# PROOF SERVICES LLC X-17A-5 (2026-03-02) — Broker-dealer annual report - Company: PROOF SERVICES LLC - Form: X-17A-5 - Filed: 2026-03-02 - Period: 2025-12-31 - Accession: 0001794627-26-000001 - CIK: 1794627 - File #: 8-70450 - Type: Broker-dealer - Material weakness: No - Auditor: Rubio CPA, PC - Auditor location: Atlanta, GA - Contact: Dan Aisen - Phone: 2404182486 - Email: dan@prooftarding.com - Website: prooftarding.com - Signed by: Dan Aisen (CCO) Original filing: https://www.sec.gov/Archives/edgar/data/1794627/000179462726000001/1psfull26.pdf --- {0}------------------------------------------------ ![](_page_0_Picture_0.jpeg) PROOF SERVICES, LLC FINANCIAL STATEMENTS WITH REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM > FOR THE YEAR ENDED DECEMBER 31, 2025 {1}------------------------------------------------ | 8-70450 | | |---------|--| | | 01/01/2025 | 12/31/2025 | | | | | |-------------------------------|--------------|------------|----------------------|--|--|--| | | | | | | | | | | | | | | | | | Proof Services, LLC | | | | | | | | ■ | | | | | | | | | | | | | | | | 176 Broadway #15D, | | | | | | | | | | | | | | | | New York | NY | | 10038 | | | | | | | | | | | | | | | | | | | | | Dan Aisen | 240-418-2486 | | dan@prooftarding.com | | | | | | | | | | | | | | | | | | | | | Rubio CPA, PC | | | | | | | | | | | | | | | | 3500 Lenox Road NE Suite 1500 | Atlanta | GA | 30326 | | | | | | | 3514 | | | | | | | | | | | | | | | | | | | | | | | | | | | | | {2}------------------------------------------------ #### OATH OR AFFIRMATION I. Dan Aisen \_, swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of Proof Services, LLC as of 12/31 , 2 025 , 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 be, has any proprietary interest in any account classified solely as that of a customer. Title. CFO and CCO Notary Public #### 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). - (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. - [i] 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. - [ (I) 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) Reconciliations, including appropriate explanations, of the FOCUS Report with computation of net capital or tangible 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. - [ \ ] 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 240.170-5(e)(3) or 17 CFR 240.180-7(d)(2), as applicable. {3}------------------------------------------------ ## CONTENTS ## PAGE | REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM | 1-2 | |-----------------------------------------------------------------------------------------------|-----| | FINANCIAL STATEMENTS | | | Statement of Financial Condition | 3 | | Statement of Operations | 4 | | Statement of Changes in Members' Equity | 5 | | Statement of Cash Flows | 6 | | Notes to Financial Statements 7-10 | | | SUPPLEMENTAL INFORMATION –
SCHEDULE I: COMPUTATION OF NET CAPITAL UNDER RULE 15c3-1 | 11 | | SCHEDULE II: Computation for Determination of
Reserve Requirements Under Rule 15c3-3 | 12 | | SCHEDULE III: Information Relating to Possession or Control Requirements
Under Rule 15c3-3 | 13 | | REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
ON THE COMPANY'S EXEMPTION REPORT | 14 | | Exemption Report Pursuant to Rule 17a-5 –
of the Securities and Exchange Commission | 15 | {4}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{5}------------------------------------------------ in conformity with 17 C.F.R. §240.17a-5. In our opinion, the aforementioned supplemental 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 2024. February 27, 2026 Atlanta, Georgia ![](_page_5_Picture_3.jpeg) {6}------------------------------------------------ #### STATEMENT OF FINANCIAL CONDITION #### DECEMBER 31, 2025 #### ASSETS | Cash | \$
830,197 | |----------------------------------------------------------------------|-----------------| | Deposits with clearing brokers | 700,000 | | Due from clearing brokers | 246,957 | | Accounts receivable, net of allowance for credit losses of \$ 21,336 | 355,845 | | Prepaid expenses and other assets | 14,010 | | TOTAL ASSETS | \$ 2,147,009 | | LIABILITIES AND MEMBERS' EQUITY | | | LIABILITIES | | | Accounts payable and accrued expenses | \$
225,086 | | Commissions payable | 108,094 | | Due to clearing broker | 5,583 | | Due to member | 99,038 | | TOTAL LIABILITIES | 437,801 | | MEMBERS' EQUITY | 1,709,208 | | TOTAL LIABILITIES AND MEMBERS' EQUITY | \$
2,147,009 | {7}------------------------------------------------ #### STATEMENT OF OPERATIONS #### FOR THE YEAR ENDED DECEMBER 31, 2025 | REVENUES | | |------------------------------------------|-----------------| | Commissions and fees | \$
5,475,040 | | Interest | 218 | | TOTAL REVENUES | 5,475,258 | | EXPENSES | | | Commissions, compensations and benefits | 2,380,232 | | Technology, data and communication costs | 1,131,961 | | Brokerage, exchange and clearance fees | 955,879 | | Other | 162,663 | | Occupancy | 35,254 | | TOTAL EXPENSES | 4,665,989 | | NET INCOME | \$
