# ULTRAVIOLET SECURITIES, LLC X-17A-5 (2020-08-19) — Broker-dealer annual report - Company: ULTRAVIOLET SECURITIES, LLC - Form: X-17A-5 - Filed: 2020-08-19 - Period: 2020-06-30 - Accession: 0001745013-20-000003 - CIK: 1745013 - File #: 8-70151 - Material weakness: No - Auditor: Untracht Early LLC - Auditor location: Florham Park, NJ - Contact: Gary Peterson - Phone: 7324508401 - Signed by: Gary Peterson (President) Original filing: https://www.sec.gov/Archives/edgar/data/1745013/000174501320000003/UVUV06302020.pdf --- {0}------------------------------------------------ FINANCIAL STATEMENTS REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM AND REPORT PURSUANT TO RULE 17a-5(d) JUNE 30, 2020 PERIOD MAY 29, 2018 (COMMENCEMENT OF OPERATIONS) TO {1}------------------------------------------------ ### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours per response ...... 12.00 ## **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** | | SEC FILE NUMBER | |----------|-----------------| | 8- 70151 | | **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING 05/29/18
AND ENDING 06/30/20 | | ----------- | | |-------------------------------------------------------------------|--------------------------------------------------------------------------|-------------|--------------------------------| | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME oF BROKER-DEALER: Ultraviolet Securities, LLC | | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | 151 Bodman Place, Suite 301 | | | | | | (No. and Street) | | | | Red Bank | NJ | 07701 | | | (City) | (State) | (Zip Code) | | | Gary Peterson
(732)450-7462 | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | | | (Area Code - Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | Untracht Early LLC | | | | | | (Name - (f individual, state last, first, middle name) | | | | | 325 Columbia Turnpike, Suite 202 Florham Park | NJ | 07932 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | It/ I
Certified Public Accountant | | | | | Public Accountant | | | | | B | Accountant not resident in United States or any of its possessions. | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240.17a-5(e)(2)* > **Potential 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 valid OM B control number.** {2}------------------------------------------------ ## **OATH OR AFFIRMATION** | I, Gary Peterson | , swear ( or affirm) that, to the best of | |-------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------| | | my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the finn of | | Ultraviolet Securities, LLC | --------------------------------------------, | | of June 30 | as
2020
are true and correct. I further swear (or affirm) that | | | neither the company nor any partner, proprietor, principal officer or director has any proprietary interest in any account | | classified solely as that of a customer, except as follows: | | **ANNMARIE CIMMINO Notary Public, State of New York Qualifled** in **Richmond County No. 01Cl61999747 My Commission Expires January 26, 20** *1* I President Title This report \*\* contains (check all applicable boxes): **0** (a) Facing Page. - **0** (b) Statement of Financial Condition. - **0** (c) Statement of Income (Loss) or, if there is other comprehensive income in the period(s) presented, a Statement of Comprehensive Income (as defined in §210.1-02 of Regulation **S-X).