# ARCVIEW CAPITAL, LLC X-17A-5 (2022-03-31) — Broker-dealer annual report - Company: ARCVIEW CAPITAL, LLC - Form: X-17A-5 - Filed: 2022-03-31 - Period: 2021-12-31 - Accession: 0001792363-22-000002 - CIK: 1792363 - File #: 8-70439 - Type: Broker-dealer - Material weakness: No - Auditor: Romeo and Chiaverelli CPAs - Auditor location: Bala Cynwyd, PA - Contact: Philip Ciantro - Phone: 646-226-9300 - Email: philip.ciantro@arcviewcapital.com - Website: arcviewcapital.com - Signed by: Philip Rothman (CEO) Original filing: https://www.sec.gov/Archives/edgar/data/1792363/000179236322000002/arcview2021b.pdf --- {0}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | OMB APPROVAL | |----------------------------| | OMB Number: 3235-0123 | | Expires: Oct. 31, 2023 | | Estimated average burden | | ( 2
hours per response. | # ANNUAL REPORTS FORM X-17A-5 PART III | | SEC FILE NUMBER | | | | |---------|-----------------|--|--|--| | | | | | | | 8-70439 | | | | | | | 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 01/01/2021 ___________________________________________________________________________________________________________________________________ | | | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF FIRM: Arcview Capital LLC | | | | | TYPE OF REGISTRANT (check all applicable boxes):
Broker-dealer
! ] Check here if respondent is also an OTC derivatives dealer | _ Security-based swap dealer
LJ Major security-based swap participant | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | 159 20th Street | | | | | | (No. and Street) | | | | Brooklyn | NY | | 11232 | | (City) | (State) | | (Zip Cude) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Philip Ciantro | 646-226-9300 | | philip.ciantro@arcviewcapital.com | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | Romeo & Chiaverelli CPAs | | | | | | (Name - if individual, state last, first, and middle name) | | | | | One Bala Ave Ste 234 Bala Cynwyd | PA | 19004 | | (Address)
09/01/2009 | (City) | (State)
3721 | (Zip Code) | | (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 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-5(e)(1)(ii), if applicable. 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 OMB control number. {1}------------------------------------------------ #### OATH OR AFFIRMATION 1. Philip Rothman \_ swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of Arcview Capital . as of 12/31 is true and correct. I further swear (or affirm) that neither the company nor any partner, officer, director, or equivalent person, as the case may proprietary interest in any account classified solely as that of a customer. Notaky Public Signature: Title: Chief Executive Officer This filing \*\* contains (check all applicable boxes): - (a) Statement of financial condition. - (b) Notes to consolidated statement of financial condition. - (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). ASHLYN DIGIROLAMO Notary Public. State of Connecticut My Commission Expires Oct 31, 2024 - (d) Statement of cash flows. - = (e) Statement of changes in stockholders' or partners' or sole proprietor's equity. - [f) Statement of changes in liabilities subordinated to claims of creditors. - (g) Notes to consolidated financial statements. - (h) Computation of net capital under 17 CFR 240.15c3-1 or 17 CFR 240.18a-1, as applicable. - [ (i) Computation of tangible net worth under 17 CFR 240.18a-2. - [] Computation for determination of customer reserve requirements pursuant to Exhibit A to 17 CFR 240.15c3-3. - [ {k) Computation for determination of security-based swap reserve requirements pursuant to Exhibit B to 17 CFR 240.15c3-3 or Exhibit A to 17 CFR 240.18a-4, as applicable. - [1) Computation for Determination of PAB Requirements under Exhibit A to § 240.15c3-3. - [m) Information relating to possession or control requirements for customers under 17 CFR 240.15c3-3. - O (n) Information relating to possession or control requirements for security-based swap customers under 17 CFR 240.15c3-3(p)(2) or 17 CFR 240.18a-4, as applicable. - O (o) Reconciliations, including appropriate explanations, of the FOCUS Report with computation of net capible net worth under 17 CFR 240.15c3-1, 17 CFR 240.18a-1, or 17 CFR 240.18a-2, as applicable, and the reserve requirements under 17 CFR 240.15c3-3 or 17 CFR 240.18a-4, as applicable, if material differences exist, or a statement that no material differences exist. - [p] Summary of financial