Full text of VISTIA CAPITAL, LLC's X-17A-5 filed 2023-09-25 (period 2023-06-30). 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: > SEC FILE NUMBER 8-70643 # **ANNUAL REPORTS FORM X-17A-5 PART III** **FACING PAGE** | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | |------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------|--------------------------------------------|--| | | 07/01/22 | 06/30/23<br>FILING FOR THE PERIOD BEGINNING _____________________ AND ENDING ______________________ | | | | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | Vistia<br>NAME OF FIRM: _______________________________________________________________________ | Capital,<br>LLC | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>܆<br>܆<br>Broker-dealer<br>■<br>܆ Check here if respondent is also an OTC derivatives dealer | ܆<br>Security-based swap dealer | Major security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 202<br>6th<br>Street,<br>Suite<br>_____________________________________________________________________________________ | 303 | | | | | | (No. and Street) | | | | | Castle<br>Rock<br>_____________________________________________________________________________________ | CO | | 80104 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Susan<br>Hayes<br>_____________________________________________________________________________________ | 609-642-6593 | | shayes@vistia.com | | | (Name) | (Area Code – Telephone Number) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Phillip<br>V.<br>George,<br>_____________________________________________________________________________________ | PLLC | | | | | | (Name – if individual, state last, first, and middle name) | | | | | 5179<br>CR<br>1026<br>_____________________________________________…Read the full text as markdown