Full text of AFW ASSOCIATES LLC's X-17A-5 filed 2022-02-23 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ AFW ASSOCIATES LLC STATEMENT OF FINANCIAL CONDITION DECEMBER 31, 2021 {1}------------------------------------------------ ## **CONTENTS** | Facing Page - Oath or Affirmation | 1-2 | |---------------------------------------------------------|-----| | Report of Independent Registered Public Accounting Firm | 3 | | Statement of Financial Condition | 4 | | Notes to Financial Statement | 5-9 | {2}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | ANNUAL REPORTS | |----------------| | FORM X-17A-5 | | PART III | OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: SEC FILE NUMBER 8-69992 FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FILING FOR THE PERIOD BEGINNING 01/01/2021 | | AND ENDING 12/31/2021 | | | | | |-------------------------------------------------------------------------------------------------------------------------------------|--------------------------------|-----------------------|-----------------|------------------------|--|--| | | MM/DD/YY | | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | NAME OF FIRM: AFW Associates LLC | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>Z Broker-dealer<br>C Check here if respondent is also an OTC derivatives dealer | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | 152 West 57th Street, 36th Floor | | | | | | | | | (No. and Street) | | | | | | | New York | NY | | | 10019 | | | | (City) | (State) | | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | Michael Chung | 212-751-4422 | | | mchung@dfppartners.com | | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Untracht Early LLC | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | | 325 Columbia Turnpike, Suite 202 Florham Park | | | NJ | 07932 | | | | (Address) | (City) | | (State) | (Zip Code) | | | | 03/31/2009 | | 3412 | | | | | | (PCAOB Registration Number, if applicable)<br>(Date of Registration with PCAOB)(if applicable) | | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | \* Claims for exemption from the requirement…Read the full text as markdown