Kingswood Capital Files X-17A-5 FOCUS Report for YE 2025
| Field | Detail |
|---|---|
| Company | Kingswood Capital Partners, LLC |
| Form Type | X-17A-5 |
| Filed Date | Mar 24, 2026 |
| Risk Level | low |
| Pages | 1 |
| Reading Time | 1 min |
| Sentiment | neutral |
Complexity: moderate
Sentiment: neutral
Topics: regulatory-filing, broker-dealer, financial-report, audit
TL;DR
**Kingswood Capital just dropped its 2025 year-end financial report, showing its regulatory compliance.**
AI Summary
KINGSWOOD CAPITAL PARTNERS, LLC filed its X-17A-5 FOCUS Report on March 24, 2026, for the period ending December 31, 2025. This filing, which includes an audit report, provides a detailed financial snapshot of the company's operations as a broker-dealer. For investors, this matters because it offers transparency into the firm's financial health and regulatory compliance, which are crucial indicators of stability and trustworthiness in the financial services sector.
Why It Matters
This filing provides a crucial look into the financial health and regulatory compliance of KINGSWOOD CAPITAL PARTNERS, LLC, which is vital for assessing the stability of a broker-dealer.
Risk Assessment
Risk Level: low — This is a routine regulatory filing, indicating compliance rather than immediate risk.
Analyst Insight
Investors should review the full kingswoodaudit.pdf document within this filing to understand the detailed financial health and any auditor comments for KINGSWOOD CAPITAL PARTNERS, LLC.
Key Numbers
- 2025-12-31 — Period of Report (The financial period covered by the X-17A-5 filing.)
- 2026-03-24 — Filing Date (The date the X-17A-5 report was filed with the SEC.)
- 2 — Number of Documents (The number of documents included in the filing (primary_doc.html and kingswoodaudit.pdf).)
- 3114786 — Size of Audit PDF (The size in bytes of the kingswoodaudit.pdf document, indicating the depth of the audit report.)
Key Players & Entities
- KINGSWOOD CAPITAL PARTNERS, LLC (company) — the filer of the X-17A-5 report
- 0001708358 (company) — the CIK (Central Index Key) for KINGSWOOD CAPITAL PARTNERS, LLC
- 814245023 (company) — the EIN (Employer Identification Number) for KINGSWOOD CAPITAL PARTNERS, LLC
- NV (company) — State of Incorporation for KINGSWOOD CAPITAL PARTNERS, LLC
- 008-69967 (company) — the File Number for KINGSWOOD CAPITAL PARTNERS, LLC
FAQ
What is the purpose of KINGSWOOD CAPITAL PARTNERS, LLC filing an X-17A-5 form?
The X-17A-5 form, also known as a FOCUS Report, is a mandatory filing for broker-dealers like KINGSWOOD CAPITAL PARTNERS, LLC, providing detailed financial and operational information to the SEC to ensure regulatory compliance and transparency, as indicated by the 'Type: X-17A-5' and 'Act: 34' in the filing details.
When was the financial period covered by this specific X-17A-5 filing for KINGSWOOD CAPITAL PARTNERS, LLC?
This X-17A-5 filing covers the financial period ending December 31, 2025, as explicitly stated under 'Period of Report 2025-12-31' in the filing details.
Filing Stats: 366 words · 1 min read · ~1 pages · Grade level 13.9 · Accepted 2026-03-24 10:39:03
Filing Documents
- primary_doc.html (X-17A-5)
- primary_doc.xml (X-17A-5) — 2KB
- kingswoodaudit.pdf (FULL) — 3042KB
- 0001708358-26-000005.txt ( ) — 4193KB
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 KINGSWOOD CAPITAL PARTNERS, LLC Address of Principal Place of Business (Do not use P.O. Box No.) Address 1 11440 W. BERNARDO CT. Address 2 SUITE 300 CALIFORNIA Mailing Zip/ Portal Code 92127 Name and Telephone Number of Person to Contact in Regard to this Report Name Monique Romero Telephone Number 212-668-8700 X-17A-5: B. Accountant Identification Independent Public Accountant Name - if individual, state last, first, and middle name Nawrocki Smith LLP Address 1 100 Motor Parkway Address 2 Suite 580 NEW YORK Mailing Zip/ Postal Code 11788 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 , David Pitkoff, swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of KINGSWOOD CAPITAL PARTNERS, 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 David Pitkoff Title CFO