Full text of RUFFER LLC's X-17A-5 filed 2026-05-28 (period 2026-03-31). 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 0 MB Number: 3235-0123 Expires: Nov 30, 2026 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17 A-5 PART Ill** | | | SEC FILE NUMBER | | |--|--|-----------------|--| |--|--|-----------------|--| 8-70952 **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 \_\_\_ 0 \_ 4 \_ 10\_ 1 \_ 12\_ 02 \_ 5 \_\_\_ AND ENDING \_\_\_ 0 \_ 31\_ 3 \_ 11\_ 2 \_ 02\_ 6 \_\_ \_ MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: RUFFER LLC ---------------------------------- TYPE OF REGISTRANT (check all applicable boxes): ~ Broker-dealer D Security-based swap dealer D Major security-based swap participant □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 300 PARK AVENUE, SUITE 1710 NEW YORK (City) (No. and Street) **NY** (State) PERSON TO CONTACT WITH REGARD TO THIS FILING 10022 (Zip Code) David Brant 402-215-1352 david.brant@acaglobal.com (Name) (Area Code -Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing \* Forvis Mazars, LLP (Name - if individual, state last, first, and middle name) 60 Crossways Park Drive West, Suite 301 Woodbury **NY** (Address) (City) (State) 10/16/2003 686 **FOR OFFICIAL USE ONLY** 11797 (Zip Code) \* 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** I, Chad Kutney , swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of Ruffer LLC as of -~M~a~rc=h~3~1---------~ 2 026 , 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 s…