# EUROPEAN FAMILY OFFICE INSTITUTE LLC. X-17A-5 (2021-03-25) — Broker-dealer annual report - Company: EUROPEAN FAMILY OFFICE INSTITUTE LLC. - Form: X-17A-5 - Filed: 2021-03-25 - Period: 2020-12-31 - Accession: 0001690834-21-000002 - CIK: 1690834 - File #: 8-69871 - Material weakness: No - Auditor: OHAB AND COMPANY, P.A. - Auditor location: MAITLAND, FL - Contact: George Simon - Phone: 561-715-1231 - Signed by: George P. Simon (CEO) Original filing: https://www.sec.gov/Archives/edgar/data/1690834/000169083421000002/efoiannualaudit.pdf --- {0}------------------------------------------------ | | | | (2)(9)5-01 [ 0)-2 ແດ່ງວຽງ ອຽ ແດ່ງເຜົ່າ ເປີ ຄ.ສ. 10 perior ເອການປະເທວນາ ນາມ ລາວປິ (0 ແອພລາວກາ ໜ່ຽວກັບ ການປ
ununoso olyad piran və yo uquldo əy iq pəsəsə əq sodan minun əq ipyi uəuzimbələri uğluqların alınmış və surman | | |------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------|----------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------| | | | | | | | | | FOR OFFICIAL USSE ONLY | | | | | | | .suoissassod sii 10 yuu 10 sets? beimU ui inspires 1 ton tastuuosa | | | | | | Public Accountant | | | | | | Certified Public Accountant | | | | | | | CHECK ONE: | | Zip Code) | (State) | (City) | | (Address) | | 19175 | Fornol F | (əшои əppin 'ısılı 'ısdı ələris 'lonpinipui (i – əmrN) | 00 ₪ 1 - 1 - 1 - 1 - | | | | | | , A.S., YMASMOO ONA BAHO | | | | | | ****************************************************************************************************************************************************************************** | | | | | . ACCOUNTANT IDDENTIFICATION | | | | (Area Code - Telephone Number) | | | | | | | (Zip Code) | (State) | THE FINT OT GRADES NI TOATHOS OT NOSSES FO SERMUN SMOHYSLET ONA AMAN
(A113) | ഭാഗം ( വാട്ട ) വാണിറ്റ് 1988 ) സംസ്തിറ . | | | 3343431 | Florida
(No. and Street) | Boca Raton | | | | | | | 2299 NW 448 Ave | | .ON .O.I MAIF | | | ה ליינו היינוני היישוב של היישוב היישוב היישוב המובע המוראות היו בריית ה | | | OFFICIAL USE ONLY | | | יישוב בין המועד המועד המועד המועד המועד המוזיקה המועד המועצה המועצה המועד המו | | | | | A. RECOSTRAAT IDENTIFICATION | | | | A A/QQ/WW | | X X/AC/WW | | | | | 0202 FRISTS STREND 20202020202 | | 0202/10/11 0 อัพเพทเอสส ติดเครื่อง สหรา สิโนนิสิโ | | | | | and and and a set I alle Associate to to to to a sguedox a vitiruses | and to TI noitose of theusang sueles and series and the bestings of the minder | | | 11869-8 | | FACING PAGE | | | | SEC FILE MUMBBER | | III THAS
C-ATT-X MAOF | | | | house per response. | | UNITI A DOTTOTA TAUNMA | | | | Estimated average burden
202020202020202020202020200000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000 | :291idx3 | Washington, D.C. 20549 | | | | OM8 Number:
LAVORAPPPPORADIO | | SECURITIES AND EXCHANGE COMMISSIO
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14788 DD # noiszimmos
Party Pro Public - Starts of Florida | | | CARLOS A. ROOCHA
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Bulduroseb roqet A (1) (E)(ə)5-DLI OFZ u011205 əsr Bully siyi fo suoi1.100 ununə21 ipi1,100 fo suoji1pu02 1014 \*\* {2}------------------------------------------------ ![](_page_2_Picture_0.jpeg) ## המורד החולים המונים המתנות המתבדרות המועד המועד המתנות of European Fannin Office Institute LLC To the Board of Directors and Member's #### stremetics laisunania ant no noiniqo r sənədlər və sərətə bəyan ədədi və bir və qalan və bir vilan qalınmışdı. 1994-cü ildə bir mənilər məşğul nseqond to nomisoq leicularit edi , etceges (site)tem lle ni , (lines) , and metal) , and indinal mo nl ("sməmətətə lecurun", ədə ol bəyələr yləvi:əellər bura sətən bətalər ədə bir bura çəkil və v and roll date bun hijinpe shedmen ni septimedo to sinematets betsler and 1020s , t 2 redmened to se JJ amitten lessonal to noitibuos laicularit to trements only requests only required more of the sever e W #### Basis for Opinion and and Commission and the PCADOS barə sərin və ən tə sənət əldəsildir. 