Full text of STORY3 ADVISORS LLC's X-17A-5 filed 2023-02-27 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # STORY3 ADVISORS LLC (SEC ID NO. 8-69997) # ANNUAL AUDIT REPORT ## DECEMBER 31, 2022 ## PUBLIC DOCUMENT Filed Pursuant to Rule 17-A-5(e)(3) as a Public Document {1}------------------------------------------------ **PUBLIC** **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17 A-5 PART Ill** SEC FILE NUMBER 8-69997 **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 | ___<br>0_1_/0_1_/2_2 | ___<br>AND ENDING | __<br>____<br>_<br>1_2_/3_1_/_22 | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------|------------------------------------------------------------|----------------------------------| | | MWDDNY<br>A. REGISTRANT IDENTIFICATION | | MWDDNY | | NAME OF FIRM: Story3 Advisors LLC | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>D Security-based swap dealer<br>~ Broker-dealer<br>□ Check here if respondent is also an OTC derivatives dealer | | D Major security-based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 15020 Altata Drive | | | | | | (No. and Street) | | | | Pacific Palisades | California | | 90272 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Peter H. Comisar | (310) 425-3000<br>peter@story3advisors.com | | | | (Name) | (Area Code -Telephone Number)<br>(Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | Ernst Wintter & Associates LLP | | (Name - if individual, state last, first, and middle name) | | | | | | | | 675 Ygnacio Valley Road, Suite A200 | Walnut Creek | California | 94596 | | (Address) | (City) | (State) | (Zip Code) | | February 24, 2009 | | 3438 | | | | | | | | * Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public | FOR OFFICIAL USE ONLY | | | accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(ii), if ap…Read the full text as markdown