Full text of GRAY OAK CAPITAL, LLC's X-17A-5 filed 2026-03-31 (period 2025-12-31). 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: Nov. 30, 2026 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART Ill** | SEC FILE NUMBER | |-----------------| | 8-70014 | | Information Required Pursuant to Rules 17a-5, 17a-12, and lSa-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | | | | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------------|-----------------|--|--|--| | AND ENDING 12/3<br>FILING FOR THE PERIOD BEGINNING O 1/01 /25<br>1 /<br>2 5 | | | | | | | | MM/DD/YY | | | MM/DD/YY | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | NAME oF FIRM : Gray Oak Capital, LLC | | | | | | | | TYPE OF REG ISTRANT {check all applicable boxes):<br>C!J Broker-dealer<br>□ Securit y-based sw ap dealer<br>□ Check here if respondent is also an OTC derivatives dea ler | | □ Major security-based swap participant | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: {Do not use a P.O. box no.) | | | | | | | | 55 Old Field Point Road | | | | | | | | | (No. and Street) | | | | | | | Greenwich | CT | | 06830 | | | | | (City) | (Stat e) | | (Zip Code) | | | | | PERSON TO CONTACT WITH REGARD TO THIS FI LI NG | | | | | | | | Mark Halvorsen | (203) 987-0015<br>markh@grayoakcapital. com | | | | | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in t his f iling*<br>Rubio CPA, PC | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | 3500 Lenox Rd, NE Suite 1500 Atlanta | | GA | 30326 | | | | | (Address)<br>5/5/09 | (City) | (State)<br>3514 | (Zip Code) | | | | | | FOR OFFICIAL USE ONLY | | | | | | \* Claims for exemption from the requirement that t he annua l reports be covered by the reports of an independent public accou ntant must be supported by a st atement of facts and circumst ances relied on as t he basis of t he exempt ion. See 17 CFR 240.17a-S(e)(l)(ii), if applica ble. **Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently val…Read the full text as markdown