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Bu bir olan bir şəhrəsindən ted senderous as semperation in the of entrements is internative and only of the more of the more and and seesse of serubecord priminoled bebuloni tijbus wo tone of eub redentifying leight in ların və əsr ən əməmətlər bir nərinə mədən ən ən ən ən ən qaran mərkəzi və mənədən qarşı və qarında qarın mən a be #### noitamond lettemelqque no society of notibua statements as a whole. laisunanii other of noilseler lairelam ile ni beters (inis) are III pue II i seluberte en annimales າກ ລະຊຽງ ປະຈິບ ປີ ປີ ປີ ປີ ປີ ປີ ປີ ປີ ປະທາວວ ການປີ ຄ.ສ ədə bir növü. İstinadlar Həmçinin baxında və birinci animləri mərkəzi ilə mənşəni ilə mənaların mən ni betressed noiremodui edit to yozung bila seen en seulpesona primorialed provincial programment a se a le but but no only robus en to strements leisment edt of seller notiern home in eldering and ə (məqsəd) ölünündən bəbdəsən tipli və və tərəfindən və və və və və və və və və və və və və və və və və və və və və və və və və və və və v າດ ທີ່ເປັນຂອງອາ ອປີ ຂ່າ ເດີຍນາ ເປັນອາຫອງໝຸດ ອກໄປ ສາມາດສາສາລະວົງ ອາຫານປະກວດນາງງາມ ອະຫຼຸບ ທ່າຫຼວງ ການປະກວດນາງ to tipus ədə dilin noticoniya sənəbəsində ilk əsasən ill bitki növü. İstinadlar Həmçinin .8 102 ອວພຸຣ ເດຍຸ່ມເມຣ ຣັ ວ L ອາການໄຮມ! ອວເຫຼືອ ທຸ່ເພາະ ແຂວງບຸລາ ອາຂາ ອາໄປ ອປ Maithand, Florida March 19, 2021 {3}------------------------------------------------ ## **EUROPEAN FAMILY OFFICE INSTITUTE LLC FINANCIAL STATEMENTS AND SCHEDULES** **For the Period Ending December 31, 2020 With Report of Registered Public Accounting Firm** {4}------------------------------------------------ ## **STATEMENT OF FINANCIAL CONDITION EUROPEAN FAMILY OFFICE INSTITUTE LLC December 31, 2020** #### ASSETS | Member's equity | 10,549 | |-----------------------------------------------|----------------------| | Total liabilities | 450 | | Accounts payable
Liabilities | \$
450 | | LIABILITIES AND MEMBER'S EQUITY | | | Total assets | \$
10,999 | | Prepaid expenses
Cash and cash equivalents | \$
1,064
9,935 | \$ Total liabilities and member's equity 10,999 {5}------------------------------------------------ ## **EUROPEAN FAMILY OFFICE INSTITUTE LLC STATEMENT OF OPERATIONS For the Period Ending December 31, 2020** | (11,338) | \$
NET INCOME (LOSS) | |----------|---------------------------| | 11,338 | Total expenses | | 1,046 | Other operating expenses | | 376 | Travel and entertainment | | 5,654 | Professional fees | | 2,699 | License and registrations | | 1,563 | Information technology | | | EXPENSES | | - | Total revenue | | | REVENUES | {6}------------------------------------------------ # **STATEMENT OF CHANGES IN MEMBER'S EQUITY EUROPEAN FAMILY OFFICE INSTITUTE LLC For the Period Ending December 31, 2020** | Ending Balance, December 31, 2020 | \$
10,549 | |--------------------------------------|--------------| | Net Income | (11,338) | | Member's Contribution | 13,634 | | Beginning Balance, December 31, 2019 | \$
8,253 | {7}------------------------------------------------ # **EUROPEAN FAMILY OFFICE INSTITUTE LLC STATEMENT OF CASH FLOWS For the Period Ending December 31, 2020** | 9,935 | \$
End of period | |------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | 8,871 | Beginning of period
CASH AND CASH EQUIVALENTS: | | 1,064 | NET INCREASE IN CASH | | 13,634
13,634 | Net cash provided by financing activities
Member Contributions
CASH FLOWS FROM FINANCING ACTIVITIES: | | (12,570)
(1,084)
(148) | Net cash used in operating activities
Decrease in accounts payable and accrued liabilities
Increase in prepaid expenses
