0001752724-23-169933.txt : 20230803
0001752724-23-169933.hdr.sgml : 20230803
20230803162202
ACCESSION NUMBER: 0001752724-23-169933
CONFORMED SUBMISSION TYPE: N-CEN
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20230531
FILED AS OF DATE: 20230803
DATE AS OF CHANGE: 20230803
EFFECTIVENESS DATE: 20230803
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: BlackRock Capital Appreciation Fund, Inc.
CENTRAL INDEX KEY: 0000887509
IRS NUMBER: 223186366
STATE OF INCORPORATION: MD
FISCAL YEAR END: 0831
FILING VALUES:
FORM TYPE: N-CEN
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-06669
FILM NUMBER: 231140416
BUSINESS ADDRESS:
STREET 1: 100 BELLEVUE PARKWAY
CITY: WILMINGTON
STATE: DE
ZIP: 19809
BUSINESS PHONE: 800-441-7762
MAIL ADDRESS:
STREET 1: 100 BELLEVUE PARKWAY
CITY: WILMINGTON
STATE: DE
ZIP: 19809
FORMER COMPANY:
FORMER CONFORMED NAME: BLACKROCK FUNDAMENTAL GROWTH FUND, INC.
DATE OF NAME CHANGE: 20061002
FORMER COMPANY:
FORMER CONFORMED NAME: MERRILL LYNCH FUNDAMENTAL GROWTH FUND INC
DATE OF NAME CHANGE: 19920929
0000887509
S000002520
BLACKROCK CAPITAL APPRECIATION FUND, INC.
C000006952
Investor A
C000006954
Investor C
C000006955
Institutional
C000006956
Class R
C000088417
Class K
N-CEN
1
primary_doc.xml
X0404
N-CEN
LIVE
0000887509
XXXXXXXX
811-06669
false
false
false
N-1A
S000002520
C000006952
C000006956
C000088417
C000006955
C000006954
BlackRock Capital Appreciation Fund, Inc.
811-06669
0000887509
549300QS6NT0JK4H2706
100 Bellevue Parkway
Wilmington
19809
US-DE
US
800-441-7762
The Bank of New York Mellon
240 Greenwich Street
New York
10286
1-212-495-1784
Records related to its functions as custodian.
BNY Mellon Investment Servicing (US) Inc.
301 Bellevue Parkway
Wilmington
19809
1-302-791-1700
Records related to its functions as transfer agent, sub-administrator and accounting agent.
BlackRock Investments, LLC
50 Hudson Yards
New York
10001
609-282-3046
Records related to its functions as distributor.
BlackRock Advisors, LLC
100 Bellevue Parkway
Wilmington
19809
302-797-2000
Records related to its functions as advisor and administrator.
N
N
N-1A
1
Y
Cynthia A. Montgomery
N/A
N
Kenneth L. Urish
005352005
N
John M. Perlowski
N/A
Y
Mark Stalnecker
N/A
N
Susan J. Carter
N/A
N
Donald C. Opatrny
N/A
N
Henry R. Keizer
N/A
N
Lena G. Goldberg
N/A
N
Claire A. Walton
N/A
N
Collette Chilton
N/A
N
Robert Fairbairn
004992372
Y
Neil A. Cotty
N/A
N
Aaron Wasserman
N/A
50 Hudson Yards
New York
10001
XXXXXX
Y
N
N
N
N
N
BlackRock Investments, LLC
008-48436
000038642
54930061FBHCKXL2G714
Y
N
Deloitte & Touche LLP
34
N/A
N
N
N
N
N
N
N
BlackRock Capital Appreciation Fund, Inc.
S000002520
549300QS6NT0JK4H2706
N
5
0
0
N/A
N
N
Y
N
N
BlackRock Investment Management, LLC
5493006MRTEZZ4S4CQ20
Y
N
Cash collateral reinvestment fee
Other
Revenue sharing split
Rebates paid to borrowers
20289984.00000000
44275.00000000
Rule 18f-4(f)(17 CFR 270.18f-4(f))
Rule 18f-4(c)(4) (17CFR 270.18f-4(c)(4))
Rule 18f-4 (17 CFR 270.18f-4)
Rule 12d1-4 (17 CFR 270.12d1-4)
Rule 32a-4 (17 CFR 270.32a-4)
Rule 22d-1 (17 CFR 270.22d-1)
Rule 12d1-1 (17 CFR 270.12d1-1)
Y
Y
N
N
BlackRock Advisors, LLC
801-47710
000106614
5493001LN9MRM6A35J74
N
BNY Mellon Investment Servicing (US) Inc.
084-01761
549300CFZQLI9QMJ1Z03
N
N
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
N
Euroclear UK & Ireland Limited
549300M5MYAD51WHJD55
GB
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Euroclear Bank SA/NV (Belgium)
549300OZ46BRLZ8Y6F65
BE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Credit Suisse (Switzerland) Ltd.
549300CWR0W0BCS9Q144
CH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
MUFG Bank, Ltd.
C3GTMMZIHMY46P4OIX74
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BofA Securities, Inc.
549300HN4UKV1E2R3U73
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Skandinaviska Enskilda Banken AB, Stockholm
F3JS33DEI6XQ4ZBPTN86
SE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear Nederland (Netherlands)
549300CBNW05DILT6870
NL
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
The Hongkong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear France
54930060MY6S68NEUP16
FR
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Y
Colorado Financial Service Corporation
8-52817
SEC FILE NUMBER
N
N
Arque Capital, Ltd.
8-65390
SEC FILE NUMBER
N
N
Lebenthal Financial Services, Inc
8-67140
SEC FILE NUMBER
N
N
H. C. Denison Co.
8-00044
SEC FILE NUMBER
N
N
Gladowsky Capital Management Corp.
8-51017
SEC FILE NUMBER
N
N
Mid-Atlantic Securities, Inc.
8-36997
SEC FILE NUMBER
N
N
Bolton Securities Corp.
8-68187
SEC FILE NUMBER
N
N
Sammons Financial Network, LLC
8-68905
SEC FILE NUMBER
N
N
Tocqueville Securities L.P.
8-42223
SEC FILE NUMBER
N
N
Fifth Third Securities, Inc.
5493003IMO3TYX51WE43
N
N
Wiley Bros.-Aintree Capital, LLC
8-03774
SEC FILE NUMBER
N
N
Cetera Advisors LLC
8-26892
SEC FILE NUMBER
N
N
Finance 500, Inc.
8-28302
SEC FILE NUMBER
N
N
DFPG Investments, Inc.
8-68730
SEC FILE NUMBER
N
N
Ballew Investments, Inc.
8-45660
SEC FILE NUMBER
N
N
Bancolumbia Capital, LLC
8-70822
SEC FILE NUMBER
N
N
U.S. Bancorp Investments, Inc.
H85Z6XZP8B10ES0M2G89
N
N
Apex Clearing Corporation
5493000418CITRF5BO80
N
N
Girard Investment Services, LLC
8-14145
SEC FILE NUMBER
N
N
Stonecrest Capital Markets, Inc.
8-48754
SEC FILE NUMBER
N
N
John Hancock Life Insurance Company of New York
5493007RYG4GXIKSQI18
CA
N
Y
Crews & Associates, Inc.
5493001BWSV3E82LZ446
N
N
JPMorgan Chase Bank, N.A.
7H6GLYDRUGQFU57RNE97
N
N
Moors & Cabot, Inc.
8-23060
SEC FILE NUMBER
N
N
T. Rowe Price Investment Services, Inc.
8-25130
SEC FILE NUMBER
N
N
Place Trade Financial, Inc.
8-65915
SEC FILE NUMBER
N
N
Lombard Securities, Inc.
8-43340
SEC FILE NUMBER
N
N
Sigma Financial Corporation
8-30466
SEC FILE NUMBER
N
N
Sovereign Legacy Securities, Inc.
8-00621
SEC FILE NUMBER
N
N
Security Distributors, Inc.
8-10781
SEC FILE NUMBER
N
N
Arvest Investments, Inc.
8-49677
SEC FILE NUMBER
N
N
Great Pacific Securities
254900QRZ90SUI8C4W84
N
N
Vanguard Group, Inc., The
5493002789CY3L0CJP65
N
Y
Infinity Securities, Inc.
8-67647
SEC FILE NUMBER
N
N
Beaconsfield Financial Services, Inc.
8-30993
SEC FILE NUMBER
N
N
Independent Brokerage Solutions LLC
8-68549
SEC FILE NUMBER
N
N
Founders Financial Securities LLC
8-67137
SEC FILE NUMBER
N
N
Wall Street Access
549300Z0MOT47D6OQV22
N
N
Monex Securities, Inc.
254900VTZ3HYHNEJRX35
N
N
Perryman Securities, Inc.
8-53546
SEC FILE NUMBER
N
N
American Wealth Management
8-41807
SEC FILE NUMBER
N
N
VALIC Retirement Services Company
84-06057
SEC FILE NUMBER
N
N
Exeter Trust Company
028-04279
SEC FILE NUMBER
N
N
Lincoln Financial Advisors Corporation
8-14685
SEC FILE NUMBER
N
N
T.S. Phillips Investments, Inc.
