Full text of GRAY OAK CAPITAL, LLC's X-17A-5 filed 2023-03-01 (period 2022-12-31). 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** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 ## **ANNUAL REPORTS FORM X-17A-5 PART Ill** | SEC FILE NUMBER | |-----------------| | 8-70014 | **(PCAOB Registcatmo N,mbec,** ,f **applicable)** I **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 0 1/01 /22 | | AND ENDING | 12/31122 | | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------------|-----------------|-------------------------------------------| | MM/DD/YY | | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME oF FIRM: Gray Oak Capital, LLC | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>D Security-based swap dealer<br>i!!!i Broker-dealer<br>D 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.) | | | | | | 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*<br>Rubio CPA, PC | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 3500 Lenox Rd, NE Suite 1500 Atlanta | | | GA | 30326 | | (Address) | (City) | | (State) | (Zip Code) | | 5/5/09 | | | 3514 | | | l"<br>of RegistrnUoo with PCAOB)(if applicable) | | | | (PCAOB Registcatmo N,mbec, ,f applicable) | **FOR OFFICIAL USE ONLY** \* 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 who are to respond to the collection of information contained in this…Read the full text as markdown