Decrease in due from member
Decrease in accounts receivable
Adjustments to reconcile net income to net cash used in operating activities: | | (11,338) | \$
Net income
CASH FLOWS FROM OPERATING ACTIVITIES: | {8}------------------------------------------------ # **EUROPEAN FAMILY OFFICE INSTITUTE LLC NOTES TO FINANCIAL STATEMENTS December 31, 2020** ## NOTE A - SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES : European Family Office Institute LLC (the "Company"), a **Organization and Description of Business** Florida Limited Liability Company organized in August 2014, is a securities broker-dealer registered with the Securities and Exchange Commission ("SEC") and the Financial Industry Regulatory Authority ("FINRA") approved on October 25, 2017. The Company is approved to operate as a "general securities" broker-dealer executing trades for institutional and retail customers. The Company does not carry customer accounts or perform custodial functions relating to customer securities. Potential customers of the Company are introduced to a carrying broker-dealer (clearance agent) on a fully disclosed basis. : The Company is taxed as a sole proprietorship. Therefore the income or losses of the **Income Taxes** Company flow through to its member and no income taxes are recorded in the accompanying financial statements. The Company has adopted the provisions of FASB Accounting Standards Codification 740-10, Accounting for Uncertainty in Income Taxes. Under ASC 740-10, the Company is required to evaluate each of its tax positions to determine if they are more likely than not to be sustained if the taxing authority examines the respective position. A tax position includes an entity's status, including its status as a pass-through entity, and the decision not to file a tax return. The Company has evaluated each of its tax positions and has determined that no provision or liability for income taxes is necessary. Financial statements are prepared on the accrual basis in accordance with U.S. generally accepted accounting principles. : Management uses estimates and assumptions in preparing financial statements in **Estimates** accordance with generally accepted accounting principles. Those estimates and assumptions affect the reported amounts of assets, liabilities, revenues and expenses. Actual results could vary from the estimates that were assumed in preparing the financial statements. : The Company considers all cash and money market instruments with a **Cash and Cash Equivalents** maturity of ninety days or less to be cash and cash equivalents. The Company maintains its cash and cash equivalents deposits in high credit quality financial institutions. Balances at times may exceed federally insured limits. {9}------------------------------------------------ # **EUROPEAN FAMILY OFFICE INSTITUTE LLC NOTES TO FINANCIAL STATEMENTS December 31, 2020** ## NOTE A - SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES (CONTINUED) : Customer's securities transactions are reported on a trade date basis. **Securities Transactions** ## **Revenue from Contracts with Customers:** ## *Significant Judgements* Revenue from contracts with customers includes commission income and fees from commissions. ed on the assessment of individual contract terms. The recognition and measurement of revenue is bas Significant judgement is required to determine whether performance obligations are satisfied at a point in time or over time; how to allocate transaction prices where multiple performance obligations are identified; when to recognize revenue based on the appropriate measure of the Company's progress under the contract; whether revenue should be presented gross or net of certain costs; and whether