** - **0** ( d) Statement of Changes in Financial Condition. - **[a** ( e) Statement of Changes in Stockholders' Equity or Partners' or Sole Proprietors' Capital. - **D** (t) Statement of Changes in Liabilities Subordinated to Claims of Creditors. - - (h) Computation for Determination of Reserve Requirements Pursuant to Rule 15c3-3. - ~ (g) Computation of Net Capital. (i) Information Relating to the Possession or Control Requirements Under Rule 15c3-3. - D U) A Reconciliation, including appropriate explanation of the Computation ofNet Capital Under Rule l 5c3-1 and the Computation for Determination of the Reserve Requirements Under Exhibit A of Rule 15c3-3. - **0** (k) A Reconciliation between the audited and unaudited Statements of Financial Condition with respect to methods of consolidation. - - ~ (1) An Oath or Affirmation. (m) A copy of the SIPC Supplemental Report. - (n) A report describing any material inadequacies found to exist or found to have existed since the date of the previous audit. *\*\*For conditions of confidential treatment of certain portions of this filing, see section 2 40.17 a-5 ( e) (3).* {3}------------------------------------------------ ## **TABLE OF CONTENTS** | | Page | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------| | Report of Independent Registered Public Accounting Firm | 1 | | Financial Statements | | | Statement of Financial Condition | 2 | | Statement of Operations | 3 | | Statement of Changes in Member's Equity | 4 | | Statement of Cash Flows | 5 | | Notes to Financial Statements | 6-8 | | Supplemental Information | | | Schedule I - Computation of Net Capital Pursuant to Rule 15c3-1 of the Securities
and Exchange Commission | 9 | | Schedule II - Computation for Determination of Reserve Requirements and Information
Related to Possession or Control Requirements Under Rule 15c3-3 of the Securities
and Exchange Commission | 10 | | Additional Reports and Related Information | | | Report of Independent Registered Public Accounting Firm on
the Exemption from SEC Rule 15c3-3 Report | 11 | | Ultraviolet Securities, LLC's Exemption Report | 12 | {4}------------------------------------------------ ![](_page_4_Picture_0.jpeg) 325 Columbia Turnpike, Sui le 202 Florham Perl<, NJ 07932 ## **5(32572),1'(3(1'(175(\*,67(5('38%/,&\$&&2817,1\*),50** 7RWKH0HPEHURI 8OWUDYLROHW6HFXULWLHV//& #### **2SLQLRQRQWKH)LQDQFLDO6WDWHPHQWV** :HKDYHDXGLWHGWKHDFFRPSDQ\LQJ VWDWHPHQWRIILQDQFLDO FRQGLWLRQRI8OWUDYLROHW6HFXULWLHV//&DVRI -XQHWKHUHODWHGVWDWHPHQWVRIRSHUDWLRQVFKDQJHVLQPHPEHU¶VHTXLW\DQGFDVKIORZVIRUWKH SHULRG 0D\ FRPPHQFHPHQW RI RSHUDWLRQV WR -XQH DQG WKH UHODWHG QRWHV DQG VXSSOHPHQWDU\VFKHGXOHVFROOHFWLYHO\UHIHUUHGWRDVWKH³ILQDQFLDOVWDWHPHQWV´ ,QRXURSLQLRQWKHILQDQFLDO VWDWHPHQWVSUHVHQWIDLUO\LQDOOPDWHULDOUHVSHFWVWKHILQDQFLDOSRVLWLRQRI8OWUDYLROHW6HFXULWLHV//&DVRI -XQH DQG WKH UHVXOWV RI LWV RSHUDWLRQV DQG LWV FDVK IORZV IRU WKH SHULRG 0D\ FRPPHQFHPHQW RI RSHUDWLRQV WR -XQH LQ FRQIRUPLW\ ZLWK DFFRXQWLQJ SULQFLSOHV JHQHUDOO\ DFFHSWHGLQWKH8QLWHG6WDWHVRI\$PHULFD #### **%DVLVIRU2SLQLRQ** 7KHVH ILQDQFLDO VWDWHPHQWV DUH WKH UHVSRQVLELOLW\ RI 8OWUDYLROHW 6HFXULWLHV //&¶V PDQDJHPHQW 2XU UHVSRQVLELOLW\LVWRH[SUHVVDQRSLQLRQRQ8OWUDYLROHW6HFXULWLHV//&¶VILQDQFLDOVWDWHPHQWVEDVHGRQRXU DXGLW:HDUHDSXEOLFDFFRXQWLQJILUP UHJLVWHUHGZLWKWKH3XEOLF&RPSDQ\\$FFRXQWLQJ2YHUVLJKW%RDUG 8QLWHG6WDWHV ³3&\$2%´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¶V5HSRUWRQ6XSSOHPHQWDO,QIRUPDWLRQ** 7KH VXSSOHPHQWDO LQIRUPDWLRQ FRQWDLQHG LQ 6FKHGXOH , SDJH DQG 6FKHGXOH ,, SDJH KDV EHHQ VXEMHFWHG WR DXGLW SURFHGXUHV SHUIRUPHG LQ FRQMXQFWLRQ ZLWK WKH DXGLW RI 8OWUDYLROHW 6HFXULWLHV //&¶V ILQDQFLDO VWDWHPHQWV 7KH VXSSOHPHQWDO LQIRUPDWLRQ LV WKH UHVSRQVLELOLW\ RI 8OWUDYLROHW 6HFXULWLHV //&¶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¶VDXGLWRUVLQFH )ORUKDP3DUN1HZ-HUVH\ \$XJXVW {5}------------------------------------------------ ## **STATEMENT OF FINANCIAL CONDITION** #### **As of June 30, 2020** #### **Assets** | Cash
Deposits
Prepaid expenses | \$
29,500
1,215
71 | |----------------------------------------|-----------------------------| | Total assets | \$
30,786 | | Liabilities and member's equity | | | Accounts payable and other liabilities | \$