8-65661
SEC FILE NUMBER
N
N
Northwest Investment Advisors, Inc.
8-65282
SEC FILE NUMBER
N
N
Integrity Investments, Inc.
8-45302
SEC FILE NUMBER
N
N
Horace Mann Life Insurance Co.
5493000HR2JKKNH2FL09
N
N
Hudson Heritage Capital Management, Inc.
8-50648
SEC FILE NUMBER
N
N
BFT Financial Group, LLC
8-53487
SEC FILE NUMBER
N
N
Oscar Gruss & Son Incorporated
549300V78DH9XCK5UI63
N
N
TIAA-CREF Individual & Institutional Services, LLC
8-44454
SEC FILE NUMBER
N
N
Register Financial Associates, Inc.
8-45012
SEC FILE NUMBER
N
N
Lieblong & Associates, Inc.
8-49880
SEC FILE NUMBER
N
N
Saturna Trust Company
N/A
N
Y
Kovack Securities Inc.
25490070RG17Z4I70I82
N
N
PNC Capital Markets LLC
7OGNSSLOQJ8U3B9Y5F18
N
N
Heim, Young & Associates, Inc.
8-48500
SEC FILE NUMBER
N
N
First Bankers' Banc Securities, Inc.
549300XZ7YYT3Y0SU530
N
N
S.L. Reed & Company
8-49178
SEC FILE NUMBER
N
N
FNBB Capital Markets, LLC
8-66553
SEC FILE NUMBER
N
N
Wells Fargo Securities, LLC
8-65876
SEC FILE NUMBER
N
N
American Trust Investment Services, Inc.
8-14394
SEC FILE NUMBER
N
N
Concorde Investment Services, LLC
8-68388
SEC FILE NUMBER
N
N
American National Trust And Investment Management Company
028-00344
SEC FILE NUMBER
N
N
TD Ameritrade Trust Company
028-15163
SEC FILE NUMBER
N
N
Capital Investment Brokerage, Inc.
8-49118
SEC FILE NUMBER
N
N
Nationwide Financial Services, Inc.
5493001H7AZNDS6BKJ36
N
Y
DWS Distributors, Inc.
5299007T18XBURKJ1V64
N
N
National Financial Services, LLC
549300JRHF1MHHWUAW04
N
Y
BCG Securities, Inc.
8-12680
SEC FILE NUMBER
N
N
L. B. Fisher & Company
8-21023
SEC FILE NUMBER
N
N
MMA Securities LLC
8-50591
SEC FILE NUMBER
N
N
Sanctuary Securities, Inc.
2549007WBAL2Z578XQ34
N
N
Navy Federal Brokerage Services, LLC
8-67161
SEC FILE NUMBER
N
N
TrustFirst, Inc.
8-48509
SEC FILE NUMBER
N
N
BNY Mellon Securities Corporation
8-13801
SEC FILE NUMBER
N
N
S.G. Long & Company
8-51816
SEC FILE NUMBER
N
N
General Securities Corp.
8-31654
SEC FILE NUMBER
N
N
Investment Placement Group
5493005L3RL45FY4HR07
N
N
BD4RIA, Inc.
8-70022
SEC FILE NUMBER
N
N
Sorrento Pacific Financial, LLC
8-66046
SEC FILE NUMBER
N
N
Lincoln Investment Planning, Inc.
8-14354
SEC FILE NUMBER
N
N
Jessup Wealth Management
801-127039
SEC FILE NUMBER
N
N
Buckram Securities LTD
8-65939
SEC FILE NUMBER
N
N
Maxim Group LLC
254900OJ6JZO6SDMHQ83
N
N
Capital Synergy Partners, Inc.
8-68060
SEC FILE NUMBER
N
N
Saxony Securities, Inc.
8-53490
SEC FILE NUMBER
N
N
B.B. Graham & Company, Inc.
8-49477
SEC FILE NUMBER
N
N
Liberty Partners Financial Services, LLC
8-66335
SEC FILE NUMBER
N
N
K. W. Chambers & CO.
8-10533
SEC FILE NUMBER
N
N
Western Growers Financial Services, Inc.
8-53458
SEC FILE NUMBER
N
N
Center Street Securities, Inc.
8-42786
SEC FILE NUMBER
N
N
USCA Securities LLC
254900GBMSP1Y45THR66
N
N
Duncan-Williams, Inc.
25490045VHLUZ7H92Y27
N
N
D.M. Kelly & Company
8-48398
SEC FILE NUMBER
N
N
Benchmark Investments, Inc.
8-52280
SEC FILE NUMBER
N
N
Coordinated Capital Securities, Inc.
8-31173
SEC FILE NUMBER
N
N
Interactive Brokers LLC
50OBSE5T5521O6SMZR28
N
N
GWN Securities Inc.
8-66185
SEC FILE NUMBER
N
N
Cantella & Co., Inc.
254900Z33Q34HCFGHO19
N
N
M. S. Howells & Co.
8-52558
SEC FILE NUMBER
N
N
Searle & Co.
8-28600
SEC FILE NUMBER
N
N
Bley Investments Group, Inc.
8-42701
SEC FILE NUMBER
N
N
Hand Securities, Inc.
8-51001
SEC FILE NUMBER
N
N
M&T Securities, Inc.
254900VRUF9FN7AZI864
N
N
Hennion & Walsh, Inc.
8-41988
SEC FILE NUMBER
N
N
Regions Bank
EQTWLK1G7ODGC2MGLV11
N
N
Altruist Financial LLC
8-70244
SEC FILE NUMBER
N
N
Nelson Ivest Brokerage Services, Inc.
8-26448
SEC FILE NUMBER
N
N
G.A. Repple & Company
8-35315
SEC FILE NUMBER
N
N
Bankers Life Securities, Inc.
549300YBBLCDP5GDSH97
N
N
Cardinal Investments, Inc.
8-47493
SEC FILE NUMBER
N
N
Rogan & Associates, Inc.
8-49995
SEC FILE NUMBER
N
N
RNR Securities, L.L.C.
8-50366
SEC FILE NUMBER
N
N
Trustmont Financial Group, Inc.
8-36439
SEC FILE NUMBER
N
N
First Kentucky Securities Corporation
8-22224
SEC FILE NUMBER
N
N
Landolt Securities, Inc.
254900B2XEQ2HZGN7K90
N
N
Alexander Capital, L.P.
8-48957
SEC FILE NUMBER
N
N
Benjamin F. Edwards & Company, Inc.
8-68023
SEC FILE NUMBER
N
N
Janney Montgomery Scott LLC
549300QQRY1JCFQHYS08
N
N
GRF Capital Investors, Inc.
8-41494
SEC FILE NUMBER
N
N
Hilltop Securities, Inc.
549300IXU82PMU6XZT45
N
N
Rothschild Investment Corporation
8-16429
SEC FILE NUMBER
N
N
LPL Financial LLC
5493005NM7F0H1N3EQ39
N
Y
United States Life Insurance Company in the City of New York
549300C1JQGJ0MNUMG79
N
Y
Carty & Company, Inc.
8-19082
SEC FILE NUMBER
N
N
First Asset Financial, Inc.
8-67191
SEC FILE NUMBER
N
N
The Tavenner Company
8-41206
SEC FILE NUMBER
N
N
Akar Capital Management, Inc.
8-28026
SEC FILE NUMBER
N
N
Gill Capital Partners, LLC
8-30563
SEC FILE NUMBER
N
N
VOYA Investments Distributors, LLC
8-48020
SEC FILE NUMBER
N
N
Avisen Securities, Inc.
8-65833
SEC FILE NUMBER
N
N
Camden Financial Services
8-37303
SEC FILE NUMBER
N
N
Sabadell Securities USA, Inc.
2549002UK8JK82ABGD45
N
N
Woodbury Financial Services, Inc.
8-13846
SEC FILE NUMBER
N
N
Coldstream Securities, Inc.
8-51549
SEC FILE NUMBER
N
N
The Huntington Investment Company
5493004MEJ6IU9SR1R78
N
N
Advisory Group Equity Services, Ltd.
8-32155
SEC FILE NUMBER
N
N
Monere Investments, Inc.
8-52982
SEC FILE NUMBER
N
N
North South Capital, LLC
549300ODEKJCRN2AM859
N
N
Sisung Securities Corporation
254900KJI3EYKKPWT989
N
N
Cambridge Investment Research, Inc.
8-48740
SEC FILE NUMBER
N
N
The Jeffrey Matthews Financial Group, L.L.C.
25490086M6MGMYYVOJ50
N
N
Mack Investment Securities, Inc.
8-35536
SEC FILE NUMBER
N
N
UBATCO & Co.
N/A
N
Y
Keel Point Capital, LLC
8-22990
SEC FILE NUMBER
N
N
American Independent Securities Group, LLC
8-66905
SEC FILE NUMBER
N
N
N.I.S. Financial Services, Inc.
