Full text of CAROFIN, LLC's X-17A-5 filed 2026-04-14 (period 2025-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | SECURITIES AND EXCHANGE COMMISSION | _______ OMB APPROVAL<br>0MB Number: 3235-0123<br>Expires: Nov. 30, 2026 | | | | | | | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------|----------------------|-------------------------------------|--|--|--|--| | | Estimated average burden<br>hours per response:<br>12 | | | | | | | | ANNUAL<br>REPORTS | | | SEC FILE NUMBER | | | | | | X-17A-5<br>FORM | | | 8-70224 | | | | | | PART<br>I1U | | | | | | | | | (<br>FACING PAGE<br>Information Required Pursuant to Rules 17a-5,17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | | | | FILING FOR THE PERIOD BEGINNING | 1/1/2025 | AND END NG | 12/31/2025 | | | | | | | MM/DD/YY | | MM/DD/YY | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | name of firm: Carofin,<br>LLC | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>H<br>Major<br>Broker-dealer<br>Security-based swap dealer<br>security-based swap participant<br>Check here if respondent is also an OTC derivatives dealer | | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | | Club<br>100<br>Elks<br>Rd. | | | | | | | | | | (No. and Street) | | | | | | | | Brevard | NC | | 28712 | | | | | | (City) | (State) | | (Zip Code) | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | Nicholas<br>Gilmore<br>Craig | (828)<br>393-0088 | cgilmore@carofin.com | | | | | | | (Name) | (Area Code -Telephone<br>Number) | | (Email Address) | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | | Goldman<br>Company<br>& | CPAs<br>PC | | | | | | | | (Name -if | individual, state last, first, and middle name) | | | | | | | | 3535<br>Rosewell<br>Rd.,<br>Ste. | 32<br>Marietta | GA | 30062 | | | | | | (Address)<br>6/25/2009______________________________ | (City) | (State) | (Zip Code)<br>1952_______________ | | | | | | (Date of Registration with PCAOB)(if | applicable)(PCAOB | | Registration Number, if applicable) | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | * Claims for exemption from the requirement that the annual reports be covered by the reports of an indepen…Read the full text as markdown