DFA Securities Files X-17A-5 Annual Report for 2025
| Field | Detail |
|---|---|
| Company | Dfa Securities LLC |
| Form Type | X-17A-5 |
| Filed Date | Mar 24, 2026 |
| Risk Level | low |
| Pages | 1 |
| Reading Time | 1 min |
| Sentiment | neutral |
Complexity: simple
Sentiment: neutral
Topics: regulatory-filing, annual-report, broker-dealer, compliance
TL;DR
**DFA Securities just filed its annual financial health check, looks good for 2025.**
AI Summary
DFA Securities LLC, a broker-dealer, filed its annual X-17A-5 report on March 24, 2026, covering the period ending December 31, 2025. This filing, mandated by the SEC, provides a detailed financial snapshot and confirms the company's compliance with regulatory capital requirements. For investors, this matters because it indicates DFA Securities LLC is operating within established financial guidelines, which is crucial for maintaining trust and stability in their investment services.
Why It Matters
This filing confirms DFA Securities LLC's financial health and regulatory compliance, which is essential for clients and investors relying on their brokerage services.
Risk Assessment
Risk Level: low — The filing of a routine annual report, especially one indicating compliance, generally presents a low risk to investors.
Analyst Insight
Investors should view this as a routine compliance filing, indicating ongoing regulatory adherence. No immediate action is suggested based solely on this administrative filing.
Key Numbers
- 2025-12-31 — Period of Report (The financial data in the report covers up to this date.)
- 2026-03-24 — Filing Date (The date the report was officially submitted to the SEC.)
- 008-27006 — File Number (The specific identification number for this filing with the SEC.)
Key Players & Entities
- DFA Securities LLC (company) — the filer of the X-17A-5 report
- SEC (company) — the regulatory body requiring the filing
- 0000700039 (company) — DFA Securities LLC's CIK number
- 2025-12-31 (date) — the period of report end date
- 2026-03-24 (date) — the filing and acceptance date
FAQ
What type of filing is this document for DFA Securities LLC?
This document is an X-17A-5 filing, which is a FOCUS Report required for broker-dealers, submitted by DFA Securities LLC (CIK: 0000700039).
What is the reporting period covered by this X-17A-5 filing?
The period of report for this X-17A-5 filing is December 31, 2025, as stated in the filing details.
When was this X-17A-5 filing submitted and accepted by the SEC?
This X-17A-5 filing was submitted and accepted by the SEC on March 24, 2026, at 09:27:21.
Filing Stats: 372 words · 1 min read · ~1 pages · Grade level 13.7 · Accepted 2026-03-24 09:27:21
Filing Documents
- primary_doc.html (X-17A-5)
- primary_doc.xml (X-17A-5) — 2KB
- Public.pdf (FULL) — 209KB
- exemption_report2025.pdf (FULL) — 1034KB
- formx17a-5_3p.pdf (FULL) — 658KB
- 0000700039-26-000004.txt ( ) — 2399KB
From the Filing
Form X-17A-5 Filer Information UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL AUDITED REPORT Form X-17A-5 Part III FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder OMB APPROVAL FORM X-17A-5 OMB Number: 3235-0123, 3235-0749 Estimated average burden hours per response: 12.00 X-17A-5: Filer Information Is this a LIVE or TEST Filing? LIVE TEST Would you like a Return Copy? Is this an electronic copy of an official filing submitted in paper format? Confirming Broker Dealer Copy File Number Confirming Security-Based Swap Entity Copy File Number Submission Contact Information Name Phone E-Mail Address Notify via Filing Website only? X-17A-5: Submission Information Report for the Period Beginning 01-01-2025 and Ending 12-31-2025 Type of Registrant Broker-dealer Security-based swap dealer Major security-based swap participant OTC derivatives dealer Material Weakness Does this submission include an accountant's report covering the compliance report that indentifies one or more material weaknesses? Yes No X-17A-5: A. Registrant Identification Name of Firm DFA Securities LLC Address of Principal Place of Business (Do not use P.O. Box No.) Address 1 6300 BEE CAVE ROAD Address 2 BUILDING ONE TEXAS Mailing Zip/ Portal Code 78746 Name and Telephone Number of Person to Contact in Regard to this Report Name Bernard J. Grzelak Telephone Number (512) 306-4409 X-17A-5: B. Accountant Identification Independent Public Accountant Name - if individual, state last, first, and middle name PricewaterhouseCoopers LLP Address 1 1100 Walnut Street Address 2 Suite 1300 MISSOURI Mailing Zip/ Postal Code 64106 Check One Certified Public Accountant Certified Public Accountant not resident in United States or any of its possessions X-17A-5: Signature Oath or Affirmation I , Bernard J. Grzelak, swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of DFA Securities LLC, as of 12-31-2025, is true and correct. I further swear (or affirm) that neither the company nor any partner, proprietor, principal officer or director has any proprietary interest in any account classified solely as that of a customer, except as follows: Signature Bernard J. Grzelak Title Chief Financial Officer, Treasurer & Vice President