DAILY INFORMATION
In accordance with CFTC §1.55 (o)(1)(i)-(iii), Phillip Capital provides you with daily financial information (for the most recent 12 months) on 1.20 Customer Segregation, 30.7 Secured and Cleared Swap Customer balances:

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MONTHLY INFORMATION
In accordance with CFTC §1.55 (o)(1)(vi), Phillip Capital provides you with our unaudited financial statement information for the most current 12-month period:


MONTHLY CAPITAL INFORMATION
In accordance with CFTC §1.55 (o)(1)(iv), Phillip Capital provides you with our adjusted net capital, net capital, excess net capital, reflecting balances as of the month-end for the 12 most recent months:

CAP INFONov 2018Dec 2018Jan 2019Feb 2019Mar 2019Apr 2019May 2019Jun 2019Jul 2019Aug 2019Sep 2019Oct 2019
Net Capital$26,441,269.00$32,359,781.00$32,038,155.00$35,036,910.00$35,320,288.00$35,057,528.00$35,964,647.00$35,073,258.00$35,581,542.00$35,435,739.00$35,443,593.00$35,308,007.00
Adjusted Net Capital$24,524,304.00$30,506,403.00$30,271,888.00$33,374,187.00$33,702,572.00$33,385,153.00$34,166,409.00$33,456,900.00$34,032,696.00$34,122,907.00$34,067,511.00$33,956,121.00
Excess Net Capital$11,889,096.00$17,124,499.00$16,644,447.00$19,338,593.00$21,716,984.00$17,262,245.00$18,206,600.00$19,024,777.00$17,980,207.00$17,100,380.00$15,441,090.00$15,022,615.00


ANNUAL INFORMATION
In accordance with CFTC §1.55 (o) (1) (v), Phillip Capital provides you with our most recent certified annual financial statement(s):


REGULATOR LINKS
In accordance with CFTC §1.55 (o) (3): Financial information regarding Phillip Capital Inc. (“Phillip Capital”), including how Phillip Capital invests and holds customer funds, may be obtained from the National Futures Association. Below is a link the Web site of the National Futures Association's Basic System where information regarding Phillip Capital investment of customer funds is maintained.
National Futures Association

In accordance with CFTC §1.55 (o) (4): Additional financial information on all futures commission merchants is available from the Commodity Futures Trading Commission. Below is a link to the web site of the CFTC.
Commodity Futures Trading Commission