Full text of SIGNUM GROWTH CAPITAL LLC's X-17A-5 filed 2024-03-21 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **Signum Growth Capital LLC** **Statement of Financial Condition For the Year Ended December 31, 2023 With Report of Independent Registered Public Accounting Firm** {1}------------------------------------------------ **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 8-70297 SEC FILE NUMBER **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **01/01/2023** AND ENDING **12/3 <sup>1</sup> / <sup>2</sup> <sup>0</sup> <sup>2</sup> <sup>3</sup>** MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** # NAME oF FIRM: Sign um Growth Capital LLC TYPE OF REGISTRANT (check all applicable boxes): ■ Broker-dealer □ Security-based swap dealer D Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 23 WELLSFORD DRIVE | | (No. and Street) | | | | |----------------------------------------------|---------------------------------------------------------------------------|--------------------------|--|--| | GOSHEN | CT | 06756 | | | | (City) | (State) | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Richard Daniels | (212)751-4422 | RDaniels@dfppartners.com | | | | (Name) | (Area Code -Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | YSL & Associates LLC | | | | | | 11 Broadway, Suite 700 | New York | NY | 10004 | |---------------------------------------------------|-----------------------|---------|------------------------------------------------| | (Address) | (City) | (State) | (Zip Code) | | 06/06/2006 | | 2699 | | | rt• of<br>Registrntioe with PCAOBl(if applicable) | | | (PCAOB Regi mati oo N,mbec, if a ,otica bleJ I | | | FOR OFFICIAL USE ONLY | | | | | | | | \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(ii), if applicable. **Persons who are to respond to the collection of in…Read the full text as markdown