8-15919
SEC FILE NUMBER
N
N
TCAdvisors Network Inc.
8-46909
SEC FILE NUMBER
N
N
Merrill Lynch, Pierce, Fenner & Smith Incorporated
8NAV47T0Y26Q87Y0QP81
N
N
Nations Financial Group, Inc.
8-50588
SEC FILE NUMBER
N
N
T.R. Winston & Company, LLC
8-27519
SEC FILE NUMBER
N
N
VBC Securities, LLC
8-44141
SEC FILE NUMBER
N
N
Thoroughbred Financial Services, LLC
8-51944
SEC FILE NUMBER
N
N
Guardian Insurance & Annuity Company, Inc., The
TGIU5N0SIMULU6I57R64
N
Y
Securities Research, Inc.
8-23699
SEC FILE NUMBER
N
N
J.W. Cole Financial, Inc.
8-65698
SEC FILE NUMBER
N
N
Itau International Securities, Inc.
54930086LDFU8Z86AH91
N
N
First Heartland Capital, Inc.
8-46008
SEC FILE NUMBER
N
N
Muriel Seibert & Co., Inc.
8-14900
SEC FILE NUMBER
N
N
Schlitt Investor Services, Inc.
8-34202
SEC FILE NUMBER
N
N
Northern Trust Securities, Inc.
3CHSO99JSPHD9HGNYJ46
N
N
Intercarolina Financial Services, Inc.
8-37519
SEC FILE NUMBER
N
N
Cetera Investment Services, LLC
254900HBKNJ13M56N432
N
N
Stifel, Nicolaus & Company, Incorporated
5WUVMA08EYG4KEUPW589
N
Y
McDonald Partners LLC
549300PEHG3UH7FAY193
N
N
Invex, Inc.
NPOTUCXQYGXX5PO6VH74
N
N
Independent Financial Group, LLC
254900KYWXHSQ7RMNP09
N
N
Family Investors Company
8-11190
SEC FILE NUMBER
N
N
Westminster Financial Securities, Inc.
8-38426
SEC FILE NUMBER
N
N
Worth Financial Group Inc.
8-29827
SEC FILE NUMBER
N
N
CapFinancial Securities, LLC
8-65870
SEC FILE NUMBER
N
N
American Portfolios Financial Services, Inc.
8-37085
SEC FILE NUMBER
N
N
SecureVest Financial Group
254900LG3HPQV4J0WH27
N
N
FSB Warner Financial, Inc.
8-44865
SEC FILE NUMBER
N
N
Capital Management Securities, Inc.
8-27779
SEC FILE NUMBER
N
N
Hazlett, Burt & Watson, Inc.
8-17737
SEC FILE NUMBER
N
N
Teckmeyer Financial Services, L.L.C.
8-48501
SEC FILE NUMBER
N
N
Cary Street Partners LLC
8-66085
SEC FILE NUMBER
N
N
Mutual Trust Co. of America Securities
254900PUBUB7IS4GNY27
N
N
S.A. Stone Wealth Management
8-36638
SEC FILE NUMBER
N
N
RBC Capital Markets, LLC
549300LCO2FLSSVFFR64
N
Y
Integrated Financial Planning Services
8-35120
SEC FILE NUMBER
DE
N
N
Oak Tree Securities, Inc.
8-36138
SEC FILE NUMBER
N
N
Mesirow Financial, Inc.
549300BIV46SUHPOFE54
N
N
World Choice Securities, Inc.
8-45235
SEC FILE NUMBER
N
N
Cetera Financial Specialists LLC
8-27082
SEC FILE NUMBER
N
N
Midland Securities, Ltd.
8-40685
SEC FILE NUMBER
N
N
Peak Brokerage Services, LLC
8-68829
SEC FILE NUMBER
N
N
Feltl & Company
8-18435
SEC FILE NUMBER
N
N
City National Bank
549300MEMKSF7703ZQ25
N
N
Pruco Securities, LLC.
8-16402
SEC FILE NUMBER
N
N
David Lerner Associates, Inc.
8-20746
SEC FILE NUMBER
N
N
Cutter & Company Brokerage, Inc.
8-39590
SEC FILE NUMBER
N
N
Ascensus Broker Dealer Services, Inc.
8-47312
SEC FILE NUMBER
N
Y
Verity Investments, Inc.
8-49474
SEC FILE NUMBER
N
N
Gardner Financial Services, Inc.
8-38631
SEC FILE NUMBER
N
N
Amuni Financial, Inc
8-25338
SEC FILE NUMBER
N
N
Buckman, Buckman & Reid, Inc.
254900D688L15B5HJB06
N
N
Caldwell Securities, Inc.
549300ORF2FMHXODHJ66
N
N
Axiom Capital Management, Inc.
254900WW7SK1IMK6NO54
N
N
Abacus International Capital Corp.
8-46418
SEC FILE NUMBER
N
N
Allegiance Capital, L.L.C.
8-52978
SEC FILE NUMBER
N
N
SEI Private Trust Company
028-10625
SEC FILE NUMBER
N
Y
Wesbanco Securities, Inc.
8-50220
SEC FILE NUMBER
N
N
Dorn & Co., Inc.
8-08707
SEC FILE NUMBER
N
N
Union Capital Company
8-53127
SEC FILE NUMBER
N
N
American Financial Securities, Inc.
8-53205
SEC FILE NUMBER
N
N
Charles Schwab Bank
549300INFJ8TYNZ1G568
N
Y
First Manhattan Co.
549300NNJKVSO48I3G76
N
N
Etico Partners, LLC
8-65500
SEC FILE NUMBER
N
N
James I. Black & Company
8-12077
SEC FILE NUMBER
N
N
Horan Securities, Inc.
8-49192
SEC FILE NUMBER
N
N
Sunset Financial Services, Inc.
8-14148
SEC FILE NUMBER
N
N
The Investment Center, Inc.
8-35826
SEC FILE NUMBER
N
N
Allen C Ewing & Co.
8-42393
SEC FILE NUMBER
N
N
Principal Securities, Inc.
8-13975
SEC FILE NUMBER
N
N
Coinbase Capital Markets Corporation
8-28032
SEC FILE NUMBER
N
N
Essex Securities LLC
8-51472
SEC FILE NUMBER
N
N
Securian Financial Services, Inc.
8-31955
SEC FILE NUMBER
N
N
D.H. Hill Securities LLP
8-49475
SEC FILE NUMBER
N
N
Hefren-Tillotson, Inc.
8-10646
SEC FILE NUMBER
N
N
Prudential Investment Management Services LLC
8-36540
SEC FILE NUMBER
N
N
Investment Network Inc.
8-66036
SEC FILE NUMBER
N
N
Variable Investment Advisors, Inc.
8-50699
SEC FILE NUMBER
N
N
USAA Investment Management Company
549300VSPLQ1XBNPD479
N
N
The Windmill Group, Inc.
8-25280
SEC FILE NUMBER
N
N
Great-West Financial Retirement Plan Services, LLC
N/A
N
Y
Morgan Stanley Smith Barney LLC
7PDDXEMZ0ZV0CEDU4D16
N
N
International Assets Advisory, LLC
254900ARMOHQNS987S09
N
N
N.E. Private Client Advisors, Ltd.
8-66968
SEC FILE NUMBER
N
N
A.G.P/Alliance Global Partners
549300QJQ08RJGC7D885
N
N
Money Concepts Capital Corp.
8-29671
SEC FILE NUMBER
N
N
Symphonic Securities LLC
8-67220
SEC FILE NUMBER
N
N
AE Financial Services, LLC
8-70214
SEC FILE NUMBER
N
N
USA Financial Securities Corporation
8-52342
SEC FILE NUMBER
N
N
Colliers Securities LLC
549300OD1C69R64IVC38
N
N
XP Securities, LLC
549300HDFLS7P433PO89
N
N
Herndon Plant Oakley, LTD
8-50912
SEC FILE NUMBER
N
N
Wescom Financial Services, LLC
8-66189
SEC FILE NUMBER
N
N
Benefit Plans Administrative Services, Inc.
N/A
N
Y
Neuberger Berman LLC
PWDS3JJ631D5N70JXG61
N
N
Hunter Associates, Inc.
8-44779
SEC FILE NUMBER
N
N
Syndicated Capital, Inc.
8-44162
SEC FILE NUMBER
N
N
Griffinest Asia Securities, LLC
8-66571
SEC FILE NUMBER
N
N
McClurg Capital Corporation
8-34473
SEC FILE NUMBER
N
N
Talcott Resolution Life Insurance Company
8CE7JPU9IU72L3PPD756
N
Y
American Heritage Securities, Inc.
8-44466
SEC FILE NUMBER
N
N
LaSalle St. Securities, L.L.C.
8-18860
SEC FILE NUMBER
N
N
Geneos Wealth Management, Inc.
8-65357
SEC FILE NUMBER
N
N
LifeMark Securities Corp.
8-33478
SEC FILE NUMBER
N
N
Massachusetts Mutual Life Insurance Company
R6ZXK5P01NP6HXSY1S07
N
Y
L.O. Thomas & Co. Inc.