809,269 | {8}------------------------------------------------ ## STATEMENT OF CHANGES IN MEMBERS' EQUITY ## FOR THE YEAR ENDED DECEMBER 31, 2025 | BALANCE - BEGINNING OF YEAR | \$ 1,499,939 | |-----------------------------|--------------| | Distributions | (600,000) | | Net income | 809,269 | | BALANCE - END OF YEAR | \$ 1,709,208 | {9}------------------------------------------------ #### STATEMENT OF CASH FLOWS #### FOR THE YEAR ENDED DECEMBER 31, 2025 | OPERATING ACTIVITIES | | |-----------------------------------------------------------------------------------|---------------| | Net income | \$
809,269 | | Adjustments to reconcile net income to net cash provided by operating activities: | | | (Increase) decrease in operating assets: | | | Deposits with clearing brokers | (100,000) | | Due from clearing brokers | 9,792 | | Accounts receivable | (33,350) | | Prepaid expenses and other assets | 45,345 | | Increase (decrease) in operating liabilities: | | | Accounts payable and accrued expenses | 80,199 | | Commissions payable | 108,094 | | Due to clearing broker | (1,780) | | Due to member | 96,315 | | NET CASH PROVIDED BY OPERATING ACTIVITIES | 1,013,884 | | FINANCING ACTIVITIES | | | Distributions | (600,000) | | CASH USED BY FINANCING ACTIVITIES | (600,000) | | NET INCREASE IN CASH | 413,884 | | CASH - BEGINNING OF YEAR | 416,313 | | CASH - END OF YEAR | \$
830,197 | {10}------------------------------------------------ #### NOTES TO FINANCIAL STATEMENTS ## DECEMBER 31, 2025 #### NOTE 1 - ORGANIZATION AND NATURE OF BUSINESS Proof Services, LLC (the "Company") began operations on October 16, 2019, and is registered as an introducing broker with the Securities Exchange Commission ("SEC") and is a member of the Financial Industry Regulatory Authority ("FINRA). The Company has contractual agreements with two clearing brokers. The clearing brokers carry the accounts of the Company's customers on their books. The Company earns commissions from transactions conducted by other broker dealers/institutions whose users employ the technologies/software offered by one of the Company's members, Proof Trading, Inc. As a limited liability company, the members' liability is limited to their investment. ## NOTE 2 – SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES #### Basis of Financial Statement Presentation The financial statements are presented on the accrual basis of accounting in conformity with accounting principles generally accepted in the United States of America ("GAAP"). #### Use of Estimates The preparation of financial statements in conformity with GAAP requires management to make estimates and assumptions that affect the reported amounts of assets and liabilities and disclosure of contingent assets and liabilities at the date of the financial statements and the reported amounts of revenues and expenses during the reporting period. Actual results could differ from those estimates. #### Cash The Company maintains its bank account in a high credit quality financial institution. The balance at times may exceed federally insured limits. The Company has not experienced any losses in such accounts and does not believe it is exposed to any significant credit risk on cash. #### Accounts Receivable Accounts receivable are non-interest-bearing uncollateralized obligations receivable in accordance with the terms agreed upon with each customer. The carrying amount of accounts receivable is reduced by an allowance for credit losses, as necessary, to reflect management's best estimate of the amounts that will not be collected. The Company considers factors such as historical experience, credit quality, age of balances and current and future economic conditions in determining the allowance for credit losses. Based on the Company's review, an allowance for credit losses has been established in the amount of \$21,336 at December 31, 2025. {11}------------------------------------------------ ### NOTES TO FINANCIAL STATEMENTS ## DECEMBER 31, 2025 ## NOTE 2 – SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES (CONTINUED) #### Clearing Agreements The Company has agreements with clearing brokers to execute and clear, on a fully disclosed basis, customer accounts of the Company. In accordance with these agreements, the Company is required to maintain deposits in cash or securities. Amounts receivable from the Company's clearing brokers at December 31, 2025 consist of commissions receivable and funds held in various accounts. The receivable is considered fully collectable at December 31, 2025 and no allowance is required. The payable to the clearing broker arises from clearing costs in excess of commissions and fees earned with respect to one of the Company's clearing agreements. ## Revenue Recognition Revenue from contracts with customers includes commissions and fees from customers. The recognition and measurement of revenue is based on the assessment of individual contract terms. Significant judgement is required to determine whether performance obligations are satisfied at a point in time or over time; how to allocate transaction prices where multiple performance obligations are identified; when to recognize revenue based on the appropriate measure of the Company's progress under the contract; whether revenue should be