data for subsidiaries not consolidated in the statement of financial condition. - | (q) Oath or affirmation in accordance with 17 CFR 240.17a-5, 17 CFR 240.17a-12, or 17 CFR 240.18a-7, as applicable. - [r) Compliance report in accordance with 17 CFR 240.17a-5 or 17 CFR 240.18a-7, as applicable. - [s) Exemption report in accordance with 17 CFR 240.17a-5 or 17 CFR 240.18a-7, as applicable. - [t] Independent public accountant's report based on an examination of the statement of financial condition. - [u] Independent public accountant's report based on an examination of the financial statements under 17 CFR 240.17a-5, 17 CFR 240.18a-7, or 17 CFR 240.17a-12, as applicable. - [ (v] Independent public accountant's report based on an examination of certain statements in the compliance report under 17 CFR 240.17a-5 or 17 CFR 240.18a-7, as applicable. - [w] Independent public accountant's report based on a review of the exemption report under 17 CFR 240.17a-5 or 17 CFR 240.18a-7, as applicable. - [ {x] Supplemental reports on applying agreed-upon procedures, in accordance with 17 CFR 240.17a-12, as applicable. - [ {y) Report describing any material inadequacies found to have existed since the date of the previous audit, or a statement that no material inadequacies exist, under 17 CFR 240.17a-12(k). - □ (z) Other: \_ - \*\* To request confidential treatment of certain portions of this filing, see 17 CFR 240.17a-5(e)(3) or 17 CFR 240.18a-7(d)(2), as applicable. {2}------------------------------------------------ 9>1>391<)D1D5=5>DC1>4)E@@<5=5>D16?B=1D9?>G9D8(5@?BD?6!>45@5>45>D(579CD5B54 'E2<9333?E>D9>79B= ## (,!-'!\*### \$( {3}------------------------------------------------ # ARCVIEW CAPITAL, LLC December 31, 2021 # Table of Contents | Report of Independent Registered Public Accounting Firm | | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--| | Financial Statements | | | Statement of Financial Condition | | | Statement of Operations | | | Statement of Changes in Members' Equity | | | Statement of Cash Flows | | | Notes to Financial Statements | | | Supplementary Information | | | Schedule I - Computation of Net Capital under Rule 15c3-1 of the Securities and Exchange Commission. 10 | | | Schedule II- Computation for Determination of Reserve Requirements Pursuant to Rule 15c3-3 11
Exemption Report Review of Independent Registered Public Accounting Firm
Exemption Report Pursuant to Securities and Exchange Commission Rule 17a5(d)(4) | | {4}------------------------------------------------ ### ROMEO & CHIAVERELLI LLC CERTIFIED PUBLIC ACCOUNTANTS ONE BALA AVENUE SUITE 234 BALA CYNWYD. PA 19004 ## REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Members of: Arcview Capital. LLC #### Opinion on the Financial Statements We have audited the accompanying statement of financial condition of Arcview Capital, LLC(the "Company"), as of December 31, 2021, and the related statements of operations, changes in members' equity and cash flows for the year then ended, and the related notes and supplementary information (collectively referred to as the "financial statements"). In our opinion, the financial statements present fairly, in all material respects, the financial position of the Company as of December 31, 2021, and the results of its operations and its cash flows for the year ended December 31, 2021, in conformity with accounting principles generally accepted in the United States of America. #### Basis for Opinion These financial statements are the responsibility of the Company's management. Our responsibility is to express an opinion on these financial statements based on our audit. We are a public accounting firm registered with the Public Company Accounting Oversight Board (United States) ("PCAOB") and are required to be independent with respect to the Company in accordance with the U.S. federal securities laws and the applicable rules and regulations of the Securities and Exchange Commission and the РСАОВ. We conducted our audit in accordance with the standards of the PCAOB. