Full text of ADVENT CAPITAL DISTRIBUTORS, LLC's X-17A-5 filed 2022-03-18 (period 2021-12-31). 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, 2021 {1}------------------------------------------------ ### **CONTENTS** | Facing Page<br>-<br>Oath or Affirmation | | |------------------------------------------------------------|-----| | Report<br>of Independent Registered Public Accounting Firm | 2 | | Statement of Financial Condition | 3 | | Notes to Financial Statement | 4-9 | {2}------------------------------------------------ #### UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 #### ANNUAL REPORTS FORM X-17A-5 PART III | | OMB APPROVAL | | | |--------------------------|--------------------------|-----------|--| | OMB Number: | | 3235-0123 | | | | Expires: Oct 31, 2023 | | | | Estimated average burden | | | | | | hours per response 12.00 | | | | | SEC FILE NUMBER | | | | | 8 - 70257 | | | | | | | | #### FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | REPORT FOR THE PERIOD BEGINNING | 01/01/2021 | AND ENDING | 12/31/2021 | | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|----------------------------|--------------------------------------------|--| | | MM/DD/YYYY | | MM/DD/YYYY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: | Advent Capital Distributors, LLC | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>X Broker-dealer D Security-based swap dealer O Major security-based swap participant<br>C Check here if respondent is also an OTC derivatives dealer<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | | 888 Seventh Ave, 31st FL | | | | | | (No. and Street) | | | | | New York | NY | | 10079 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Alex Von Ziegesar | 212-479-0656 | avonziegesar@adventcap.com | | | | (Name) | (Area Code - Telephone No.) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing * | | | | | | | Citrin Cooperm…Read the full text as markdown