15,700 | | Total liabilities | 15,700 | | Member's equity | | | Capital contributions | 53,816 | | Net loss (current period) | (38,730) | | Total member's equity | 15,086 | | Total liabilities and member's equity | \$
30,786 | {6}------------------------------------------------ ### **STATEMENT OF OPERATIONS** | Period May 29, 2018 (Commencement of Operations) to June 30, 2020 | | | |-------------------------------------------------------------------|----|----------| | Revenue | | | | Total revenue | \$ | - | | Expenses | | | | Professional fees | | 25,226 | | General and administrative expenses | | 11,875 | | Insurance expense | | 1,629 | | Total expenses | | 38,730 | | Net loss | \$ | (38,730) | {7}------------------------------------------------ ## **STATEMENT OF CHANGES IN MEMBER'S EQUITY** | Period May 29, 2018 (Commencement of Operations) to June 30, 2020 | | | | |-------------------------------------------------------------------|----|--------------------|--| | | | Member's
Equity | | | Member's equity, beginning of period | \$ | - | | | Capital contributions | | 53,816 | | | Net loss | | (38,730) | | | Member's equity, end of period | \$ | 15,086 | | {8}------------------------------------------------ ## **STATEMENT OF CASH FLOWS** | Period May 29, 2018 (Commencement of Operations) to June 30, 2020 | | |-------------------------------------------------------------------|----------------| | | | | Cash flows from operating activities | | | Net loss | \$
(38,730) | | Adjustments to reconcile net loss to net cash used in | | | operating activities: | | | Changes in operating assets and liabilities: | | | Deposits | (1,215) | | Prepaid expenses | (71) | | Accounts payable and other liabilities | 15,700 | | Net cash used in operating activities | (24,316) | | Cash flows from financing activities | | | Capital contributions | 53,816 | | 5
Net cash provided by financing activities | 53,816 | | 5
Net increase in cash | 29,500 | | 5
Cash, beginning of period | - | | 5
Cash, end of period | \$
29,500 | {9}------------------------------------------------ ## **NOTES TO FINANCIAL STATEMENTS** **June 30, 2020** #### **1. Nature of operations** Ultraviolet Securities, LLC ( the "Company"), a Delaware limited liability company, was formed on May 29, 2018 and is headquartered in Red Bank, New Jersey. The Company is a broker-dealer in securities registered with the Securities and Exchange Commission (SEC) and is a member of the Financial Industry Regulatory Authority (FINRA). The Company is a wholly-owned subsidiary of Blueshift Holdings, LP (the "Parent"). The Company was formed to facilitate certain pre-trade compliance checks prior to routing for execution for its sister company, Blueshift Asset Management, LLC ("Blueshift"). The Company was approved as a FINRA member broker-dealer in April 2019. The Company's only customer is Blueshift and certain indirect costs incurred with this broker-dealer will be borne by the Parent via an Expense Sharing Agreement. The accompanying financial statements have been prepared from the separate records maintained by the Company and, due to certain transactions and agreements with Blueshift, such financial statements may not necessarily be indicative of the financial condition that existed, or the results that would have been obtained from operations, had the Company operated as an unaffiliated entity. ### **2. Summary of significant accounting policies** #### *Basis of Presentation* The financial statements are expressed in United States dollars and have been prepared in accordance with accounting principles generally accepted in the United States of America ("GAAP") as detailed in the Financial Accounting Standards Board's ("FASB") Accounting Standards Codification. #### *Use of Estimates* The preparation of the financial statements require management to make estimates and assumptions that address the reported amounts of assets and