Full text of ASTOR RIDGE N.A. LLP's X-17A-5 filed 2021-06-28 (period 2021-03-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ PUBLIC **SECURJTIESANDEXCHANGECOMMISSION Washington, D.C. 20549 ANNUAL AUDITED REPORT FORM X-17A-5 PART** Ill **FACING PAGE** 0MB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours oer resoonse ...... 12.00 SEC FILE NUMBER 8-69728 **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 PER IOD BEGINNING **04/01/2020** AND ENDING **03/31/2021** ---- ------- MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAM E OF BROKER-DEALER: Astor Ridge LLP ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) 60 Rumson Road (No. and Street) Rumson N.J. (City) (S1a1e) MM/DD/ Y Y OFFICIAL USE ONLY FIRM 1.0. NO. 07760 (Zip Code) NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT J. Clarke Gray **B. ACCOUNT ANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report\* Raich Ende Malter & Co. LLP (Name - *if individual, state last. first, middle name)* 917-238-1263 (Area Code - Telephone Number) 1375 Broadway New York N.Y. 10018 (Address) (City) **CHECK ONE:** ✓ lcerli lied Public Accountant ublic Accountant Accoun ta nt not resident in United States or any of' its possessions. **FOR OFFICIAL USE ONLY** (State) (Zip Code) **UNITED STATES** 0MB APPROVAL *\*Claims/or exemption from the requirement !hat the annual report be covered by the opinion of an independent public accountant 11111st be supported by a statement of facts and circumstances relied on as the basis for the exemplion. See Section 240. I 7a-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 0MB control number.** SEC 1410 (11-05) {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | I, J. Clarke Gray | , swear ( or affirm) that, to the best of | |------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------| | my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of<br>Astor Ridge LLP | ------------------------------------------,<br>as | | of March 31, | are true and correct. I furth…Read the full text as markdown