Full text of GRAY OAK CAPITAL, LLC's X-17A-5 filed 2022-02-28 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ## **ANNUAL REPORTS FORM X-17A-5 PART** Ill OMS APPROVAL OMS Number; 3235-0123 Expires; Oct. 31, 2023 Estimated avera1ge burden hours per response: 12 | SEC FILE NUMBER | |-----------------| | 8-70014 | FACING PAGE Information Required Pursuant t o Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FILING FOR THE PERIOD BEGINNING 1 /1 /21 | | AND ENDING 12/31 /21 | | | | | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|----------------------|-----------------|--------------------------|--|--| | | ------~~~~~--<br>MM/DD/YY | | | MM/DD/ Y Y | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | NAME oF FIRM: Gray Oak Capital, LLC | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>0 Security-based swap dealer<br>D Major security-based swap participant<br>!!ii Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | 537 Steamboat Road, Suite 200 | | | | | | | | | (No. and Street) | | | | | | | Greenwich | CT | | | 06830 | | | | (City) | (State) | | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | Mark Halvorsen | (203) 987-0015 | | | markh@grayoakcapital.com | | | | (Name) | {Area Code - Telephone Number) | | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | Raich Ende Malter & Co. LLP | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | 1375 Broadway, 15th Floor | New York | | NY | 10018 | | | | (Address) | (City) | | (State) | (Zip' Code) | | | | 6/23/04 | | 50 | | | | | | T'• of<br>Regl.Uotlon with PCAOB)(;f •OPU"'ble I | | | | | | | | | FOR OFFICIAL USE ON LY | | | | | | • 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-S(e)(l)(ii), if applicable. Persons w ho are to respond to t…Read the full text as markdown