------------------------------------------------------------------|-------------------| | operating activities:
Increase in prepaid expenses
Increase in accounts payable | (10,438)
1,027 | | | | | Net cash provided by operating activities | 1,210,296 | | CASH FLOWS FROM FINANCING ACTIVITIES | | | Member contributions | 7,680 | | Member distributions | (1,210,700) | | Cash used in financing activities | (1 ,203,020) | | NET INCREASE IN CASH | 7,276 | | Cash at beginning of year | 23,009 | | Cash at end of year | \$
30,285 | | SUPPLEMENTAL DISCLOSURES | | | Income taxes paid | \$ | | Interest paid | \$ | The accompanying notes are an integral part of these financial statements. {7}------------------------------------------------ ### **RHCA SECURITIES. LLC NOTES TO FINANCIAL STATEMENTS** ### **1. ORGANIZATION AND NATURE OF BUSINESS** RHCA Securities, LLC (the "Company') was formed as a Limited Liability Company in Texas in 2014. The Company is a broker-dealer in securities registered with the Securities and Exchange Commission ("SEC") and is a member of the Financial Industry Regulatory Authority ("FINRA"). The Company's office is located in Houston, Texas. The Company is a wholly-owned subsidiary of Rock House Capital Advisors, LLC (the "Parent"). ### **2. SIGNIFICANT ACCOUNTING POLICIES** ### Basis of Presentation The Company is engaged to provide merger, acquisition, divestiture and advisory services to emerging growth and middle market companies. The Company will also provide assistance in raising debt and equity capital through the private placement of securities. ### Revenue Recognition Transaction fees resulting from investment banking activities are recorded at closing of the transaction. Subsequent contingent fees are recorded upon the occurrence of specified milestone events related to the original transaction and the income is reasonably determinable. #### Cash Cash, for purposes of the statement of cash flows, includes cash in a bank checking account. #### Accounts Receivable In the opinion of management, no material losses will be realized in the collection of receivables and, therefore, no allowance for doubtful receivables has been provided. The Company has recorded a receivable of \$110,250 as of December 31, 2017 related to the transaction fee for a transaction completed in October 2016 as this is the amount that has been received so far from the customer. The Company is in dispute with the customer and believes that an additional \$110,250 is due under the agreement. The Company has not recorded this amount as of December 31, 2017 and will record additional revenue for any additional amount received from the customer after the dispute has been resolved. The receipt from the customer for the receivable has not yet been deposited to a bank due to the dispute. Accordingly, the \$110,250 recorded as a receivable is still accounted for as outstanding at December 31, 2017. #### Use of Estimates The preparation of financial statements in conformity with generally accepted accounting principles requires management to make estimates and assumptions that affect the reported amounts of the assets and liabilities and disclosure of contingent assets and liabilities at the date of the financial statements and the reported amounts of revenues and expenses during the reporting period. Actual results could differ from those estimates. #### Fair Value of Financial Instruments Cash, prepaid expenses and payables are short-term in nature and accordingly are reported in the statement of financial condition at fair value or carrying amounts that approximate fair value. #### Income Taxes The Company is treated as a flow-through entity for income tax purposes. As a result, the net taxable income of the Company and any related tax credits, for federal income tax purposes, are deemed to pass to the Parent and are included in the Parent's members' personal tax returns even though such net taxable income or tax credits may not actually have been distributed. Accordingly, no tax provision has been made in the financial statements since the income tax is a personal {8}------------------------------------------------ obligation of the individual members of the parent. The Company is subject to state income tax. The Company provided \$2,250 for estimated Texas margin taxes for the year ended December 31, 2017. ## Subsequent Events The Company has evaluated all transactions from December 31, 2017 through the financial