# GOOD INVESTOR VENTURES LLC X-17A-5 (2024-03-21) — Broker-dealer annual report - Company: GOOD INVESTOR VENTURES LLC - Form: X-17A-5 - Filed: 2024-03-21 - Period: 2023-12-31 - Accession: 0001819147-24-000001 - CIK: 1819147 - File #: 8-70562 - Type: Broker-dealer - Material weakness: No - Auditor: Rubio CPA PC - Auditor location: Atlanta, GA - Contact: Brian Megenity - Phone: 7702636003 - Email: christian@goodinvestor.com - Website: goodinvestor.com - Signed by: Christian Maynard-Philipp (CEO) Original filing: https://www.sec.gov/Archives/edgar/data/1819147/000181914724000001/givaud.pdf --- {0}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ## **ANNUAL REPORTS FORM X-17A-5 PART Ill** | 0MB APPROVAL | |------------------------| | 0MB Number: 323S-0123 | | Expires: Nov. 30, 2026 | | Estimated ~ge burden | | hours per response: 12 | | | # SEC FILE NUMBER 8-70562 **MM/DD/YY** 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 /23 AND ENDING 12/31 / 23 MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM : Good Investor Ventures LLC TYPE OF REGISTRANT (check all applicable boxes): ~ Broker-dealer □ Security-based swap dealer □ 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.) # 2646 NW Cornell Road | | (No. and Street) | | | |--------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------|----------------------------| | Portland | OR | | 97210 | | {City) | {State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Christian Maynard-Philipp (503) 201 - | 1375 | | christian@goodinvestor.com | | (Name) | (Area Code- Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*
RUBIO CPA, PC | | | | | | (Name - If individual, state last, first, and middle name) | | | | 3500 Lenox Road NE, Suite 1500 Atlanta | | GA | 30326 | | (Address) | {City) | (State) | (Zip Code) | | 05/05/2009 | | 3514 | | **(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 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 Information contained in this form are not required to respond unless the form displays a currently valid 0MB control number. {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | | swear (or affirm) that, to the best of my knowledge and belief, the
I, Christian Maynard-Philipp | |-----------|-----------------------------------------------------------------------------------------------------------------------------------------| | | as of
financial report pertaining to the firm of Good Investor Ventures LLC | | | 2~
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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 | | | -i _
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JAMES LLOYD ARENA
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NOTARY PUBLIC - OREGON -4--
.,,l | | | COMMfSSION NO. 999828 | | | Notary Public
MY COMMISSION EXPIRES MAY 12, 2024 | | | | | | This filing contains (check all applicable boxes): | | iii!!! | (a) Statement of financial condition. | | | D (b) Notes to consolidated statement offinancial condition. | | iii!!! | (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. | | iii!!! | (e) Statement of changes in stockholders' or partners' or sole proprietor's equity. | | | D (f) Statement of changes in liabilities subordinated to claims of creditors. | | iii!!! | (g) Notes to consolidated financial statements. | | iii!!! | (h) Computation of net capital under 17 CFR 240.15c3-1 or 17 CFR 240.lSa-1, as applicable. | | | D (i) Computation of tangible net worth under 17 CFR 240.18a-2. | | | D Ol Computation for determination of customer reserve requirements pursuant to Exhibit A to 17 CFR 240.15c3-3. | | | D (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.lSa-4, as applicable. | | | D (I) Computation for Determination of PAB Requirements under Exhibit A to § 240.15c3-3. | | | D (m) Information relating to possession or control requirements for customers under 17 CFR 240.1Sc3-3. | | | D (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. | | iii!!! | (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.lSa-2, as applicable, and the reserve requirements under 17 | | | CFR 240.1Sc3-3 or 17 CFR 240.lSa-4, as applicable, if material differences exist, or a statement that no material differences
exist. | | | D (p) Summary of financial data for subsidiaries not consolidated in the statement of financial condition. | | iii!!! | (q) Oath or affirmation in accordance with 17 CFR 240.17a-S, 17 CFR 240.17a-12, or 17 CFR 240.18a-7, as applicable. | | | D (r) Compliance report in accordance with 17 CFR 240.17a-5 or 17 CFR 240.18a-7, as applicable. | | iii!!! | (s) Exemption report in accordance with 17 CFR 240.17a-5 or 17 CFR 240.18a-7, as applicable. | | | D (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 report or financial statements under 17 | | | CFR 240.17a-S, 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 -S or 17 CFR 240.18a-7, as applica ble. - ~ (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. - D (x) Supplemental reports on applying agreed-upon procedures, in accordance with 17 CFR 240.1Sc3-1e or 17 CFR 240.17a-12, as applicable. - D (y} Report describing any material inadequacies found to exist or 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). D (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}------------------------------------------------ GOOD INVESTOR VENTURES