presented gross or net of certain costs; and whether constraints on variable consideration should be applied due to uncertain future events. The Company provides equity trade execution services and earns commissions and fees from its contracts with U.S. institutional asset managers such as mutual funds, hedge funds, pension funds, and other broker-dealers. Commissions and fees are transaction based and are recognized at the point in time that the transaction is executed. Commissions and fees revenues and related clearing expenses are recorded on a trade-date basis. The Company believes that the performance obligation is satisfied on the trade date because that is when the underlying financial instrument or purchaser is identified, the pricing is agreed upon and the risks and rewards of ownership have been transferred to/from the customer. #### Taxes The Company is treated as a partnership for federal income tax purposes. Consequently, income taxes are not payable by, or provided for, the Company as members are taxed individually on their shares of the Company's earnings. The Company has adopted the provisions of Financial Accounting Standards Board ("FASB") Accounting Standards Codification ("ASC") 740-10, Accounting for Uncertainty in Income Taxes. {12}------------------------------------------------ #### NOTES TO FINANCIAL STATEMENTS #### DECEMBER 31, 2025 #### NOTE 2 – SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES (CONTINUED) Under FASB ASC 740-10, the Company is required to evaluate each of its tax positions to determine if they are more likely than not to be sustained if the taxing authority examines the respective position. A tax position includes an entity's status, including its status as a passthrough entity, and the decision not to file a return. The Company has evaluated each of its tax positions and has determined that it has no uncertain tax positions for which a provision or liability for income taxes is necessary. #### Accounting for Incentive Units The Company accounts for profit interest awards in accordance with ASC 718, *Stock Compensation ("ASC 718")*, and classifies them as equity instruments based on the terms and conditions present within the agreement. #### Subsequent Events The Company has evaluated events and transactions that occurred between December 31, 2025, and the date the financial statements were issued. #### NOTE 3 – PROFIT INTERESTS The Company entered into a profit interest agreement on December 8, 2022 that granted 5,100 units of the Company to the President of the Company. The units constitute profit interests that will participate in future distributions by the Company to the extent that such distributions represent distributions of profit from operations of the Company realized after the grant of such units as determined by the Board of Directors and only after all outstanding capital contributions have been paid back to Proof Trading, Inc. The fair value of the units at the grant date was determined to be zero based upon the Company's analysis and the units have not been modified during the year ended December 31, 2025. #### NOTE 4 – RELATED PARTY TRANSACTIONS The Company has an Expense Sharing Agreement (ESA) in place with Proof Trading, Inc. Under the terms of the ESA, the Company pays Proof Trading, Inc. monthly fees for personnel services, and the use of office facilities, certain technology, and communications. Allocated expenses to the Company under the ESA amounted to approximately \$951,288 for the year ended December 31, 2025. There was no balance due to Proof Trading, Inc. as of December 31, 2025, arising from this agreement. The Company earns commissions and fees from transactions conducted by other broker dealers/institutions whose users employ the technologies/software offered by Proof Trading, Inc. {13}------------------------------------------------ ### NOTES TO FINANCIAL STATEMENTS ## DECEMBER 31, 2025 ## NOTE 4 – RELATED PARTY TRANSACTIONS (CONTINUED) Commencing on October 1, 2025, the Company entered into a platform services agreement with Proof Trading Inc. whereby the Company was granted a license to use software offered by Proof Trading, Inc. in servicing the Company's customers. The Company is required to compensate Proof Trading Inc. at a specified rate per share traded for use of the software offered by Proof Trading, Inc. The Company expensed approximately \$362,966 during the year ended December 31, 2025, pursuant to this agreement which is included within technology, data, and communication costs within the accompanying statement of operations. The balance due to member on the accompanying statement of financial condition arises from this agreement. Financial position and results of operations could differ from the amounts in the accompanying financial statements if these related party transactions did not exist. #### NOTE 5 – CONCENTRATIONS During 2025, the Company had one customer that accounted for approximately 17% of commissions and fees revenue. Approximately 96% of accounts receivable at December 31, 2025 is due from one customer. #### NOTE 6 - NET CAPITAL REQUIREMENTS The Company is