statement issuance date for subsequent event disclosure consideration. ## **3. NET CAPITAL REQUIREMENTS** The Company is subject to the SEC Uniform Net Capital Rule (Rule 15c3-1), which requires the maintenance of minimum net capital and requires that the ratio of aggregate indebtedness to net capital, both as defined, shall not exceed 15 to 1 (and the rule of the "applicable" exchange also provides that equity capital may not be withdrawn or cash dividends paid if the resulting net capital ratio would exceed 10 to 1). At December 31, 2017, the Company had net capital of \$27,135 which was \$22,135 in excess of its required net capital of \$5,000. The Company's net capital ratio was 0.12 to 1 at December 31,2017. ### **4. LIABILITIES SUBORDINATED TO CLAIMS OF GENERAL CREDITORS** During the year ended December 31, 2017, there were no subordinated liabilities to the claims of general creditors. Accordingly, a statement of changes in liabilities subordinated to claims of general creditors has not been included in these financial statements. ### **5. CONCENTRATION OF CREDIT RISK** The risk of default depends on the creditworthiness of the counterparty or issuer of the instrument. It is the company's policy to review, as necessary, the credit standing of each counter-party. The Company's financial instruments that are subject to concentrations of credit risk primarily consist of cash. The Company places its cash with one high credit quality institution. At times, such cash may be in excess of the FDIC insurance limits. The Company believes that it is not exposed to any significant risk related to cash. ### **6. CONTINGENCIES** In the ordinary course of conducting its business, the Company may be subjected to loss contingencies arising from lawsuits. Management believes that the outcome of such matters, if any, will not have a material impact on the Company's financial condition or results of future operations. #### **7. RELATED PARTY TRANSACTIONS** The Parent provided Chief Compliance Officer services to the Company totaling \$2,500 in 2017. The Parent also provided certain office and administrative services to the Company. In return, the Company pays the Parent a monthly common sharing cost allocation fee. For the year ended December 31, 2017, the Company incurred allocation fees from the Parent of approximately \$9,432, which was reflected in general and administrative expenses in the accompanying statement of operations and changes in member's equity. The existence of this association creates operating results and a financial position significantly different than if the companies were autonomous. {9}------------------------------------------------ ### **8. COMPUTATION FOR DETERMINATION OF RESERVE REQUIREMENTS AND INFORMATION RELATING TO POSSESSION OR CONTROL REQUIREMENTS PURSUANT TO RULE 15c3-3** The Company operates under the provisions of Paragraph (k) (2) (i) of Rule 15c3-3 of the SEC and, accordingly, is exempt from the remaining provisions of that Rule. Essentially, the requirements of Paragraph (k) (2) (i) provide that the Company will not hold customer funds or safe keep customer securities. Under these exemptive provisions, the Computation for Determination of Reserve Requirements and the disclosure of Information Relating to Possession or Control Requirements are not required. {10}------------------------------------------------ #### RHCA SECURITIES, LLC #### SCHEDULE I COMPUTATION OF NET CAPITAL UNDER SEC RULE 15C3-1 AS OF DECEMBER 31, 2017 | NET CAPITAL
Total member's equity qualified for net capital | | \$
151,973 | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------|---------------| | Less nonallowable assets:
Accounts receivable
Prepaid expenses | \$
110,250
14,588 | | | Other deductions I charges | 124,838 | 124,838 | | Net capital | | \$
27,135 | | AGGREGATE INDEBTEDNESS | | \$
3,150 | | NET CAPITAL REQUIREMENT | | 5,000 | | Minimum dollar net capital requirement of
reporting broker or dealer | | \$
5,000 | | Net capital in excess of required minimum | | \$
22,135 | | Excess net capital at 1000% (net capital less than
the greater of 10% of total aggregate
indebtedness or 120% of minimum net capital
requirement) | | \$
21 '135 | | Ratio of aggregate indebtedness to net capital | | 0.12to1 | | Reconciliation with Company's computation
(included in Part II of Form X-17A-5 as of
December 31, 2017)
Audit adjustments subsequently recorded:
Accrued SIPC Assessment | \$
(900) | \$