8-40875
SEC FILE NUMBER
N
N
Marsco Investment Corporation
8-36754
SEC FILE NUMBER
N
N
BAC Florida Investments
254900CAF9OPVE8VT408
N
N
White Mountain Capital, LLC
8-52572
SEC FILE NUMBER
N
N
Blakeslee and Blakeslee Inc.
8-32071
SEC FILE NUMBER
N
N
Smith, Moore & Co.
8-27480
SEC FILE NUMBER
N
N
Healthcare Community Securities Corporation
8-46981
SEC FILE NUMBER
N
N
The O.N. Equity Sales Company
8-14161
SEC FILE NUMBER
N
N
Morris Group, Inc.
549300JWKS0KMDOX5G12
N
N
Coker & Palmer, Inc.
254900V1KTPDN88TDS68
N
N
Transamerica Financial Advisors, Inc.
549300JW32XCZSHI0878
N
N
Ascensus Financial Services, LLC
8-67891
SEC FILE NUMBER
N
N
Thurston, Springer, Miller, Herd & Titak, Inc.
8-25452
SEC FILE NUMBER
N
N
Cape Securities Inc.
8-20747
SEC FILE NUMBER
N
N
ADP Broker-Dealer, Inc.
8-47885
SEC FILE NUMBER
N
Y
Alight Financial Solutions LLC
8-47344
SEC FILE NUMBER
N
N
Country Capital Management Company
8-12645
SEC FILE NUMBER
N
N
M Holdings Securities, Inc.
8-50214
SEC FILE NUMBER
N
N
Advanced Advisor Group, LLC
8-67313
SEC FILE NUMBER
N
N
Integral Financial LLC
2549000I2CBZTJRHG786
N
N
Uhlmann Price Securities, LLC
8-50041
SEC FILE NUMBER
N
N
Veritas Independent Partners, LLC
8-69363
SEC FILE NUMBER
N
N
Planned Financial Programs, Inc.
8-05727
SEC FILE NUMBER
N
N
Royal Alliance Associates, Inc.
8-40218
SEC FILE NUMBER
N
N
Fidelity Investments Life
54930024AKTQGTIV1P93
N
N
Crescent Securities Group
8-53457
SEC FILE NUMBER
N
N
MGO Securities Corp.
8-47814
SEC FILE NUMBER
N
N
Robinson & Robinson, Inc.
8-17109
SEC FILE NUMBER
N
N
Wintrust Investments, LLC
8-00484
SEC FILE NUMBER
N
N
Corinthian Partners, L.L.C.
8-48461
SEC FILE NUMBER
N
N
Michigan Securities, Inc. (dba Broadstone Securities)
8-52094
SEC FILE NUMBER
N
N
GWFS Equities, Inc.
8-33854
SEC FILE NUMBER
N
N
Somerset Securities, Inc.
8-11539
SEC FILE NUMBER
N
N
Arive Capital Markets
8-43350
SEC FILE NUMBER
N
N
Lesko Securities Inc.
8-26408
SEC FILE NUMBER
N
N
E*Trade Savings Bank
549300DXPO50FJ75QA85
N
Y
BTS Securities Corporation
8-26818
SEC FILE NUMBER
N
N
Great Point Capital LLC
254900HN4IGCO53HDK23
N
N
Voya Retirement Insurance and Annuity Company
OK3MKCDYPD4NN6QDGK18
N
Y
Genworth Life & Annuity Insurance Company
TAI340D9BWT9R77O0P03
N
N
HSBC Securities (USA), Inc.
CYYGQCGNHMHPSMRL3R97
N
N
PNC Investments, LLC
8-66195
SEC FILE NUMBER
N
N
Lincoln Financial Distributors, Inc.
8-13431
SEC FILE NUMBER
N
N
Callaway Financial Services, Inc.
8-52474
SEC FILE NUMBER
N
N
Access Investments, Inc.
8-49750
SEC FILE NUMBER
N
N
Omega Securities, Inc.
8-20225
SEC FILE NUMBER
N
N
American Enterprise Investment Services Inc.
549300NT7GLLVGTH0249
N
N
The GMS Group, LLC
254900OXZT27TA5CGU56
N
N
Rehmann Financial Network
8-69134
SEC FILE NUMBER
N
N
G. W. & Wade Asset Management Company, LLC
8-42013
SEC FILE NUMBER
N
N
Amegy Investments, Inc. (Zions)
8-65399
SEC FILE NUMBER
N
N
Gerwin Group, Inc.
8-40282
SEC FILE NUMBER
N
N
Johnstone Brokerage
8-70335
SEC FILE NUMBER
N
N
William Blair & Company L.L.C.
549300J0P7XYE8BMZ775
N
N
Spire Securities, LLC
8-67635
SEC FILE NUMBER
N
N
ValMark Securities, Inc.
8-45463
SEC FILE NUMBER
N
N
SunTrust Investment Services, Inc.
8-35355
SEC FILE NUMBER
N
N
NorthWestern Mutual Investment Services, LLC
CYO86L8D7HTXW9SOZX28
N
N
Avondale Partners, LLC
254900799PKXEPTDRJ40
N
N
Investments For You, Inc.
8-44179
SEC FILE NUMBER
N
N
Great American Investors, Inc.
8-44380
SEC FILE NUMBER
N
N
Diversified Resources, LLC
8-45497
SEC FILE NUMBER
N
N
Genworth Life Insurance Company of New York
E5VAS7I8GX5B0SDBX010
N
Y
Principal Life Insurance Company
SDCMU2LVKGV2AF1KWP64
N
Y
BNP Paribas Securities Corp
RCNB6OTYUAMMP879YW96
N
N
Quincy Cass Associates, Incorporated
8-05743
SEC FILE NUMBER
N
N
Parkland Securities, LLC
8-53482
SEC FILE NUMBER
N
N
Nationwide Planning Associates Inc.
8-45310
SEC FILE NUMBER
N
N
Jack V. Butterfield Investment Company
8-12454
SEC FILE NUMBER
N
N
United Planners' Financial Services of America A Limited Partner
8-38485
SEC FILE NUMBER
N
N
Lockton Financial Advisors, LLC
8-67090
SEC FILE NUMBER
N
N
Western Equity Group, Inc.
8-66403
SEC FILE NUMBER
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Middlegate Securities Ltd.
549300ZVONUQ845QCH95
N
N
Woodlands Securities Corporation
8-39700
SEC FILE NUMBER
N
N
Abacus Investments, Inc.
8-46571
SEC FILE NUMBER
N
N
Hazard & Siegel, Inc.
8-13942
SEC FILE NUMBER
N
N
FinTrust Brokerage Services, LLC
8-49514
SEC FILE NUMBER
N
N
IDB Capital Corp.
254900SH3QL0IL3S9R34
N
N
AssetMark Trust Company
N/A
N
N
Cadaret, Grant & Co., Inc.
8-27844
SEC FILE NUMBER
N
N
Anovest Financial Services, Inc.
8-66742
SEC FILE NUMBER
N
N
The Garbacz Group Inc.
8-42366
SEC FILE NUMBER
N
N
Fidelity Brokerage Services LLC
549300OQFQ4NFIOD5695
N
Y
First Southern, LLC
8-69733
SEC FILE NUMBER
N
N
Capital Portfolio Management, Inc.
8-44225
SEC FILE NUMBER
N
N
Boenning & Scattergood, Inc.
2549005FER5A7K7II574
N
N
Proequities, Inc.
8-32590
SEC FILE NUMBER
N
N
Fiduciary Trust International
N1YKEWO2IYPRS4742F57
N
N
Infinex Investments, Inc.
8-46661
SEC FILE NUMBER
N
N
CFS Securities, Inc.
8-51330
SEC FILE NUMBER
N
N
TD Private Client Wealth LLC
8-69105
SEC FILE NUMBER
N
N
Arlington Securities, Inc.
8-38098
SEC FILE NUMBER
N
N
Cuso Financial Services, L.P.
8-49711
SEC FILE NUMBER
N
N
TFS Securities, Inc.
8-38377
SEC FILE NUMBER
N
N
B.C. Ziegler & Company
549300NLEOFP92P38Q71
N
N
CUNA Brokerage Services, Inc.
549300G6Y6BPF9ZL4706
N
N
ACA/Prudent Investors Planning Corporation
8-51899
SEC FILE NUMBER
N
N
Key Investment Services LLC
8-66999
SEC FILE NUMBER
N
N
Capital City Securities, LLC
8-67771
SEC FILE NUMBER
N
N
MSEC, LLC
8-68627
SEC FILE NUMBER
N
N
Prudential Insurance Company of America
Y574KRZ6V5A7UBU45C31
N
Y
International Money Management Group, Inc.
8-30417
SEC FILE NUMBER
N
N
The Strategic Financial Alliance, Inc.
