Full text of ADVENT CAPITAL DISTRIBUTORS, LLC's X-17A-5 filed 2021-02-26 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ## ADVENT CAPITAL DISTRIBUTORS, LLC ### STATEMENT OF FINANCIAL CONDITION ## (WITH REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM THEREON) DECEMBER 31, 2020 {1}------------------------------------------------ ### **CONTENTS** | Oath or Affirmation<br>Facing Page - | | |--------------------------------------------------------|-----| | Report oflndependent Registered Public Accounting Firm | 2 | | Statement of Financial Condition | 3 | | Notes to Financial Statement | 4-9 | {2}------------------------------------------------ UNITEO STATES ECURJTIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | OMB Number | | 3235-0123 | |------------|---------------------------|-----------| | | Expires October 31 2023 | | | | Estimated average burden | | | | nours per response 12 OC | | SEC FILE NUMBER 8. 70257 .. ### ANNUAL AUDITED REPORl FORM X-17A-5 PART Ill #### FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-S Thereunder | REPORT FOR Tl IE PERIOD BEGINNING | __<br>_<br>_ O::l:.:;/O::l:::/2:.::: 0::.:20::__ _ | _<br>_ AND ENDING | __<br>=----<br>___:1::.::2:!.; /3::.::1:!.;/2::.::0::. 20 | |---------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------|-------------------|-----------------------------------------------------------| | | MM/DOIYVVV | | MM1DDIYVYY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: | | | | | | | | OFFICIAL USE ONLY | | ADVENT CAPITAL DISTRIBUTORS, LLC<br>ADDRF.SS OF PRJNCIPAL PLACE OF BUSINESS: (Do not usc P.O. Box No. | | FIRMIO. NO | | | | | | | | | 888 Seventh Ave, 31st FL | | | | | (No and !>ttm) | | | | New York | NY | | 10019 | | | (SIIte) | | (ZipCodcl | | Alex von Ziegesar | | | 212-479-()656 | | | B. ACCOUNTANT IDENTIFICATION | | (Arc:> Code- Td~ No I | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report• | | | | | Citrin Cooperman & Company, LLP | | | | | | (Name-if indn'td110/, Slate ltut, lint. mu/4/e name) | | | | 290 WEST MOUNT PLEASANT AVE, STE 3310 | LIVINGSTON | NJ | 07039 | | (Addreu)<br>CHECK ONE:<br>(!) Certified Public Accountant<br>0 Public Accountant<br>0 Accowuant not resident in Unii.Cd States or any of its possessiom | (Cily) | (\$1<110) | | *•Claims for eumption frotrt* ~ *requirement that t…Read the full text as markdown