30,286 | | Accrued state income tax
Rounding | (2,250)
(1 ) | (3,151) | | Net capital per the preceding | | \$
27,135 | {11}------------------------------------------------ ### **RHCA Securities, LLC** ### **SCHEDULE II INFORMATION RELATED TO THE POSSESS OR CONTROL REQUIREMENTS UNDER RULE 15c3-3** The Company is exempt from the reserve requirements and the related computations for the determination thereof under paragraph (k)(2)(i) of Rule 15c3-3 under the Securities Exchange Act of 1934, as the Company's transactions are limited, such that they do not carry securities for customers or perform custodial functions relating to customers securities. Accordingly, the computation for determination of reserve requirements pursuant to Rule 15c3-3 and information relating to the possession or control requirement pursuant to Rule 15c3-3 is not applicable. As of and for the year ended December 31, 2017, the Company has maintained its compliance with the conditions for exemption specified in paragraph (k)(2)(i) of Rule 15c3-3. {12}------------------------------------------------ ![](_page_12_Picture_0.jpeg) ### REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Board of Directors and Members of RHCA Securities, LLC Houston, Texas We have reviewed management's statements, included in the accompanying Exemption Report - Management Assertions regarding RHCA Securities, LLC, in which (1) RHCA Securities, LLC, identified the following provisions of 17 C.F.R. §15c3-3(k) under which RHCA Securities, LLC, claimed an exemption from 17 C.F.R. §240.15c3-3: (2)(i) (the "exemption provisions") and (2) RHCA Securities, LLC stated that RHCA Securities, LLC met the identified exemption provisions throughout the most recent fiscal year without exception. RHCA Securities, LLC's management is responsible for compliance with the exemption provisions and its statements. Our review was conducted in accordance with the standards of the Public Company Accounting Oversight Board (United States) and, accordingly, included inquiries and other required procedures to obtain evidence about RHCA Securities, LLC's compliance with the exemption provisions. A review is substantially less in scope than an examination, the objective of which is the expression of an opinion on management's statements. Accordingly, we do not express such an opinion. Based on our review, we are not aware of any material modifications that should be made to management's statements referred to above for them to be fairly stated, in all material respects, based on the provisions set forth in paragraph (k)(2)(i) of Rule 15c3-3 under the Securities Exchange Act of 1934. GBH CPAs, PC Houston, Texas February 28, 2018 P 713-482-0000 Gllll CPAs, PC ![](_page_12_Picture_9.jpeg) F 713-482-0099 6002 Rogerdale Road, Suite 300 W gbhcpas.com Houston, Texas 77072 A tllt·ml•cr f.ll KrestPn lntc:tnalwthli! 1\ globnl nctwr.nk nfindt•t•cndt·nr (h:cnunting t"trms {13}------------------------------------------------ # **RHCA Securities' Exemption Report** RHCA Securities, LLC (the "Company") is a registered broker-dealer subject to Rule 17a-5 promulgated by the Securities and Exchange Commission {17 C.F.R. §240.17a-5, "Reports to be made by certain brokers and dealers"). This Exemption Report was prepared as required by 17 C.F.R. § 240.17a-S(d){1) and (4). To the best of its knowledge and belief, the Company states the following: - 1. RHCA Securities, LLC claimed an exemption 17 C.F.R. § 240.1Sc3-3 under the following provisions of 17 C.F.R. § 240.15c3-3 (k){2){i) for the fiscal year ended December 31, 2017. - 2. RHCA Securities, LLC met the identified exemption provisions in 17 C.F.R. § 240.15c3- 3(k){2){i) throughout the most recent fiscal year of January 1, 2017 to December 31, 2017, without exception. RHCA Securities, LLC I, Kristy Johnson, affirm that, to my best knowledge and belief, this Exemption Report is true and correct. Chief Financial Officer Title February 28, 2018 {14}------------------------------------------------ ![](_page_14_Picture_0.jpeg) ### REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM ON APPLYING AGREED-UPON PROCEDURES To the Member and Managers of RHCA Securities, LLC Houston, Texas In accordance with Rule 17a-5(e)(4) under the Securities Exchange Act of 1934 and with the SIPC Series 600 Rules, we have performed the procedures enumerated below, which were agreed to by RHCA Securities, LLC and the Securities Investor Protection Corporation (SIPC) with respect to the