subject to the Securities and Exchange Commission Uniform Net Capital Rule (Rule 15c3-1), which requires the maintenance of minimum net capital and requires that the ratio of aggregate indebtedness to net capital, both as defined, shall not exceed 15 to 1. At December 31, 2025, the Company had net capital of \$1,339,353 which was \$1,239,353 in excess of its required minimum of \$100,000. The Company's percentage of aggregate indebtedness to net capital was 32.69%. #### NOTE 7 – CONTINGENCIES The Company is subject to ligation in the normal course of business. The Company has no litigation in progress at December 31, 2025. #### NOTE 8 – SEGMENT REPORTING The Company has one reportable segment: commissions and fees from trade execution services. The Company has identified its President as the chief operating decision maker ("CODM"), who uses net income to evaluate the results of the business, predominantly in the forecasting process, to manage the Company. Additionally, the CODM uses excess net capital (see Note 6), which is not a measure of profit and loss, to make operational decisions while maintaining capital adequacy, such as whether to reinvest profits or pay distributions. The Company's operations constitutes a single operating segment and therefore, a single reportable segment, because the CODM manages the business activities using information of the Company as a whole. The accounting policies used to measure the profit and loss of the segment are the same as those described in the summary of accounting policies. {14}------------------------------------------------ ## OF THE SECURITIES AND EXCHANGE COMMISSION COMPUTATION OF NET CAPITAL UNDER RULE 15C3-1 DECEMBER 31, 2025 SCHEDULE I | Total member's equity | \$ 1,709,208 | |------------------------------------------------------------------------------------------------------------------------------------|---------------| | Nonallowable assets | (369,855) | | Net capital before haircuts | 1,339,353 | | Less haircuts | - | | Net capital | \$ 1,339,353 | | Total aggregate indebtedness | \$
437,801 | | Computation of basic net capital requirement
Net capital requirement (greater of \$100,000 or 6-2/3% of aggregate indebtedness) | \$
100,000 | | Excess net capital | \$ 1,239,353 | | Percentage of aggregate indebtedness to net capital | 32.69
% | Reconciliation with Company's computation of net capital included in Part II of Form X-17A-5 as of December 31, 2025 There is no significant difference between net capital reported in Part II of Form X-17A-5 as of December 31, 2025, as amended, and net capital as reported above. {15}------------------------------------------------ ## SCHEDULE II COMPUTATION FOR DETERMINATION OF RESERVE REQUIRMENTS UNDER RULE 15c3-3 ## DECEMBER 31, 2025 The Company is exempt from the provision of Rule 15c3-3 under the Securities Exchange Act of 1934 pursuant to paragraph (k)(2)(ii) of the rule. {16}------------------------------------------------ ## SCHEDULE III INFORMATION RELATING TO POSSESSION OR CONTROL REQUIREMENTS UNDER RULE 15c3-3 ## DECEMBER 31, 2025 The Company is exempt from the provisions of Rule15c3-3 under the Securities Exchange Act of 1934 pursuant to paragraph (k)(2)(ii) of the rule. {17}------------------------------------------------ ## EXEMPTION REPORT PURSUANT TO RULE 17A-5 OF THE SECURITIES AND EXCHANGE COMMISSION ## DECEMBER 31, 2025 Proof Services, LLC 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 states the following: (1) The Company claimed an exemption from 17 C.F.R. §240.15c3-3 under the following provisions of 17 C.F.R. §240.15c3-3 (k)(2)(ii) (2) The Company met the identified exemption provisions in 17 C.F.R. §240.15c3-3(k)(2)(ii) throughout the most recent fiscal year without exception. Proof Services, LLC I, Dan Aisen, affirm that, to my best knowledge and belief, this exemption report is true and correct. By: Title: Chief Compliance Officer See Report of Independent Registered Public Accounting Firm. {18}------------------------------------------------ # RUBIO CPA, PC CERTIFIED PUBLIC ACCOUNTANTS 3500 Lenox Road NE Suite 1500 Atlanta, GA 30326 770-690-8995 ## REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Members of Proof Services, LLC We have reviewed management's statements included in the accompanying Broker Dealers Annual Exemption Report in which (1) Proof Services, LLC identified the following provisions of 17 C.F.R. § 15c3-3(k) under which Proof Services, LLC claimed an exemption from 17 C.F.R. § 240.15c3-3: (k)(2)(ii) (the "exemption provisions"); and, (2) Proof Services, LLC stated that Proof Services, LLC met the identified exemption provisions throughout the most recent fiscal year without exception. Proof Services, 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 Proof Services, LLC's compliance with the exemptions. 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 (k)(2)(i) of Rule 15c3-3 under the Securities Exchange Act of 1934. February 27, 2026 Atlanta, GA ![](_page_18_Picture_8.jpeg) 14. 12. Preside Source: SEC EDGAR via Adviser Search (https://search.stillhousedata.com). Agents: see https://search.stillhousedata.com/llms.txt.