constraints on variable consideration should be applied due to uncertain future events. ## *Brokerage Commissions* The Company buys and sells securities on behalf of its customers. Each time a customer enters into a buy or sell transaction, the Company charges a commission. Commissions and related clearing expenses are recorded on the trade date (the date that the Comany fills the trade order by finding and contracting with a counterparty and confirms the trade with the customer). The Company believes that the performance obligation is satisfied on the trade date because that is when the underlying financial instrument or purchaser is identified, the pricing is agreed upon and the risks and rewards of ownership of the securities have been transferred to/from the customer. {10}------------------------------------------------ ## **EUROPEAN FAMILY OFFICE INSTITUTE LLC NOTES TO FINANCIAL STATEMENTS December 31, 2020** ## NOTE B - NET CAPITAL REQUIREMENTS The Company is subject to the Securities and Exchange Commission 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. At December 31, 2020, the Company had net capital of \$9,485, which was \$4,485 more than its required net capital of \$5,000 and the ratio of aggregate indebtedness to net capital was .05 to 1.0. NOTE C - OFF BALANCE SHEET RISK In the normal course of business, the Company's customers execute securities transactions through mpany to off balance sheet risk in the event the the Company. These activities may expose the Co customer or other broker is unable to fulfill its contracted obligations and the Company has to purchase or sell the finanial instrument underlying the contract at a loss. ## NOTE D - COMPANY CONDITIONS The Company has a loss of \$11,338 for the year ending December 31, 2020 and has received capital contributions from ownership for working capital. The Company's owner has represented that he intends to continue making capital contributions, as needed, to ensure the Company's continuing operations. The owner has the financial wherewithal to continue contributing, as required. going concern and the accompanying financial Management expects the Company to continue as a statements have been prepared on a going-concern basis without adjustments for realization in the event the Company ceases to continue as a going concern. ## NOTE E - COMMITMENTS AND CONTINGENCIES There are no commitments or contingencies at year ended December 31, 2020. #### NOTE F - SUBSEQUENT EVENTS Management has assessed subsequent events through the date the financial statements were available to be issued and determined no subsequent events or transactions occurred during that period requiring recognition or disclosure. {11}------------------------------------------------ ## **EUROPEAN FAMILY OFFICE INSTITUTE LLC** ## **Supplementary Information Securities Exchange Act of 1934 Pursuant to rule 17(a)-5 of the** ## **December 31, 2020** The accompanying schedule I is prepared in accordance with the requirements and general format of FOCUS Form X-17 A-5. {12}------------------------------------------------ ## **EUROPEAN FAMILY OFFICE INSTITUTE LLC** ## **AND EXCHANGE COMMISSION ACT OF 1934 SCHEDULE I COMPUTATION OF NET CAPITAL UNDER RULE 15c3-1 OF THE SECURITIES** ## **December 31, 2020** | Ratio of aggregate indebtedness to net capital | .05 to 1.0 | | |-------------------------------------------------------------------------------------------------------|------------|---------| | Minimum net capital based on aggregate indebtedness | \$ | 30 | | Liabilities
Aggregate Indebtedness: | \$ | 450 | | Excess net capital | \$ | 4,485 | | Minimum net capital required (greater than \$50,000 or 6 2/3% of aggregate indebtedness) | \$ | 5,000 | | Net capital | \$ | 9,485 | | Prepaid expenses | | (1,064) | | Deduction for non-allowable assets:
Total member's equity qualified for net capital
Net Capital | \$ | 10,549 | RECONCILIATION WITH COMPANY'S COMPUTATION OF NET CAPITAL INCLUDED IN PART IIA OF FORM X-17A-5 AS OF DECEMBER 31, 2020. There was no material difference between net capital in Part IIA of Form X-17A-5 and net capital above. {13}------------------------------------------------ ## **EUROPEAN FAMILY OFFICE INSTITUTE LLC** ## **SCHEDULE II COMPUTATION FOR DETERMINATION OF THE RESERVE REQUIREMENTS UNDER THE SECURITIES AND EXCHANGE COMMISSION RULE 15c3-3 December 31, 2020** The Company is not required to file the above schedules as it is exempt from Securities and Exchange Commission Rule 15c3-3 under paragraph (k)(2)(ii) of the rule and does not hold customers' monies or securities. ## **INFORMATION RELATING TO THE POSSESSION OR CONTROL REQUIREMENTS UNDER THE SECURITIES AND EXCHANGE COMMISSION RULE 15c3-3 December 31, 2020 SCHEDULE III** The Company is not required to file the above schedules as it is exempt from Securities and Exchange Commission Rule 15c3-3 under paragraph (k)(2)(ii) of the rule and does not hold customers' monies or securities. {14}------------------------------------------------ ![](_page_14_Picture_0.jpeg) ## #00-740069441 Telephone 407-740-7311 Ernail: pam(@ohabco.com Certified Public Accountants Maitland, FL 32751 100 E. Sybelia Ave. Suite 130 ## МЯГЧ ӨМТИЙОССА ЭШӨҮЧ ДЭЯЭТҮГЭЭЯ ТИЗДИЭЧЭЭЛИЙН ТО ТЯОЧЭЭН of a propession framily Office Institute LLC To the Boord of Directorial and Members . İstinadlar estin viima nasqonda .noidease .nodiiw 1897 tessi tuesen tsom en tuolloword notiques beithing b and son and noilqmexe) (ii)(5) :5-8561.0428 .R.7.2 Tr moit noitquexe ne bemislo Olimpsal nesqonis (1) ท่อนที่ 1000 ค.ศ. 1974 คน 1974 ค.ศ. 1997 ค.ศ. 1997 ค.ศ. 1997 ค.ศ. 1994 ค.ศ. 1994 ค.ศ. 1997 ค.ศ. 1997 ค.ศ. 1997 ค.ศ. 1997 ค.ศ. 1997 ค.ศ. 1997 ค.ศ. 1997 ค.ศ. 1997 ค.ศ. 1997 ruoinido us dons ssendxe ton ob ew 'ylguibloosa . Shemebans and house and noissendxe ent ei doily to avitseldo edit , noiterimexe in new some ni seel Misituatsanıs si wəivəl A snoisiyada ədəddir. Əhli əsrin çəkili ərazi və yaxında və məlumat və məsanə mə ında əsasən bir sənəbəsindən bəyinə bir sənin bir şəhilində (yığılıb. (yığırları) və yarım) in the .4881 to 10A ອຽກສປວຽງ ຂອງການວອຽ ອປີ 1968uu £-£ວຽງ ອັນມີ 10 (ii)(2)(x) ປີ​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​ directory of the been stored in the reserved in and the responsible of benefits in a ə sənədlər olan ədəbiyyatı suniyanın isteram yara tormanların və ən əvvəl və qalında və başa Maitland, Florida March 19, 2021 {15}------------------------------------------------ # Portsean Family Office Institute LLC igniwollot all setting your and theiled base agest of the trade of the (1)(b)2 -671.042 .Я.Я.271 vd beniuper se bearedend sew nodes noildmax aid . ("stalseb but starson nisus vol and of at and of and of the U.S. I. T. T. T. T. T. T. T. T. T. Stirtuses and votes and in the being humons of -ship of the of the believe bereigen is si ("vundmo", and ) Oll amintent and only of the mass only :(ii)(2)(x){2)(x){2)(x){2)(x){2}(x)({}({}({}({}({}({}({}({}({}({}({){ suoisivorq guiwollot edi rebuu E-E221.00L3 .A.A.O.T mort noingmoxe and bomber (1) throughout the most recent fisces year without exception. (ii)(2)(x)E-E-C 1.04.2 X ... I suoisivord noidmaxe beijinsbi ed ism vurduro odi (C) correct. bur sur si noder notiques and field but aghelwould you to tred only of the Unites anomic of the Title: President/CEO/CFO ः द्व Date: March 9, 2021 Member FINRA/SIPC Firm Name Source: SEC EDGAR via Adviser Search (https://search.stillhousedata.com). Agents: see https://search.stillhousedata.com/llms.txt.