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement, whether due to error or fraud. Our audit included performing procedures to assess the risks of material misstatement of the financial statements, whether due to error or fraud, and performing procedures that respond to those risks. Such procedures included examining, on a test basis, evidence regarding the amounts and disclosures in the financial statements. Our audit also included evaluating the accounting principles used and significant estimates made by management, as well as evaluating the overall presentation of the financial statements. We believe that our audit provides a reasonable basis for our opinion. #### Auditor's Report on Supplementary Information The supplementary information, the Computation of Net Capital under Rule 15c3-1 of the Securities and Exchange Commission and the Computation for Determination of Reserve Requirements and Information Relating to Possession or Control Requirements Under Rule 15c3-3 of the Securities and Exchange Commission OR contained in schedules I and II,has been subjected to audit procedures performed in conjunction with the audit of the Company's financial statements. The supplementary information is the responsibility of the Company's management. Our audit procedures included determining whether the {5}------------------------------------------------ supplementary information reconciles to the financial statements or the underlying accounting and other records, as applicable, and performing procedures to test the completeness and accuracy of the information presented in the supplementary information. In forming our opinion on the supplementary information, we evaluated whether the supplementary information, including its form and content, is presented in conformity with 17 C.F.R. § 240.17a-5. In our opinion, the supplementary information is fairly stated, in all material respects, in relation to the financial statements as a whole. We have served as the Company's auditor since 2021. March 31, 2022 Bala Cynwyd, PA 19004 {6}------------------------------------------------ # ARCVIEW CAPITAL, LLC Statement of Financial Condition December 31, 2021 | Assets | | |---------------------------------------|--------------| | Cash | S
36,867 | | Accounts receivable | 28,589 | | Prepaid expenses | 12,683 | | Total assets | S
78,139 | | Liabilities and Members' Equity | | | Accounts payable and accrued expenses | ea
18,591 | | Total liabilities | 18,591 | | Members' equity | | | Total members' equity | 59,548 | | Total liabilities and members' equity | S
78,139 | {7}------------------------------------------------ ## ARCVIEW CAPITAL, LLC Statement of Operations For the Year ended December 31, 2021 #### Revenue | Advisory fees | S
77,590 | |-------------------------------|--------------| | Placement fees | 147,988 | | Consulting fees | 53,400 | | Other revenue | 13,784 | | Total revenue | 292,762 | | Expenses | | | Compensation and benefits | S
352,917 | | Occupancy and equipment | 8,051 | | Technology and communications | 149,108 | | Regulatory fees | 21,104 | | Other | 137,892 | | Total expenses | 669,072 | | Net loss | | | | (376,310) | {8}------------------------------------------------ ## ARCVIEW CAPITAL, LLC Statement of Changes in Members' Equity Year Ended December 31, 2021 | | | Total | |----------------------------------|---|-----------| | Members' equity December 31,2019 | S | 106,363 | | Net loss | | (376,310) | | Member contribution | | | | | | 329,495 | | Balance at December 31, 2021 | S | 59,548 | {9}------------------------------------------------ ## ARCVIEW CAPITAL, LLC Statement of Cash Flows Year ended December 31, 2021 | Cash flows from operating activities: | | | |-----------------------------------------------|-----|-----------| | Net loss | ಕಿತ | (376,310) | | Adjustments to reconcile net loss to net cash | | | | provided by operating activities: | | | | Decrease in operating assets: | | | | Accounts receivable | | 5,050 | | Prepaid expenses and other assets | | 53,694 | | Increase in operating liabilities: | | | | Accounts payable and accrued expenses | | 5,729 | | Net cash provided by operating activities | | 64,473 | | Net cash provided by financing activities | | | | Member capital contributions | | 329,495 | | Net increase in cash | | 17,658 | | Cash, cash equivalents - beginning of year | | 19,209 | | Cash, cash equivalents - end of year | S | 36,867 | {10}------------------------------------------------ #### (,!-'!\*### *%\$% %%%\$* \$( #### EC9>5CC1>4)E==1BI?6)97>96931>D33?E>D9>7 '?<9395C #### EC9>5CC B3F95G1@9D1<## -D85?=@1>I-9C1#9=9D54#9129<9DI?=@1>I6?B=54?>9>D85 )D1D5?65<1G1B5 6653D9F5"E>5 D85?=@1>I3?==5>354?@5B1D9?>CG85>9D 2531=5B579CD5B54G9D8D85)53EB9D95C1>4H381>75?==9CC9?>L)M1C1C53EB9D95C 2B?;5B 451<5B1>4B5359F541@@B?F1<6B?=1>42531=51=5=25B?6D859>1>391< !