8-65885
SEC FILE NUMBER
N
N
Larson Financial Securities, LLC
8-68456
SEC FILE NUMBER
N
N
VOYA Financial Advisors, LLC
8-46451
SEC FILE NUMBER
N
N
Huntleigh Securities Corporation
8-21893
SEC FILE NUMBER
N
N
Hancock Whitney Investment Services, Inc.
8-49106
SEC FILE NUMBER
N
N
NYLife Securities LLC
8-15517
SEC FILE NUMBER
N
N
Commerce Brokerage Services, Inc.
8-35096
SEC FILE NUMBER
N
N
Sammons Retirement Solutions, Inc.
N/A
N
Y
AqGen Ascensus, Inc.
549300K5MHNFPEU2RK82
N
Y
The Leaders Group, Inc.
8-47639
SEC FILE NUMBER
N
N
Northern Capital Securities Corporation
254900ZANH7XTB94LS53
N
N
Ausdal Financial Partners, Inc.
8-24519
SEC FILE NUMBER
N
N
Sage, Rutty & Co., Inc.
8-00533
SEC FILE NUMBER
N
N
St. Bernard Financial Services, Inc.
8-47566
SEC FILE NUMBER
N
N
Harold W. Dance Inc.
8-12160
SEC FILE NUMBER
N
N
Citizens Bank
254900MFWISYMJ04ZE93
N
N
NTB Financial Corporation
8-21884
SEC FILE NUMBER
N
N
Lincoln Douglas Investments LLC
8-68728
SEC FILE NUMBER
N
N
Brokers International Financial Services, LLC
8-67239
SEC FILE NUMBER
N
N
Holistic Brokerage, LLC
8-51285
SEC FILE NUMBER
N
N
Navaid Financial Services, Inc.
8-49897
SEC FILE NUMBER
N
N
Allianz Life Financial Services, LLC
5493008TSI0TRWDDGW79
N
N
Chapin Davis Inc
8-43485
SEC FILE NUMBER
N
N
Financial Northeastern Securities, Inc.
549300QRRF2NAV5G3869
N
N
UMB Financial Services, Inc.
254900GFVO9NGQ21JC37
N
N
NYLife Distributors LLC
8-46655
SEC FILE NUMBER
N
N
Calamar Financial Group
8-69777
SEC FILE NUMBER
N
N
Xml Securities, LLC
8-67776
SEC FILE NUMBER
N
N
Glen Eagle Advisors LLC
8-65678
SEC FILE NUMBER
N
N
Sanders Morris Harris Inc.
254900ZNPYV465D1NZ47
N
N
Principled Advisors, Inc.
8-66451
SEC FILE NUMBER
N
N
First Financial Securities of America, Inc.
8-29565
SEC FILE NUMBER
N
N
SG Americas Securities, LLC
549300F35UE0BOM1WJ55
N
N
Shareholders Service Group, Inc.
8-65778
SEC FILE NUMBER
N
N
Sycamore Financial Group
8-30302
SEC FILE NUMBER
N
N
Polar Investment Counsel, Inc.
8-50039
SEC FILE NUMBER
N
N
Western International Securities, Inc.
8-48572
SEC FILE NUMBER
N
N
J. Alden Associates, Inc.
8-48938
SEC FILE NUMBER
N
N
ICMA-RC Services, Inc.
8-40268
SEC FILE NUMBER
N
N
World Capital Brokerage, Inc.
8-06805
SEC FILE NUMBER
N
N
Emerson Equity LLC
8-66296
SEC FILE NUMBER
N
N
Vanderbilt Securities, LLC
8-16712
SEC FILE NUMBER
N
N
International Research Securities, Inc.
8-37954
SEC FILE NUMBER
N
N
Ameriprise Financial Services, Inc.
8-16791
SEC FILE NUMBER
N
N
Harbor Investment Advisory, LLC
8-68334
SEC FILE NUMBER
N
N
Laidlaw & Company (UK) Ltd.
8-53731
SEC FILE NUMBER
GB
N
N
Moloney Securities Co., Inc.
8-48326
SEC FILE NUMBER
N
N
Kalos Capital, Inc.
8-50630
SEC FILE NUMBER
N
N
SFA Financial, LLC
8-68156
SEC FILE NUMBER
N
N
Kestra Investment Services, LLC
8-49672
SEC FILE NUMBER
N
N
Synovus Securities, Inc.
254900CM2K7N1E0JF171
N
N
Transamerica Advisors Life Insurance Company
F1PLTWZ8OU4HQGZQAP31
N
N
MWA Financial Services Inc.
8-53255
SEC FILE NUMBER
N
N
Country Club Financial Services, Inc.
8-44574
SEC FILE NUMBER
N
N
Darwood Associates Incorporated
8-16560
SEC FILE NUMBER
N
N
CoreCap Investments, Inc.
8-47783
SEC FILE NUMBER
N
N
APW Capital, Inc.
8-50433
SEC FILE NUMBER
N
N
Chauner Securities, Inc.
8-33980
SEC FILE NUMBER
N
N
M.E. Allison & Co.
801-58195
SEC FILE NUMBER
N
N
Bruderman Brothers, LLC
8-51974
SEC FILE NUMBER
N
N
Tradition Securities and Derivatives Inc.
WRYEFMSVQCH0EMD08461
N
N
Snowden Account Services, Inc.
254900WVSS0BX602UF45
N
N
Folger Nolan Fleming Douglas Incorporated
8-03335
SEC FILE NUMBER
N
N
Purshe Kaplan Sterling Investments
8-46844
SEC FILE NUMBER
N
N
Harbour Investments, Inc.
8-37373
SEC FILE NUMBER
N
N
Whitehall-Parker Securities, Inc.
8-27688
SEC FILE NUMBER
N
N
Mid-Atlantic Clearing & Settlement Corp.
8-47758
SEC FILE NUMBER
N
N
Nicol Investors Corporation
8-65566
SEC FILE NUMBER
N
N
American Global Wealth Management, Inc.
8-21584
SEC FILE NUMBER
N
N
Gold Coast Securities, Inc.
8-53148
SEC FILE NUMBER
N
N
Gregory J. Schwartz & Co., Inc.
8-20955
SEC FILE NUMBER
N
N
SagePoint Financial, Inc.
8-66771
SEC FILE NUMBER
N
N
Smith, Brown & Groover, Inc.
8-13079
SEC FILE NUMBER
N
N
Capital Investment Group, Inc.
8-31225
SEC FILE NUMBER
N
N
Hornor, Townsend & Kent, Inc.
8-14715
SEC FILE NUMBER
N
N
CBIZ Financial Solutions, Inc.
8-34205
SEC FILE NUMBER
N
N
Globalink Securities, Inc.
8-44509
SEC FILE NUMBER
N
N
John Hancock Life Insurance Company
QQ0OZ8J9C4B5QT1XDG31
CA
N
Y
Hanson McClain Retirement Network, LP
8-52250
SEC FILE NUMBER
N
N
Madison Avenue Securities, Inc.
8-40426
SEC FILE NUMBER
N
N
Global Brokerage Services, Inc.
8-47763
SEC FILE NUMBER
N
N
Planmember Securities Corporation
8-25065
SEC FILE NUMBER
N
N
MMC Securities Corp.
2549001ZA93O65N2ZM60
N
N
Client One Securities LLC
8-68494
SEC FILE NUMBER
N
N
Ladenburg Thalman & Co. Inc.
2549000V3L2KK4L76W91
N
N
R. F. Lafferty & Co., Inc.
254900KLPTMWPBZWH264
N
N
WBB Securities, LLC
8-53660
SEC FILE NUMBER
N
N
Saturna Brokerage Services, Inc.
8-36558
SEC FILE NUMBER
N
N
Maplewood Investment Advisors, Inc.
8-52221
SEC FILE NUMBER
N
N
D.A. Davidson & Co.
549300094RQ5A7DYLF51
N
N
JHW Financial Services Inc.
8-45304
SEC FILE NUMBER
N
N
USI Securities, Inc.
8-50429
SEC FILE NUMBER
N
N
1st Discount Brokerage, Inc.
8-48557
SEC FILE NUMBER
N
N
Invicta Capital, LLC
549300QY87LR84LRLL97
N
N
SunTrust Bank
IYDOJBGJWY9T8XKCSX06
N
N
Park Avenue Securities LLC
8-51324
SEC FILE NUMBER
N
N
ViewTrade Securities, Inc.
549300CHLQDUD0NL5851
N
N
CNR Securities LLC
8-36759
SEC FILE NUMBER
N
N
Joseph Gunnar & Co. LLC
2549001XBRI5XQ0ZDA12
N
N
Aufhaser Securities, Inc.
8-48786
SEC FILE NUMBER
N
N
BestVest Investments, Ltd.
254900SL6FW130BMS922
N
N
FSC Securities Corporation
8-21770
SEC FILE NUMBER
N
N
G.L.S. & Associates, Inc.
8-51808
SEC FILE NUMBER
N
N
The Oak Ridge Financial Services Group, Inc.
2549003647MDU9F6QN39
N
N
BBVA Securities Inc.
549300RJFN0Z663VE860
N
N
First Command Financial Planning, Inc.
