Full text of UPHORIZON, LLC's X-17A-5 filed 2025-08-13 (period 2025-06-30). 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: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 SEC FILE NUMBER 71171 ## 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 AND ENDING 06/30/2025 FILING FOR THE PERIOD BEGINNING 08/12/2024 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION ## NAME OF FIRM: UPHORIZON, LLC TYPE OF REGISTRANT (check all applicable boxes): @ Broker-dealer \_\_\_ Security-based swap dealer □ Check here if respondent is also an OTC derivatives dealer 0 Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) ## 10250 CONSTELLATION BLVD SUITE 2300 | | (No. and Street) | | | |---------------------------------------------------------------------------|------------------------------------------------------------|--------------------------------------------|--| | LOS ANGELES | CA | 90067 | | | (City) | (State) | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Elizabeth Attanasio 6469081732 | | eattanasio@acisecure.com | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | DCPA. Inc. | | | | | 2121 Avenue of Stars, #800 Century City | (Name - if individual, state last, first, and middle name) | 90067<br>CA | | | (Address) | (City) | (State)<br>(Zip Code) | | | 09/15/2020 | | 6567 | | | (Date of Registration with PCAOB)(if applicable) | | (PCAOB Registration Number, if applicable) | | \* Claims for exemption from the requirement that the annual 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-5(e)(1)(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 OMB control number. {1}------------------------------------------------ ## OATH OR AFFIRMATION | Zhentao Wang | | | | swear (or affirm) that, to the best of my knowledge and belief, the | | |-----------------------------------------------------------|------|------------------------------------------------------------------…