LLC Financial Statements For the Year Ended December 31, 2023 With Report of Independent Registered Public Accounting Firm {3}------------------------------------------------ # **RUBIO C~PA, PC** CERTIFIED PUBLIC ACCOUNTANTS 3500 Lenox Road NE Sui le 1500 Atlanta, GA 30326 770-690-8995 ## **REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM** To the Member of Good Investor Ventures LLC #### Opinion on the Financial Statements We have audited the accompanying statement of financial condition of Good Investor Ventures LLC (the ··Company .. ) as of December 31, 2023, the related statements of operations, changes in member's equity, and cash flows for the year then ended and the related notes (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, 2023, and the results of its operations and its cash flows for the year then ended in confonnity 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 the Company's financial statements based on our audit. We are a public accounting finn 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 PCAOB. 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. The Company is not required to have. nor were we engaged to perform, an audit of its internal control over financial reporting. As part of our audit we are required to obtain an understanding of internal control over financial reporting but not for the purpose of expressing an opinion on the effectiveness of the Company's internal control over financial reporting. Accordingly, we express no such opinion. Our audit included perfonning procedures to assess the risks of material misstatement to the financial statements, whether due to error or fraud, and perfonning 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. #### Supplemental Information The infonnation contained in Schedules L II and Ill has been subjected to audit procedures perfonned in conjunction with the audit of the Company's financial statements. The supplemental infonnation is the responsibility of the Company's management. Our audit procedures included determining whether the infonnation in Schedules I. II and III 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 infonnation presented in the accompanying schedules. In forming our opinion on the accompanying schedules, we evaluated whether the supplemental information, including its form and content is presented {4}------------------------------------------------ in confonnity with 17 C.F.R. §240. l 7a-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 2020. March 15, 2024 Atlanta, Georgia ![](_page_4_Picture_3.jpeg) {5}------------------------------------------------ ## **Good Investor Ventures LLC Statement of Financial Condition As of December 31, 2023** ## **Assets** | Cash
Prepaid expenses | \$
8,732
923 | |---------------------------------------|--------------------| | Total assets | \$
9,655 | | Liabilities and member's equity | | | Liabilities | | | Accounts payable | \$
1,250 | | Total liabilities | 1,250 | | Member's equity | 8,405 | | Total liabilities and member's equity | \$
9,655 | {6}------------------------------------------------ ## **Good Investor Ventures LLC Statement of Operations For the Year Ended December 31, 2023** #### **Revenues** | Forgiveness of indebtedness
Forgiveness of indebtedness - related party | \$
3,750
360 | |----------------------------------------------------------------------------|--------------------------| | Total Revenues | 4,110 | | Expenses | | | Technology and communications
Professional fees
Other | 1,620
22,275
6,012 | | Total Expenses | 29,907 | | Net loss before income taxes
Income taxes | (25,797)
- | | Net loss | \$
(25,797) | {7}------------------------------------------------ ## **Good Investor Ventures LLC For the Year Ended December 31, 2023 Statement of Changes in Member's Equity** | Balance at | | |---------------------------------|--------------| | December 31, 2022 | \$
23,208 | | Contributions | 10,994 | | Net loss | (25,797) | | Balance at
December 31, 2023 | \$
8,405 | {8}------------------------------------------------ ## **Good Investor Ventures LLC Statement of Cash Flows For the Year Ended December 31, 2023** | Cash flows from operating activities:
Net loss | \$
(25,797) | |-------------------------------------------------------------------------------------------------------------------------------|----------------------------------| | Adjustments to reconcile net loss to net cash used
by operating activities: | | | Changes in assets and liabilities: | | | Decrease in prepaid expenses
Increase in accounts payable
Decrease in due to related party
Decrease in due to member | 2,500
1,250
(360)
(994) | | Net cash used by operating activities | (23,401) | | Cash flows from financing activities: | | | Contributions | 10,994 | | Net cash provided by financing activities | 10,994 | | Net decrease in cash
Cash at beginning of year | (12,407)
21,139 | | Cash at end of year | \$
8,732 | | Supplemental Information | | | Non-Cash Financing Activity | | | Contribution of expenses paid by Member | \$
994 | {9}------------------------------------------------ ## 6833/(0(17\$/,1)250\$7,21 {10}------------------------------------------------ #### **Schedule I** ### **Good Investor Ventures LLC Pursuant to Rule 15c3-1 of the Securities and Exchange Commission As of December 31, 2023 Computation of Net Capital** #### **Computation of Net Capital** | Total member's equity | \$
