Full text of VISTIA CAPITAL, LLC's X-17A-5 filed 2022-09-28 (period 2022-06-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **UNITED STATES SECURITIES AND EXCHANGE COMMISSION** **Washington, D.C. 20549** | OMB APPROVAL | | | |--------------------------|--|--| | OMB Number: ϯϮϯϱͲϬϭϮϯ | | | | Expires: KĐƚ͘ϯϭ͕ϮϬϮϯ | | | | Estimated average burden | | | | hours per response: | | | # **ANNUAL REPORTS FORM X-17A-5 PART III** SEC FILE NUMBER 8-70643 **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 _____________________ AND ENDING ______________________ | 06/15/21 | | 06/30/22 | | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------|------------------------------------------------------------------------------------------------------------|-----------------|--------------------------------------------| | | MM/DD/YY | | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | Vistia Capital, LLC<br>NAME OF FIRM: _______________________________________________________________________ | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>܆<br>܆<br>Broker-dealer<br>܆ Check here if respondent is also an OTC derivatives dealer | Security-based swap dealer | ܆ | | Major security-based swap participant | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 202 6th Street, Suite 303<br>_____________________________________________________________________________________ | | | | | | | (No. and Street) | | | | | Castle Rock<br>_____________________________________________________________________________________ | | CO | | 80104 | | (City) | | (State)<br>(Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Susan Hayes | 609-642-6593 | shayes@vistia.com<br>_____________________________________________________________________________________ | | | | (Name) | (Area Code – Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Phillip V. George, PLLC<br>_____________________________________________________________________________________ | | | | | | | | (Name – if individual, state last, first, and middle name) | | | | 5179 CR 1026<br>_______________________________________________________________________…Read the full text as markdown