8-07072
SEC FILE NUMBER
N
N
Broadridge Business Process Outsourcing, LLC
8-53412
SEC FILE NUMBER
N
Y
Next Financial Group, Inc.
8-51356
SEC FILE NUMBER
N
N
United Brokerage Services, Inc.
8-48685
SEC FILE NUMBER
N
N
Watermark Securities, Inc.
8-43902
SEC FILE NUMBER
N
N
Feldstein Financial Group, LLC
8-53388
SEC FILE NUMBER
N
N
J.P. Morgan Institutional Investments Inc.
8-52182
SEC FILE NUMBER
N
N
Federated Securities, Inc.
8-15644
SEC FILE NUMBER
N
N
Carter, Terry & Company, Inc.
8-33797
SEC FILE NUMBER
N
N
Westco Investment Corp.
8-38452
SEC FILE NUMBER
N
N
Impact U. Investments, LLC
8-65527
SEC FILE NUMBER
N
N
Raymond James & Associates, Inc.
U4ONQX15J3RO8XCKE979
N
N
Ni Advisors
8-66841
SEC FILE NUMBER
N
N
GLP Investment Services
8-41868
SEC FILE NUMBER
N
N
McNally Financial Services Corporation
8-65388
SEC FILE NUMBER
N
N
Citizens Securities, Inc.
2138006RAPI5PE2ZGW36
N
N
Pershing, LLC
8-17574
SEC FILE NUMBER
N
Y
Associated Investment Services, Inc.
8-00099
SEC FILE NUMBER
N
N
SWBC Investment Services, LLC
254900YIJJWABADWZ455
N
N
World Equity Group, Inc.
25490078J1OM7KOXR686
N
N
Coastal Equities, Inc.
8-40822
SEC FILE NUMBER
N
N
Fifth Third Bank
QFROUN1UWUYU0DVIWD51
N
N
First National Bank Alaska
25490089V5DJHFQMOA03
N
N
Cabot Lodge Securities, LLC
8-69009
SEC FILE NUMBER
N
N
Rhodes Securities, Inc.
8-37689
SEC FILE NUMBER
N
N
Fortune Financial Services, Inc.
8-49727
SEC FILE NUMBER
N
N
First Western Securities, Inc.
8-37613
SEC FILE NUMBER
N
N
Equity Services, Inc.
8-14286
SEC FILE NUMBER
N
N
Brooklight Place Securities, Inc.
8-32673
SEC FILE NUMBER
N
N
Hancock Whitney Corporation
549300GRNBWY8HIICT41
N
N
Dinosaur Financial Group, LLC
549300CCV3H232GBUN83
N
N
Citigroup Global Markets Inc.
MBNUM2BPBDO7JBLYG310
N
N
Dempsey Lord Smith, LLC
8-67469
SEC FILE NUMBER
N
N
Buell Securities Corp
8-22058
SEC FILE NUMBER
N
N
PNC Bank, N.A.
AD6GFRVSDT01YPT1CS68
N
N
Superior Financial Services, Inc.
549300BK1DNLS1A2MZ43
N
N
J.P. Morgan Securities LLC
ZBUT11V806EZRVTWT807
N
N
Fieldpoint Private Securities, LLC
8-37105
SEC FILE NUMBER
N
N
Northland Securities, Inc.
254900ZIK4MLVQAWLS15
N
N
Titleist Capital, LLC
8-65859
SEC FILE NUMBER
N
N
Innovation Partners LLC
549300IEQ78ON1HMTU71
N
N
Rockefeller Financial, LLC
8-70054
SEC FILE NUMBER
N
N
Actinver Securities, Inc.
254900FT947VQZ1WHT28
N
N
Fidelity Investments Institutional Operations Company, Inc.
549300XVSM8LN3LQOK63
N
Y
Arkadios Capital
8-69729
SEC FILE NUMBER
N
N
BOK Financial Securities, Inc.
2Q57THMJB7JL1206V012
N
N
Wellington Shields & Co., LLC
8-68098
SEC FILE NUMBER
N
N
Pyramid Funds Corporation
8-12769
SEC FILE NUMBER
N
N
Davenport & Company LLC
254900GN2SAXJGLMS075
N
N
Newport Group, Inc.
N/A
N
Y
Sentinel Securities, Inc.
8-53142
SEC FILE NUMBER
N
N
Parkmount Financial Partners LLC
801-127185
SEC FILE NUMBER
N
N
First Mercantile Trust Company
028-10498
SEC FILE NUMBER
N
Y
Pensionmark Securities, LLC
8-69773
SEC FILE NUMBER
N
N
Gradient Securities, LLC
8-66032
SEC FILE NUMBER
N
N
Profinancial, Inc.
8-32026
SEC FILE NUMBER
N
N
Cresap, Inc.
8-42117
SEC FILE NUMBER
N
N
Farmers Financial Solutions, LLC
8-52361
SEC FILE NUMBER
N
N
Conduent HR Services LLC
8-61145
SEC FILE NUMBER
N
Y
BancWest Investment Services, Inc.
5493001GJYTESEZEBA51
N
N
Packerland Brokerage Services, Inc.
8-47572
SEC FILE NUMBER
N
N
Lion Street Financial, LLC
8-69183
SEC FILE NUMBER
N
N
Southeast Investments, N.C., Inc.
8-50127
SEC FILE NUMBER
N
N
Grant Williams L.P.
8-51249
SEC FILE NUMBER
N
N
Deutsche Bank Securities Inc.
9J6MBOOO7BECTDTUZW19
N
N
People's Securities, Inc.
8-29667
SEC FILE NUMBER
N
N
R.M. Stark & Co., Inc.
8-22543
SEC FILE NUMBER
N
N
Conover Securities Corporation
8-35085
SEC FILE NUMBER
N
N
Henley & Company LLC
8-66463
SEC FILE NUMBER
N
N
Comerica Securities, Inc.
5493009QV211JEW7ZV59
N
N
Mutual Funds Associates, Inc.
8-13026
SEC FILE NUMBER
N
N
Crown Capital Securities, L.P.
8-17264
SEC FILE NUMBER
N
N
Ceros Financial Services, Inc.
549300N2YQ0P5G0WE562
N
N
Fairport Capital, Inc.
8-32162
SEC FILE NUMBER
N
N
Private Client Services, LLC
8-68183
SEC FILE NUMBER
N
N
Alight Solutions LLC
084-01996
SEC FILE NUMBER
N
Y
TradeStation Securities, Inc.
549300T08P71XXBYLW62
N
N
Investshares, Inc
8-68365
SEC FILE NUMBER
N
N
New England Pension Plan Systems, LLC
N/A
N
Y
Avantax Wealth Management, Inc
8-29533
SEC FILE NUMBER
N
N
American Century Investment Services, Inc.
8-35220
SEC FILE NUMBER
N
N
Equitable Advisors, LLC
8-17883
SEC FILE NUMBER
N
N
Consolidated Financial Investments, Inc.
8-37004
SEC FILE NUMBER
N
N
Horace Mann Investors, Inc.
8--6082
SEC FILE NUMBER
N
N
Santander Securities LLC
8-49571
SEC FILE NUMBER
N
N
MML Distributors, LLC
8-48203
SEC FILE NUMBER
N
N
SECU Brokerage Services
8-37927
SEC FILE NUMBER
N
N
Nationwide Securities, LLC
8-12500
SEC FILE NUMBER
N
N
VALIC Financial Advisors, Inc.
8-50018
SEC FILE NUMBER
N
N
LaBrunerie Financial Services, Inc.
8-47830
SEC FILE NUMBER
N
N
CFD Investments, Inc.
8-41727
SEC FILE NUMBER
N
N
Commonwealth Equity Services, Inc.
8-24040
SEC FILE NUMBER
N
N
Sorsby Financial Corp.
8-48718
SEC FILE NUMBER
N
N
Investment Security Corporation
8-51832
SEC FILE NUMBER
N
N
Institutional Securities Corporation
2549007EJ1PSLA8XVA50
N
N
CIBC World Markets Corp.
549300445CON3DBMU275
N
N
J.D. Seibert & Company, Inc.
8-23604
SEC FILE NUMBER
N
N
Aon Benfield Securities, Inc.
5493002ME0O127QJJG03
N
N
Loria Financial Group, LLC
8-52128
SEC FILE NUMBER
N
N
Inverness Securities, LLC
8-66278
SEC FILE NUMBER
N
N
DMK Advisor Group, Inc.
8-49279
SEC FILE NUMBER
N
N
Cetera Advisor Networks LLC
8-29577
SEC FILE NUMBER
N
N
Omni Financial Securities
8-44034
SEC FILE NUMBER
N
N
Umpqua Investments, Inc.
8-02915
SEC FILE NUMBER
N
N
Goldman Sachs & Co. LLC
FOR8UP27PHTHYVLBNG30
N
N
Westport Resources Investment Services, Inc.