accompanying General Assessment Reconciliation (Form SIPC-7) of RHCA Securities, LLC for the year ended December 31, 2017, solely to assist you and SIPC in evaluating RHCA Securities, LLC's compliance with the applicable instructions of the General Assessment Reconciliation (Form SIPC-7). RHCA Securities, LLC's management is responsible for RHCA Securities, LLC's compliance with those requirements. This agreed-upon procedures engagement was conducted in accordance with attestation standards established by the Public Company Accounting Oversight Board (United States). The sufficiency of these procedures is solely the responsibility of those parties specified in this report. Consequently, we make no representation regarding the sufficiency of the procedures described below either for the purpose for which this report has been requested or for any other purpose. The procedures we performed and our findings are as follows: - 1) Compared the listed assessment payments in Form SIPC-7 with respective cash disbursement records entries, noting no differences; - 2) Compared the Total Revenue amount reported on the Annual Audited Report Form X-17A-5 Part Ill for the year ended December 31, 2017 with the Total Revenue amount reported in Form SIPC-7 for the year ended December 31, 2017, noting no differences; - 3) Compared any adjustments reported in Form SIPC-7 with supporting schedules and working papers, noting no differences; - 4) Recalculated the arithmetical accuracy of the calculations reflected in Form SIPC-7 and in the related schedules and working papers supporting the adjustments, noting no differences; and - 5) Compared the amount of any overpayment applied to the current assessment with the Form SIPC-7 on which it was originally computed, noting no differences. We were not engaged to, and did not conduct an examination, the objective of which would be the expression of an opinion on compliance with the applicable instructions of the Form SIPC-7. Accordingly, we do not express such an opinion. Had we performed additional procedures, other matters might have come to our attention that would have been reported to you. This report is intended solely for the information and use of the specified parties listed above and is not intended to be and should not be used by anyone other than these specified parties. GBH CPAs, PC Houston, Texas February 28, 2018 I) 713-482-0000 G H II CP As, PC F 713-482-0099 6002 Rogerdale Road, Suite 300 W gbhcpas.com Houston, Texas 77072 {15}------------------------------------------------ | | SECURITIES INVESTOR PROTECTION CORPORATION
P.O. Box 92185 Washington, D.C . 20090·2185
202-371-8300
General Assessment Reconciliation | | | | | |---------------------------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--| | | | For lho fiscai year eruied 12/31i2017
(Road carefully lhe inslruclions in your Working Cupy b~:fore cornp!elrny lhis Form) | | (35 REV 6/17) | | | | 1. Nome of Member, address , Designated Examining Authority, 1934 Act registration no. and month in which fiscal year encts for
purposes of the audit requiremen' or SEC Rule 17a 5: | TO BE FILED BY ALL SIPC MEMBERS WITH FISCAL YEAR ENDINGS | | | | | L | ~14"'"266'f"'"""''"'"''"'MIXED AAoc 220
69439
FINHA
DEC
RHCA SECURITIES LLC
5065WESTHEIMER RD STE 604
HOUSTON, TX n056-5655 | _j | indicate on ihe form filed.
contact respecting this form.
! | Nore: If sny of the information shown on the
mailing labei requires correction, please e·mair
any corrections to form@sipc oro <~nd so
Name and telephone numher of person to
risty Johnson (281) 367-0380 __ | | | | | | | | | | General Assessment (item 2e from page 2)
2. A. | | | \$ 1,950 | | | | B.
7-24-17 | Less payment made with SIPC-6 filed (exclude Interest) | | | | | | | Dale Piiid | | | | | | C | Less prior ovorpayment applied | | | | | | D | :;stl~o ment bJ a11rJ interesl due (or OV!Hp uy rne nt carried forward) | | \$ 900 | | | | | G PAID WITH THIS FORM :
Check enclosed. payable to SIPC
Total (must be same as F above) | \$ 900 | | | | | H. | Overpaynrent carried forward | ___
\$( _ | _
_
_
_ | | | | | 3. Subsidiaries (S) and predecessors (P) rncluded in this lorm (give name and 1934 Act registration number) | | | | | | and complete. | Tile SIPC member submitting this form and the
person by whom it is executed represent thereby
that all inforn1ation contained herein is true, correct | | RHCA Securities LLC | | | | __
Dated lhe | day of _____ _ | | •A'JI-,, ;
·lr ,; ,;i ;!
