X-17A-5: Submission Information

Report for the Period Beginning

01-01-2019

and Ending

12-31-2019

Type of Registrant

Broker-dealer

Security-based swap dealer

Major security-based swap participant

Material Weakness

Does this submission include an accountant's report covering the compliance report that indentifies one or more material weaknesses?

Yes

X-17A-5: A. Registrant Identification

Name of Firm

SUMO CAPITAL, LLC

Address of Principal Place of Business (Do not use P.O. Box No.)

Address 1

190 SOUTH LASALLE STREET

Address 2

SUITE 1620

City

CHICAGO

State/Country

ILLINOIS

Mailing Zip/ Portal Code

60603

Name and Telephone Number of Person to Contact in Regard to this Report

Name

Peter Owen

Telephone Number

708-929-8272

X-17A-5: B. Accountant Identification

Independent Public Accountant

Name - if individual, state last, first, and middle name

Robert Cooper & Company CPA PC

Address 1

141 W. Jackson Blvd., Suite 1468

City

Chicago

State/Country

ILLINOIS

Mailing Zip/ Postal Code

60604

Check One

Certified Public Accountant
Radio button not checked

Certified Public Accountant not resident in United States or any of its possessions

X-17A-5: Signature

Oath or Affirmation

I, Daniel Gutman, swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of SUMO CAPITAL, LLC, as of 12-31-2019, 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

Daniel Gutman

Title

Principal

Notary Public

Checking this box acknowledges that this oath or affirmation has been notarized.

X-17A-5: Filer Information

Submission Contact Information