8-40904
SEC FILE NUMBER
N
N
ING Financial Markets LLC
KBVRJ5K57JZ3E2AVWX40
N
N
Centennial Securities Company, LLC
8-23406
SEC FILE NUMBER
N
N
FMN Capital Corporation
8-48082
SEC FILE NUMBER
N
N
Regulus Advisors, LLC
8-68275
SEC FILE NUMBER
N
N
Herbert J. Sims & Co. Inc.
254900SV6UESQBS8XP98
N
N
FMSBonds, Inc.
549300TUTBK58NSF2517
N
N
Garden State Securities, Inc.
8-25790
SEC FILE NUMBER
N
N
MML Investors Services, LLC
8-27250
SEC FILE NUMBER
N
N
Hartford Funds Management Company, LLC
801-77209
SEC FILE NUMBER
N
Y
Edward D. Jones & Co., L.P.
YZRCLX72FTV74B522G90
N
N
Paradigm Equities, Inc.
8-45593
SEC FILE NUMBER
N
N
T. Rowe Price Retirement Plan Services, Inc.
8-25130
SEC FILE NUMBER
N
Y
Ace Diversified Capital, Inc.
8-49555
SEC FILE NUMBER
N
N
Oberweis Securities, Inc.
5493008EZH6DO1631P71
N
N
Valley National Investments, Inc.
8-34427
SEC FILE NUMBER
N
N
Alliant Securities, Inc. Turner, Nord, Kienbaum
8-23305
SEC FILE NUMBER
N
N
Voya Institutional Plan Services, LLC
N/A
N
N
Dominion Investor Services, Inc.
8-39029
SEC FILE NUMBER
N
N
Raymond James Financial Services, Inc.
RGUZHJ05YTITL6D76949
N
N
Halliday Financial, LLC
8-45529
SEC FILE NUMBER
N
N
Lantern Investments, Inc.
8-45285
SEC FILE NUMBER
N
N
Wood (Arthur W.) Company, Inc.
8-03368
SEC FILE NUMBER
N
N
CGIS Securities LLC
254900GOI7SHVRZ5BG90
N
N
Arete Wealth Management, LLC
8-50854
SEC FILE NUMBER
N
N
Calton & Associates, Inc.
254900TDJ7LH64ZKRY86
N
N
TCFG Wealth Management, LLC
8-69089
SEC FILE NUMBER
N
N
Empire Asset Management Company
8-67520
SEC FILE NUMBER
N
N
B. Riley Wealth Management Holdings, Inc
8-31206
SEC FILE NUMBER
N
N
Nestlerode & Loy, Inc.
8-12629
SEC FILE NUMBER
N
N
American Financial Associates, Inc.
8-44065
SEC FILE NUMBER
N
N
Hightower Securities, LLC
549300F189LKWDZLP954
N
N
Prospera Financial Services, Inc.
8-28164
SEC FILE NUMBER
N
N
Planners Financial Services, Inc.
8-18027
SEC FILE NUMBER
N
N
Berthel, Fisher & Company Financial Services, Inc.
8-29426
SEC FILE NUMBER
N
N
Devenir, LLC
8-65837
SEC FILE NUMBER
N
N
Insigneo Securities, LLC
254900P4TTO6PU1VDH88
N
N
Mercer HR Services, LLC
N/A
N
Y
BTG Pactual US Capital, LLC
549300EUEDL5GKQW8U35
N
N
Nest Investments BD, LLC
8-70117
SEC FILE NUMBER
N
N
Triad Advisors, Inc.
8-42007
SEC FILE NUMBER
N
N
Rodgers Brothers, Inc.
8-33475
SEC FILE NUMBER
N
N
Jefferies, LLC
58PU97L1C0WSRCWADL48
N
N
Benefit Trust Company
N/A
N
Y
Unionbanc Investment Services, LLC
254900Y9HI2TG6D79N41
N
N
Chalice Capital Partners, LLC
8-69967
SEC FILE NUMBER
N
N
Digital Retirement Solutions, Inc.
N/A
N
Y
Securities Equity Group
8-51706
SEC FILE NUMBER
N
N
Landaas & Company
8-51826
SEC FILE NUMBER
N
N
Reliance Trust Company
549300NV8FSQRNOUQO50
N
Y
Barclays Capital Inc.
AC28XWWI3WIBK2824319
N
N
Mutual Securities, Inc.
8-28580
SEC FILE NUMBER
N
N
Aventura Securities, LLC
8-67458
SEC FILE NUMBER
N
N
American United Life Insurance Company
549300T82H2DXU80LV98
N
Y
Capital Institutional Services, Inc.
54930061X8RDWFDJIS05
N
N
First Horizon Advisors, Inc.
8-35061
SEC FILE NUMBER
N
N
Excel Securities & Associates, Inc.
8-34261
SEC FILE NUMBER
N
N
Lincoln Financial Securities Corporation
8-14609
SEC FILE NUMBER
N
N
UBS AG, New York Branch
BFM8T61CT2L1QCEMIK50
N
N
OneAmerica Securities, Inc.
8-15009
SEC FILE NUMBER
N
N
Wells Fargo Clearing Services, LLC
88KRVSOEKUGQZJ3DKW55
N
Y
MidWestern Securities Trading Company, LLC
8-52074
SEC FILE NUMBER
N
N
Mutual of Omaha Investor Services, Inc.
8-47290
SEC FILE NUMBER
N
N
Securities America, Inc.
8-26602
SEC FILE NUMBER
N
N
Davinci Capital Management Inc.
8-51580
SEC FILE NUMBER
N
N
Maine Securities Corp.
8-34889
SEC FILE NUMBER
N
N
Teachers Insurance and Annuity Association of America
O06YD7BJ4EPYNABVFN69
N
Y
Boreal Capital Securities LLC
549300NMHK6HTSKCG696
N
N
Pinnacle Investments, LLC
254900US8A3INCT1MK59
N
N
OFG Financial Services, Inc.
8-40770
SEC FILE NUMBER
N
N
State Farm VP Management Corp
8-50128
SEC FILE NUMBER
N
N
L.M. Kohn & Company
8-43303
SEC FILE NUMBER
N
N
Signature Securities Group Corporation
8-52697
SEC FILE NUMBER
N
N
John Hancock Trust Company LLC
549300W205WZCFZS6R51
N
Y
Mid Atlantic Capital Corporation
549300HJL2LPNSC0JX96
N
N
Century Securities Associates, Inc.
8-43514
SEC FILE NUMBER
N
N
Vision Financial Markets LLC
549300J0X8HK9GUADL55
N
N
Intercam Securiteis, Inc.
8-67840
SEC FILE NUMBER
N
N
Portsmouth Financial Services
8-30097
SEC FILE NUMBER
N
N
First Honolulu Securities, Inc.
8-23919
SEC FILE NUMBER
N
N
H. Beck, Inc.
8-31165
SEC FILE NUMBER
N
N
Carl M. Hennig, Inc.
8-14509
SEC FILE NUMBER
N
N
Brighton Securities Corp.
8-14599
SEC FILE NUMBER
N
N
TD Ameritrade Clearing, Inc.
MRK678VXOI09YSSN8X19
N
Y
Centaurus Financial, Inc.
8-45185
SEC FILE NUMBER
N
N
Bankoh Investment Services, Inc.
8-44201
SEC FILE NUMBER
N
N
Vanguard Marketing Corporation
8-21570
SEC FILE NUMBER
N
N
Pershing Advisor Solutions, LLC
549300KTC63JRN36GZ84
N
N
Vorpahl Wing Securities
8-51823
SEC FILE NUMBER
N
N
Safra Securities LLC
E51AOUORNWWT747CBW71
N
N
NBC Securities, Inc.
254900GIP7RJQGHH5S19
N
N
Liberty Capital Investment Corporation
8-42051
SEC FILE NUMBER
N
N
Highlander Capital Group, Inc.
8-37169
SEC FILE NUMBER
N
N
Investment Planners, Inc.
8-35642
SEC FILE NUMBER
N
N
Leumi Investment Services Inc.
5493005SJQ3VQ5DEE756
N
N
First Republic Securities Company, LLC
5493000IMDFZDQYB2Q11
N
N
Signature Estate Securities, Inc.
8-33854
SEC FILE NUMBER
N
N
Amerant Investments, Inc.
254900M8G8SSAIMHET60
N
N
PTI Securities & Futures L.P.
8-44412
SEC FILE NUMBER
N
N
Allstate Financial Services, LLC
8-36365
SEC FILE NUMBER
N
N
Roberts & Ryan Investments Inc.
254900A6VIVO4DP1T126
N
N
Leigh Baldwin & Co., LLC
8-48385
SEC FILE NUMBER
N
N
Standard Insurance Company
549300KVA8DBYKHPXO21
N
Y
Silver Oak Securities, Incorporated
8-51601
SEC FILE NUMBER
N
N
Voya Financial Partners, LLC
8-13987
SEC FILE NUMBER
N
N
Independence Capital Co., Inc.
8-41331
SEC FILE NUMBER
N
N
R. Seelaus & Co., Inc.
2138004J7AJDLCOJYA06
N
N
Ameritas Investment Corp.