>4ECDBI (57E<1D?BIED8?B9DI -!%(- C 1 <9=9D54 <9129<9DI 3?=@1>I D85 =5=25B 9C >?D <912<5 6?B D85 452DC ?2<971D9?>C ?B <9129<9D95C?6D85?=@1>IG85D85B1B9C9>79>3?>DB13DD?BD?B?D85BG9C5E><5CCD85=5=25B 81CC97>541C@5396937E1B1>D55 #### 1C9C?6'B5C5>D1D9?> \*85?=@1>INC 69>1>391< CD1D5=5>DC81F5255>@B5@1B549>133?B41>35G9D8133?E>D9>7 @B9>39@<5C75>5B1<D85+>9D54)D1D5C?6=5B931L+)'M (5F5>E59C B53?7>9J54G85>51B>54G89<55H@5>C5C1>49J54G85>9>3EBB54 #### 1C8 \*85?=@1>I=19>D19>C9DC21>;133?E>DC9>89783B549DAE1<9DI9>CD9DED9?>C 1<1>35C1D D9=5C=1I5H35546545B1<CEB54<9=9DC \*853?=@1>I81C>?D5H@5B95>3541>I CE38133?E>DC1>425<95F5C9D9C>?D5H@?C54D?1>IC97>96931>DB9C; ### (5F5>E5(53?7>9D9?> \*85 9>1>391< 33?E>D9>7 )D1>41B4C?1B4 L)M 81C9CCE54 1 3?=@B585>C9F5 >5G B5F5>E5B53?7>9D9?>CD1>41B4D81DCE@5BC545C=?CD5H9CD9>7B5F5>E5B53?7>9D9?>7E941>35 E>45B+ ) ')33?E>D9>7)D1>41B4C?496931D9?>L)M *'&# %#%\$(%&\$% #\$*L) M \*853?B5@B9>39@<5?6) 9CD81D13?=@1>IC8?E<4B53?7>9J5B5F5>E5G85>9DDB1>C65BC 7??4C ?B C5BF935C D? 3ECD?=5BC 9> 1=?E>DC D81D B56<53D D85 3?>C945B1D9?> D85 ?=@1>I 5H@53DCD?B5359F56?BD8?C57??4C?BC5BF935C ) @B5C3B925C169F5 CD5@@B?35CCD? 133?=@<9C8D89C3?B5@B9>39@<59>37 - 9 !45>D96931D9?>?6D853?>DB13DG9D8D853ECD?=5B - 99 !45>D96931D9?>?6D85@5B6?B=1>35?2<971D9?>C9>D853?>DB13D - 999 5D5B=9>1D9?>?6D85DB1>C13D9?>@B935 - 9F <?6D85DB1>C13D9?>@B935D?D85@5B6?B=1>35?2<971D9?>C9>D853?>DB13D - F (53?7>9D9?>?6B5F5>E5G85>?B1CD85@5B6?B=1>35?2<971D9?>9CC1D9C6954 {11}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| #### )D1D5=5>D@EBCE1>DD?'1B17B1@84?6(E<5 1 \*85B5 1B5 >? =1D5B91< 49665B5>35C 25DG55> D85 12?F5 3?=@ED1D9?> 1>4 D85 3?=@ED1D9?> 9> D85 ?=@1>INC3?BB5C@?>49>7E>1E49D54?B=. 1 '1BD!!1C?6535=25B {15}------------------------------------------------ # ARCVIEW CAPITAL, LLC Schedule II- Determination of Reserve Requirements Pursuant to Rule 15c3-3 DECEMBER 31, 2021 The company is exempt from the provision of Rule 15c3-3 as of December 31, 2021, under the Securities Exchange Act of 1934, under paragraph (k)(2)(i) of that Rule. {16}------------------------------------------------ # ARCVIEW CAPITAL, LLC #### Management Report Regarding Exemption from Rule 15c3-3 Arcview Capital, LLC, Inc. (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 confirms the following: (1) The Company claimed an exemption from 17 C.F.R. § 240.15c3-3 under the provisions of 17 C.F.R. § 240.15c3-3 (k)(2)(i) (2) The Company met the identified exemption provisions in 17 C.F.R. § 240.15c3-3(k)(2)(i) throughout the most recent fiscal year without exception. Arcview Capital, LLC, Inc. I, Philip Rothman, swear (or affirm) that, to my best knowledge and belief, this Exemption Report is true and correct. Philip A. Rothman Title: Chief Executive Officer March 31, 2022 {17}------------------------------------------------ ### ROMEO & CHIAVERELLI LLC ONE BALA AVENUE SUITE 234 BALA CYNWYD, PA 19004 ### Report of Independent Registered Public Accounting Firm Exemption Report Review To the Members of: Arcview Capital, LLC We have reviewed management's statements, included in the accompanying Exemption Report, on which Arcview Capital, LLC identified the following provisions of 17 C.F.R. ~15c3-3 under which Arcview Capital, LLC claimed no obligations under 17 C.F.R. ~240.15c3-3. Arcview Capital, LLC stated that Arcview Capital, LLC had no obligations throughout the most recent fiscal year without exception. Arcview Capital, LLC's management is responsible for compliance with the exemption provisions and its statements. Our review was conducted in accordance with the standards of the Public Company Accounting Oversight Board (United States) and, accordingly, included inquiries and other required procedures to obtain evidence about Arcview Capital, LLC's compliance with the exemption provisions. A review is substantially less in scope than an examination, the objective of which is the expression of an opinion on management's statements. Accordingly, we do not express such an opinion. Based on our review, we are not aware of any material modifications that should be made to management's statements referred to above for them to be fairly stated, in all material respects, based on the provisions set forth in paragraph 17 C.F.R. of Rule 15c3-3 under the Securities Exchange Act of 1934. Romeo & Chiaverelli, LLC Bala Cynwyd, PA March 31, 2022 Source: SEC EDGAR via Adviser Search (https://search.stillhousedata.com). Agents: see https://search.stillhousedata.com/llms.txt.