liabilities, the disclosure of contingent assets and liabilities at the date of the financial statements and the reported amounts of expenses during the reporting period. These estimates involve judgement with respect to, among other things, various future economic factors which are difficult to predict and beyond the control of the Company. Therefore, actual amounts could differ from these estimates. #### *Cash* Cash and cash equivalents may consist of cash and overnight time deposits in interest-bearing accounts and all highly liquid investments with maturities of three months or less when purchased. The Company maintains its own cash accounts, which are periodically funded with capital contributions from the Parent. All cash deposits are held by one financial institution and therefore are subject to the credit risk at that financial institution. The Company has not experienced any losses in such accounts and does not believe there to be any significant credit risk with respect to these deposits. #### *Deposits* Deposits consist of amounts deposited with FINRA. These deposits may be draw down from time-to-time by FINRA in satisfaction of license and other Company expenses owed to them. {10}------------------------------------------------ ## **NOTES TO FINANCIAL STATEMENTS** **June 30, 2020** ### **2. Summary of significant accounting policies (continued)** #### *Income Taxes* The accompanying financial statements contain no provisions for federal and state income taxes. The Company is treated as a flow-through entity for income tax purposes. As a result, the net taxable income or loss of the Company and any related tax credits, for federal income tax purposes, are deemed to pass to the Parent and are included in the Parent's members' personal tax returns even though such net taxable income or tax credits may not actually have been distributed. Accordingly, no tax provision has been made in the financial statements since the income tax is a personal obligation of the individual members of the parent. In accordance with GAAP, the Company is required to determine whether its tax positions are more likely than not to be sustained upon examination by the applicable taxing authority, based on the technical merits of the position. The tax benefit recognized is measured as the largest amount of benefit that is greater than a fifty percent likelihood of being realized upon ultimate settlement with the relevant taxing authorities. As of June 30, 2020, the Company did not have any unrecognized tax liabilities. #### **3. Net capital requirements** The Company is subject to the SEC Uniform Net Capital Rule (SEC Rule 15c3-1), which requires the maintenance of minimum net capital equal to the greater of \$5,000 or 6 2/3% of aggregate indebtedness and requires the ratio of aggregate indebtedness to net capital both as defined, should not exceed 15:1. At June 30, 2020, the Company had net capital of \$13,800 which was \$8,800 in excess of its required capital of \$5,000. The Company's ratio of aggregate indebtedness to net capital at June 30, 2020 was 1.1377 to 1.0. #### **4. Related-party transactions** The Company is a member of a group of affiliated entities. Certain employees of the Parent have been authorized to act for and on behalf of the Company as may be necessary to carry out its functions. The Parent, per an Expense Sharing Agreement, has agreed to assume liability for certain indirect expenses incurred by the Company. The value of the services provided by the Parent for the period ended June 30, 2020 was approximately \$1.12M. #### **5. Commitments and contingencies** The Parent of the Company is the named lessor of the Company's office space, therefore there are no commitments to the Company for the office lease. As of June 30, 2020, there were no claims or lawsuits brought by or against