Full text of ARKADIOS CAPITAL, LLC's X-17A-5 filed 2022-03-31 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | UNITED STATES | 0MB APPROVAL | | | |--------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------|----------------------------------------------------|--|--| | | SECURITIES AND EXCHANGE COMMISSION | 0MB Number: 3235-0123 | | | | | Washington, D.C. 20549 | Expires: Oct. 31, 2023<br>Estimated average burden | | | | | | hours per response:<br>12 | | | | | ANNUAL REPORTS | SEC FILE NUMBER | | | | | FORM X-17A-5 | | | | | | PART Ill | | | | | | | | | | | | 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 /21 | | | | FILING FOR THE PERIOD BEGINNING 0 1 | 01 /21 | MM/DD/YY | | | | | MM/DD/YY | | | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: Arkadios Capital | | | | | | | | | | | | [<br>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.) | | | | | 309 East Paces Ferry Road Suite | 000<br>1 | | | | | | (No. and Street) | | | | | Atlanta | Georgia | 30305 | | | | (City) | {State) | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Natalie Miller | 404-445-0035 | nmiller1010@arkadios.com | | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing | | | | | David Lundgren and Company | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 505 North Mur-Len Road | Olathe | Kansas<br>66062 | | | | | | | | | | (Address) | (City) | (State)<br>(Zip Code) | | | | | | U079 | | | | of Registration with PCAOB)(;f appUcable) | | (PCAOB Reg;ma,;oo N,<br>mbe,, ;f appUcable) | | | | FOR OFFICIAL USE ON LY | | | | | | T" | | | | | | | 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 exemption. See 17 CFR 240.17a-5(e)(1)(ii), if applicable. **Persons wh…Read the full text as markdown