Full text of BALLAST ROCK CAPITAL LLC's X-17A-5 filed 2026-04-21 (period 2025-12-31). 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** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 8-70943 SEC FILE NUMBER ### **ANNUAL REPORTS FORM X-17A-5 PART Ill** **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and lSa-7 under the Securities Exchange Act of 1934** 01/01/2025 12/31/2025 FILING FOR THE PERIOD BEGINNING AND ENDING ---------- ----------- MM/DD/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** #### Ballast Rock Capital, LLC NAME OF FIRM: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ \_ TYPE OF REGISTRANT (check all applicable boxes): ■ □ Broker-dealer □ Security-based swap dealer □ Check here if respondent is also an OTC derivatives dealer □ Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 460 King Street, Suite 200 | | (No. and Street) | | | |----------------------------------------------|---------------------------------------------------------------------------|-------------------------------|---------------------| | Charleston | SC | | 29403 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Dennis Azary | (415)948-7994 | dennis@ballastrockcapital.com | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | Ohab and Company, PA | (Name - if individual, state last, first, and middle name) | | | | 100 East Sybelia Ave, Suite 130<br>(Address) | Maitland<br>(City) | FL<br>(State) | 32751<br>(Zip Code) | | | | | | | 7/28/2004 | | 1839 | | \* 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** | Thomas Carroll<br>I, ___________________ | | __, swear (or affirm) that, to the best of my knowledge and belief, the | |--------------------------------------------------|-------------…Read the full text as markdown