Designated Principal | | | | | ' 20 | | -----
-
~ ~ | | | | | This form and the assessment payment is due 60 days after the end of the fiscal year. Retain the Working Copy of this form
tor a period ot not less than 6 years, the latest 2 years in an easily accessible place. | | | | | | ffi Da
tes
:s:;: | PostrnariReceived | Reviewed | | | | | u.l
::> Calculations ___
u.l
a:
c,) Excspli ons : | _ | __
Documentation
_ | | Forward Copy ____ _ | | | ca
Cl) Disposition ol exceptions | | 1 | | | | {16}------------------------------------------------ # DETERMINATION OF "SIPC NET OPERATING REVENUES'' AND GENERAL ASSESSMENT Amounts for \he fiscal period boginning 111/2017 and ending 12/31/2017 | Item No.
2a. Total revenue (FOCUS Line 121Pa1tiiA Line 9, Code 4030) | | | Eliminate cents
-------
\$ 1,300,000 | |------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------|--------------------------------------------| | 2b. Additions.
( 1) I olaf revenues from the securities business of subsidiaries (except lo1f.ign sutJsidiari;;s) a no
predecessors not int:luded above. | | | | | (2) Nelloss from principal transactions in securities ''' lrading aGcounls. | | | | | (3) Nelloss from principal lransaclions in commodities in trading accounts | | | | | p; Interest and dividend expense deducted in oetermining Hem 2a. | | | | | (5) Net loss lrom management of or participation in the underwflling or distribution ol securities. | | | | | | protit from management ot or participation in underwriting or distribution ol securities. | (6) Expensas other than advertising, printing, registration lees and legal lees deducted in delerminlng net | | | (7) Nellcss lrom s~r.urilies :n investmen: accounts | | | | | Total addit1ons | | | | | 2c. Deductions:
(11 Revenues from !he distribution ol shares ot a registered open ~nd investment company or unit
investment trusl, l:om the sale of variable annuities, !rom the business of insurance, tram investmAnl
advisory services rendered to registered inva~tment companies or Insurance con1pany separate
accounts, and from transactions in security futures products. | | | | | (2) Revenues !wm commodlly transaclions. | | | | | (3) Commissions. floor brokerage and clijarance paid to other SIPC memhers 1n c.onneclion with
~ecurl!ia~ transacllons. | | | | | (41 Reimbursements lor post3ge in connection with proxy solicitation. | | | | | (5) Nel gain trom :;ecurities in lnVt1Sirnen\ aceounts | | | | | (6] 100% of commissions and markups earned ircm trunsactrons in [i) cer\ilicales of deposi! and
(ii) Treasury bills. ba11kers acceptances or commercial paper tllal mature nine "IOnths or less
from issuance dale. | | | | | (?] Dirocl expenses llf printing acGurire:; husiness (revenue delined by Section 16(9)(1) ol lhA Ar,l). | | | | (B) Otllcr revg11ua not relaled either direclly or lndirar.tly to \he securities business
(See Instruction C): | | | | | | I,Deduct1ons in excess ot \$100,000 reqJire docurnellia\ionl | | | | i9) (i) To'al intw1st and dividend eY.pensc (FOCUS Line 221PART 1\A Line 13,
Code 4075 pids line 2h(A) above) but noi :n e~cess
ot total inlerHs\ and dividend i~come. | | __
_
~.·. | | | (il) 40% of margin inlerest earned on cu~tomers securities
accounls (~0% of FOCUS line 5. Code 3960). | | | | | | | | | | | | | 0 | | | | | 1,300,000 | | | | | ~ 1.25_0_ | | | | | (lo page 1 line ~.A.) | Source: SEC EDGAR via Adviser Search (https://search.stillhousedata.com). Agents: see https://search.stillhousedata.com/llms.txt.