549300913B54XKSRM258
N
N
Regal Securities, Inc.
8-21765
SEC FILE NUMBER
N
N
McLaughlin Ryder Investments, Inc.
8-67911
SEC FILE NUMBER
N
N
Access Financial Group, Inc.
8-46065
SEC FILE NUMBER
N
N
Logan Group Securities
8-48995
SEC FILE NUMBER
N
N
Harvest Financial Corporation
8-26037
SEC FILE NUMBER
N
N
TimeCapital Securities Corporation
8-18248
SEC FILE NUMBER
N
N
ACP Securities, LLC
254900GHLAGD9J81O211
N
N
Thompson Davis & Co., Inc.
8-49386
SEC FILE NUMBER
N
N
Allegheny Investments, Ltd.
8-22183
SEC FILE NUMBER
N
N
Pacific Financial Associates, Inc.
8-40712
SEC FILE NUMBER
N
N
SKA Securities, Inc.
8-53366
SEC FILE NUMBER
N
N
First Citizens Investor Services, Inc.
8-50696
SEC FILE NUMBER
N
N
L.S.Y., Inc.
8-17613
SEC FILE NUMBER
N
N
KW Securities Corporation
8-24792
SEC FILE NUMBER
N
N
American Equity Investment Corporation
8-49078
SEC FILE NUMBER
N
N
Oriental Financial Services Corp.
8-44516
SEC FILE NUMBER
N
N
Signal Securities, Inc.
8-32948
SEC FILE NUMBER
N
N
Hantz Financial Services, Inc.
8-51291
SEC FILE NUMBER
N
N
TD Ameritrade, Inc.
CWQYQU0TV2NLMLZKNB44
N
Y
Woodmen Financial Services, Inc.
8-53592
SEC FILE NUMBER
N
N
Classic LLC
8-68981
SEC FILE NUMBER
N
N
PTS Brokerage, LLC
8-65173
SEC FILE NUMBER
N
N
Folio Investments, Inc.
8-52009
SEC FILE NUMBER
N
N
The Lawrence D. Vitez Corp. DBA Consolidated Securities
8-48642
SEC FILE NUMBER
N
N
Cannon Securities, Inc.
8-68437
SEC FILE NUMBER
N
N
San Blas Securities LLC
25490079436TZN10JD83
N
N
Zions Direct, Inc.
8-35721
SEC FILE NUMBER
N
N
SCF Securities, Inc.
8-51760
SEC FILE NUMBER
N
N
American Capital Partners, LLC
254900I8NH46ZJJ4Z956
N
N
Eagles Coast Capital
8-70137
SEC FILE NUMBER
N
N
Portfolio Resources Group, Inc.
549300TKCYL1XNXOL896
N
N
Samuel A Ramirez & Co., Inc.
254900CBKVW7O2ENQA21
N
N
Insight Securities, Inc.
2549007I5MCG270G9341
N
N
VectorGlobal WMG
254900K52VRYBHUGBC64
N
N
Bolton Global Capital
2549009M08YVOG46LO79
N
N
TRG Advisors, Inc.
8-50449
SEC FILE NUMBER
N
N
Sunstreet Securities, LLC
8-67541
SEC FILE NUMBER
N
N
E. E. Powell & Company Inc.
8-01893
SEC FILE NUMBER
N
N
Sunbelt Securities, Inc.
8-49748
SEC FILE NUMBER
N
N
KCD Financial, Inc.
8-66005
SEC FILE NUMBER
N
N
Multiple Financial Services, Inc.
8-52017
SEC FILE NUMBER
N
N
Morgan Stanley & Co. LLC
9R7GPTSO7KV3UQJZQ078
N
N
E*Trade Securities
8-44112
SEC FILE NUMBER
N
N
Chelsea Morgan Securities, Inc.
8-51916
SEC FILE NUMBER
N
N
UBS Financial Services Inc.
ETYRV6ORNFJB5NONI676
N
N
Andbanc Brokerage, LLC
213800E4CWGFMCDQZ792
N
N
IFP Securities
8-70150
SEC FILE NUMBER
N
N
Piper Jaffray & Co.
549300GRQCWQ3XGH0H10
N
N
Stephens Inc.
213800LH6T9XDYZCA534
N
N
Wright Investors' Service Distributors, Inc.
8-29579
SEC FILE NUMBER
N
N
Capitol Securities Management, Inc.
8-30353
SEC FILE NUMBER
N
N
Investors Brokerage of Texas, Ltd.
8-28644
SEC FILE NUMBER
N
N
Intervest International Equities Corporation
8-38156
SEC FILE NUMBER
N
N
Trade-PMR Inc.
8-51390
SEC FILE NUMBER
N
N
Jacques Financial, LLC
8-52675
SEC FILE NUMBER
N
N
Charles Schwab & Co., Inc.
549300ZP8XN77GK5BS04
N
Y
Y
BLACKROCK ADVISORS, LLC
5493001LN9MRM6A35J74
Y
N
BNY Mellon Investment Servicing (US) Inc.
549300CFZQLI9QMJ1Z03
N
Y
N
BLACKROCK EXECUTION SERVICES
008-48719
000039438
549300HFCRQ0NT5KY652
0.00000000
BLACKROCK INVESTMENTS, LLC
008-48436
000038642
54930061FBHCKXL2G714
0.00000000
JEFFERIES LLC
008-15074
000002347
58PU97L1C0WSRCWADL48
43818.00000000
MORGAN STANLEY & CO. LLC
008-15869
000008209
9R7GPTSO7KV3UQJZQ078
31419.00000000
CARNEGIE, INC.
008-45389
000031184
549300TV0TOBI3QUPX65
8769.00000000
CREDIT SUISSE SECURITIES (USA) LLC
008-00422
000000816
1V8Y6QCX6YMJ2OELII46
32555.00000000
OPPENHEIMER & CO. INC.
008-04077
000000249
254900VH02JQR2L8XD64
57874.00000000
CANTOR FITZGERALD & CO.
008-00201
000000134
5493004J7H4GCPG6OB62
19737.00000000
BARCLAYS CAPITAL, INC.
008-41342
000019714
AC28XWWI3WIBK2824319
20859.00000000
J.P. Morgan Securities LLC
008-35008
000000079
ZBUT11V806EZRVTWT807
129169.00000000
UBS Securities LLC
008-22651
000007654
T6FIZBDPKLYJKFCRVK44
14211.00000000
GOLDMAN SACHS & CO. LLC
008-00129
000000361
FOR8UP27PHTHYVLBNG30
82090.00000000
502652.00000000
BYTEDANCE LTD.
N/A
N/A
54930057HU24VGK3CO92
KY
1043517.00000000
BlackRock Liquidity Funds T-Fund
N/A
N/A
5493002L9DNZ83RX7V61
1592922554.00000000
1593966071.00000000
Y
3070721641.00000000
0.00000000
Committed
1750000000.00000000
N
N
N
N
false
false
true
false
false
false
INTERNAL CONTROL RPT
2
brcapitalappreciationfd.htm
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
To the Shareholders and Board of Directors of BlackRock Capital Appreciation Fund, Inc., and the Shareholders of BlackRock Health Sciences Opportunities Portfolio, BlackRock Infrastructure Sustainable Opportunities Fund, BlackRock Mid-Cap Growth Equity Portfolio, and BlackRock Technology Opportunities Fund and the Board of Trustees of BlackRock FundsSM:
In planning and performing our audits of the financial statements of BlackRock Capital Appreciation Fund, Inc., and BlackRock Health Sciences Opportunities Portfolio, BlackRock Infrastructure Sustainable Opportunities Fund, BlackRock Mid-Cap Growth Equity Portfolio, and BlackRock Technology Opportunities Fund of BlackRock FundsSM (the “Funds”) as of and for the year ended May 31, 2023, in accordance with the standards of the Public Company Accounting Oversight Board (United States) (PCAOB), we considered the Funds’ internal control over financial reporting, including controls over safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-CEN, but not for the purpose of expressing an opinion on the effectiveness of the Funds’ internal control over financial reporting. Accordingly, we express no such opinion.
The management of the Funds is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. A company's internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles. A company's internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the company; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with generally accepted accounting principles, and that receipts and expenditures of the company are being made only in accordance with authorizations of management and directors of the company; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use, or disposition of a company's assets that could have a material effect on the financial statements.
Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions or that the degree of compliance with the policies or procedures may deteriorate.
A deficiency in internal control over financial reporting exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the company’s annual or interim financial statements will not be prevented or detected on a timely basis.
Our consideration of the Funds’ internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control that might be material weaknesses under standards established by the PCAOB. However, we noted no deficiencies in the Funds’ internal control over financial reporting and its operation, including controls over safeguarding securities, that we consider to be a material weakness, as defined above, as of May 31, 2023.
This report is intended solely for the information and use of management and the Board of Directors/Trustees of the Funds and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties.
/s/ Deloitte & Touche LLP
Deloitte & Touche LLP
Boston, Massachusetts
July 21, 2023