the Company. There were no material commitments or contingencies as of and for the period ended June 30, 2020. #### **6. Guarantees** FASB ASC 460, Guarantees, requires the Company to disclose information about its obligations under certain guarantee arrangements. FASB ASC 460 defines guarantees as contracts and indemnification agreements that contingently require a guarantor to make payments to the guaranteed party based on changes in an underlying factor (such as an interest or foreign exchange rate, security or commodity price, an index or the occurrence or {11}------------------------------------------------ ## **NOTES TO FINANCIAL STATEMENTS** **June 30, 2020** #### **6. Guarantees (continued)** nonoccurrence of a specified event) related to an asset, liability, or equity security of a guaranteed party. This guidance also defines guarantees as contracts that contingently require the guarantor to make payments to the guaranteed party based on another entity's failure to perform under an agreement as well as indirect guarantees of the indebtedness of others. The Company has issued no guarantees at June 30, 2020 or during the period then ended. #### **7. Member's equity** For the period ended June 30, 2020, the Company recorded \$53,816 in capital contributions from the Parent. #### **8. Concentrations** Cash held by financial institutions which exceed the Federal Deposit Insurance Corporation ("FDIC") limits of \$250,000 expose the Company to concentrations of credit risk. As disclosed in Note 1, the Company's only customer is Blueshift. There are no contracts between the Company and Blueshift that would entitle the Company to revenues for any services provided to Blueshift. #### **9. Subsequent events** For purposes of these financial statements, subsequent events have been evaluated from July 1, 2020 to August 18, 2020, which is the date that the financial statements were available to be issued. During this period, the Company received \$25,000 in capital contributions from the Parent. In March 2020, the World Health Organization declared the spread of the Coronavirus ("COVID-19") a worldwide pandemic. The pandemic has negatively impacted the global economy and is affecting financial markets, causing significant market volatility and erosion of market value. Federal, state, and local authorities have taken actions to both contain the spread of the virus while simultaneously providing substantial liquidity to individuals, businesses, and the financial markets to ensure markets continue to operate smoothly. The Company is actively monitoring the impact of COVID-19 on its business, financial condition, liquidity, operations, customer, and business partners. Based on information available as of the date of this report, the Company does not expect the pandemic to have a material adverse impact to its financial statements for the near term, although the Company is currently unable to estimate the long-term effects of the pandemic on its financial statements. During this period, the Company did not identify any other material recognizable subsequent events. {12}------------------------------------------------ ### **SUPPLEMENTAL INFORMATION** **Schedule I - Computation of Net Capital Pursuant to Rule 15c3-1 of the Security and Exchange Commission** | As of June 30, 2020 | | |------------------------------------------------------------------------------------------------------------------------------------------|--------------| | Total aggregate indebtedness | \$
15,700 | | Net capital: | | | Total member's equity | \$
15,086 | | Non-allowable assets: | | | Prepaid expenses | (1,215) | | Deposits | (71) | | Tentative net capital: | 13,800 | | Haircuts | - | | Net capital: | 13,800 | | Ratio of aggregate indebtedness to net capital | 113.77% | | Computation of basis net capital requirement:
Minimum net capital required
(Greater of \$5,000 or 6.67% of aggregate indebtedness) | | | 6.67% of aggregate indebtedness | \$
1,047 | | Net capital required | \$
5,000 | | Excess net capital | \$
8,800 | There are no material differences between the amounts presented in this computation of net capital and the corresponding amounts prepared by the Company as of the same date for inclusion in its unaudited Form X-17A-5 Part IIA FOCUS filing filed on July 13, 2020. {13}------------------------------------------------ ### **SUPPLEMENTAL INFORMATION** **Schedule II - Computation for Determination of Reserve Requirements and Information Related to Possession or Control Requirements Under Rule 15c3-3 of the Securities and Exchange Commission** ### **As of June 30, 2020** The Company does not carry securities accounts for customers nor does the Company perform custodial functions relating to customer securities. The Company is not claiming an exemption from SEA Rule 15c3-3, in reliance on footnote 74 to SEC Release 34-70073, dated July 30, 2013, and as discussed in Q&A 8 of the related FAQ issued by SEC staff on April 4, 2014. In order to avail itself of this option, the Company has represented that it does not, and will not, hold customer funds or securities, and that its business activities are, and will remain, providing technology or platform services limited to referring securities transactions to other broker-dealers. {14}------------------------------------------------ ![](_page_14_Picture_0.jpeg) 325 Columbia Turnpike, Suite 202 Florham Perk. NJ 07932 ## **5(32572),1'(3(1'(175(\*,67(5('38%/,&\$&&2817,1\*),50** 7RWKH0HPEHURI 8OWUDYLROHW6HFXULWLHV//& :HKDYHUHYLHZHGPDQDJHPHQW VVWDWHPHQWVLQFOXGHGLQWKHDFFRPSDQ\LQJ([HPSWLRQ5HSRUWLQZKLFK 8OWUDYLROHW6HFXULWLHV//&FODLPHGLWKDGQRREOLJDWLRQVXQGHU&)5FWKH³H[HPSWLRQ SURYLVLRQV DQG 8OWUDYLROHW6HFXULWLHV//&VWDWHGWKDW8OWUDYLROHW6HFXULWLHV//&KDGQRREOLJDWLRQV XQGHU &)5 F WKURXJKRXW WKH PRVW UHFHQW ILVFDO SHULRG ZLWKRXW H[FHSWLRQ 8OWUDYLROHW 6HFXULWLHV //&¶V PDQDJHPHQW LV UHVSRQVLEOH IRU FRPSOLDQFH ZLWK WKH H[HPSWLRQ SURYLVLRQV DQG LWV VWDWHPHQWV 2XUUHYLHZZDVFRQGXFWHGLQDFFRUGDQFHZLWKWKHVWDQGDUGVRIWKH3XEOLF&RPSDQ\\$FFRXQWLQJ2YHUVLJKW %RDUG8QLWHG6WDWHV DQGDFFRUGLQJO\LQFOXGHGLQTXLULHVDQGRWKHUUHTXLUHGSURFHGXUHVWRREWDLQHYLGHQFH DERXW8OWUDYLROHW6HFXULWLHV//&¶VFRPSOLDQFHZLWKWKHH[HPSWLRQSURYLVLRQV\$UHYLHZLVVXEVWDQWLDOO\OHVV LQ VFRSHWKDQDQH[DPLQDWLRQWKHREMHFWLYHRIZKLFKLVWKHH[SUHVVLRQRIDQRSLQLRQRQPDQDJHPHQW V VWDWHPHQWV\$FFRUGLQJO\ZHGRQRWH[SUHVVVXFKDQRSLQLRQ %DVHGRQRXUUHYLHZZHDUHQRWDZDUHRIDQ\PDWHULDOPRGLILFDWLRQVWKDWVKRXOGEHPDGHWRPDQDJHPHQW V VWDWHPHQWVUHIHUUHGWRDERYHIRUWKHPWREHIDLUO\VWDWHGLQDOOPDWHULDOUHVSHFWVEDVHGRQWKHSURYLVLRQV VHWIRUWKLQ5XOHFXQGHUWKH6HFXULWLHV([FKDQJH\$FWRI )ORUKDP3DUN1HZ-HUVH\ \$XJXVW {15}------------------------------------------------ ### **ADDITIONAL REPORTS AND RELATED INFORMATION Ultraviolet Securities, LLC's Exemption Report** Ultraviolet Securities, LLC (the "Company") is a registered broker-dealer subject to Rule 17a-5 promulgated by the Securities and Exchange Commission (17 C.F.R. § 240.17a-5, "Reports to be made by certain brokers and dealers"). This Exemption Report was prepared as required by 17 C.F.R §240.17a-5{d){1)and(4). To the best of its knowledge and belief, the Company states the following: 1. The Company may file an Exemption Report because the Company had no obligations under 17 C.F.R. §240.15c3-3. 2. The Company had no obligations under 17 C.F.R. § 240.15c3-3 throughout the most recent fiscal period without exception. Ultraviolet Securities, LLC I, Gary Peterson, affirm that, to my best knowledge and belief, this Exemption Report is true and correct. Gary Pet **Date:** *?J002>D* Source: SEC EDGAR via Adviser Search (https://search.stillhousedata.com). Agents: see https://search.stillhousedata.com/llms.txt.