8,405 | |-----------------------------------------------------|--------------| | | | | Less non-allowable assets | | | Prepaid expenses | 923 | | Total non-allowable assets | 923 | | Net capital before haircuts | 7,482 | | Less haircuts | - | | Net capital | 7,482 | | Aggregate indebtedness | 1,250 | | | | | Minimum net capital required (greater of \$5,000 or | | | 6 2/3% of aggregate indebtedness) | 5,000 | | Excess Net Capital | \$
2,482 | | Ratio of aggregate indebtedness to net capital | 0.17 to 1.00 | | | | #### **Reconciliation with Company's Computation of Net Capital included in Part IIA of Form X-17A-5 as of December 31, 2023:** There is no significant difference between net capital as computed above and net capital as reported on Part IIA of Form X-17A-5, as amended, as of December 31, 2023. {11}------------------------------------------------ ### **GOOD INVESTOR VENTURES LLC** ## SCHEDULE II COMPUTATION FOR DETERMINATION OF RESERVE REQUIREMENTS UNDER RULE 15c3-3 OF THE SECURITIES AND EXCHANGE COMMISSION AS OF DECEMBER 31, 2023 With respect to the Computation for Determination of Reserve Requirements under Rule 15c3-3, the Company does not claim an exemption from Rule 15c3-3 in reliance upon Footnote 74 of SEC Release No. 34-70073 dated July 30, 2013, and as discussed in Question 8 of the related FAQ released by SEC staff on April 4, 2014. The Company does not hold customer funds or securities. ## SCHEDULE III INFORMATION RELATING TO THE POSSESSION OR CONTROL REQUIREMENTS UNDER RULE 15c3-3 OF THE SECURITIES AND EXCHANGE COMMISSION AS OF DECEMBER 31, 2023 With respect to the Information Relating to Possession or Control Requirements under Rule 15c3-3, the Company does not claim an exemption from Rule 15c3-3 in reliance upon Footnote 74 of SEC Release No. 34-70073 dated July 30, 2013, and as discussed in Question 8 of the related FAQ released by SEC staff on April 4, 2014. The Company does not hold customer funds or securities. {12}------------------------------------------------ **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 Member of Good Investor Ventures LLC We have reviewed management's statements included in the accompanying Broker Dealers Annual Exemption Report in which (I) Good Investor Ventures LLC did not claim an exemption from Rule 15c3-3 in reliance upon Footnote 74 of the 2013 Release, (2) Good Investor Ventures LLC stated that it conducted business activities involving acting as an intermediary in transactions related to the offer or sale of securities throughout the year ended December 31, 2023, without exception, and (3) Good Investor Ventures LLC stated that Good Investor Ventures LLC met the identified conditions for such reliance throughout the most recent fiscal year without exception. Good Investor Ventures 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 Good Investor Ventures LLC's compliance with the exemption provisions. A review is substantially less in scope than an examination, the objective of which is the expression ofan 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 fotth in Footnote 74 of the 2013 Release. March I 5, 2024 Atlanta. GA *¼CJ)",Pt* Rubio CPA. PC {13}------------------------------------------------ ## **Good Investor Ventures LLC Exemption Report CRD 310101** To Whom it May Concern: We, as members of management of Good Investor Ventures LLC (the "Company"), are responsible for complying with Rule 17a-5, "Reports to be made by certain brokers and dealers". We have performed an evaluation of the Company's compliance with the requirements of Rule 17a-5 and the exemption provisions in Rule 15c3-3(k) (the "exemption provisions") and of the 2013 Release adopting amendments to Rule 17a-5, including Footnote 74 of the 2013 Release. We have determined that the Company does not meet any of the exemption conditions of paragraph (k) of Rule 15c3-3 (i.e., paragraph (k)(1), (k)(2)(i) or (k)(2)(ii)) but also (1) does not directly or indirectly receive, hold, or otherwise owe funds or securities for or to customers, other than money or other consideration received and promptly transmitted in compliance with paragraph (a) or (b)(2) of Exchange Act Rule 15c2-4 ("Rule 15c2-4"); (2) does not carry accounts of or for customers; and (3) does not carry PAB accounts (as defined in Rule 15c3-3) and therefore is covered by Footnote 74 of the 2013 Release. Accordingly, based on our evaluation we make the following statements to the best knowledge and belief of the Company: - 1. We reviewed the provisions of Rule §15c3-3 and related guidance stated in the SEC Staff's FAQ and confirmed that the Company relied on Footnote 74 of the 2013 Release. - 2. The Company conducted business activities involving acting as an intermediary in transactions relating to the offer or sale of securities throughout the year ending December 31, 2023 without exception. - 3. The Company met the identified conditions for such reliance throughout the period January 1, 2023 to December 31, 2023 without exception. \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Christian Maynard-Philipp, CEO February 21, 2024 Source: SEC EDGAR via Adviser Search (https://search.stillhousedata.com). Agents: see https://search.stillhousedata.com/llms.txt.