# EDGAR Filing Document

**Accession Number:** 0001640367
**File Stem:** 0001640367-26-000008
**Filing Date:** 2026-4
**Character Count:** 11487
**Document Hash:** 5f2d98ce874738d1c83ac78fc90f9100
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001640367-26-000008.hdr.sgml**: 20260402

**ACCESSION NUMBER**: 0001640367-26-000008

**CONFORMED SUBMISSION TYPE**: MA-A

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20251231

**FILED AS OF DATE**: 20260402

**DATE AS OF CHANGE**: 20260402

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** ARK Global LLC
- **CENTRAL INDEX KEY:** 0001640367

**ORGANIZATION NAME:**
- **EIN:** 432118629
- **STATE OF INCORPORATION:** NY
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** MA-A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 867-01783
- **FILM NUMBER:** 26831180

**BUSINESS ADDRESS:**
- **STREET 1:** 125 FROEHLICH FARM BLVD
- **CITY:** WOODBURY
- **STATE:** NY
- **ZIP:** 11797
- **BUSINESS PHONE:** 6318455100

**MAIL ADDRESS:**
- **STREET 1:** 125 FROEHLICH FARM BLVD
- **CITY:** WOODBURY
- **STATE:** NY
- **ZIP:** 11797

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM MA: UNIFORM APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

### Filer and Contact Information

**Filer CIK:** 0001640367

**Filer CCC:** XXXXXXXX

**Contact Name:** Michelle Thomas

**Contact Phone:** 6313893964

**Contact Email:** michelle@vblt.com

**Notification Emails:** compliance@vanderbiltsecurities.com

### Type of Filing

**Selected Filing Type:** Annual Update

### Item 1: Identifying Information

**A. Full Legal Name of the Firm:** ARK Global LLC

**&nbsp;&nbsp;&nbsp;Organization CRD No.:** 172684

**&nbsp;&nbsp;&nbsp;Is applicant a Sole Proprietor?:** No

**&nbsp;&nbsp;&nbsp;Has the municipal legal name changed since the last filing?:** No

**&nbsp;&nbsp;&nbsp;Has the applicant had any previous DBA names?:** No

**&nbsp;&nbsp;&nbsp;Does the applicant have any additional DBA names?:** No

**C. IRS Employer Identification Number:** 43-2118629

**D. Registrations:**

- **Municipal Advisor:** SEC File No: 867-01783

- **Broker-Dealer:** SEC File No: 008-69520, CRD No: 172684

**E. Principal Office and Place of Business:** 125 Froehlich Farm Blvd, Woodbury, NY, 11797

**Telephone Number:** 631-845-5100

**Mailing Address is Different from Principal Office:** No

**F. Website:** www.arkglobalonline.com

**G. Chief Compliance Officer (CCO):**

**Name:** Michelle Denise Thomas

**Titles:** Chief Compliance Officer

**Address:** 125 Froehlich Farm Blvd, Woodbury, NY, 11797

**Phone Number:** 631-845-5100

**Email:** michelle@vblt.com

**I. Location of Books and Records:** No

### Item 2: Form of Organization

**A. Applicant's form of organization:** Limited Liability Company (LLC)

**B. Month of Applicant's Annual Fiscal Year End:** December

**C. State, Other U.S. Jurisdiction, or Foreign Jurisdiction Under Which Applicant is Organized:** NY

**D. Date of Organization:** 03-01-2007

**E. Is the applicant a public reporting company?:** No

### Item 3: Successions

**Is the applicant succeeding to the business of a registered municipal advisor?** No

### Item 4: Information About Applicant's Business

**A. Number of Employees:** 2

**B. Municipal Advisory Activities - Employees:** 1

**C. Registered Representatives - MAA Employees also registered reps of a broker-dealer:** 1

**&nbsp;&nbsp;&nbsp;MAA Employees also associated with an investment adviser:** 0

**D. Public Relations Company?:** No

**E. Soliciting on Behalf of an Affiliate - Number of firms:** 0

**F. Types of Clients - Number of clients served as municipal advisor:** 0

**&nbsp;&nbsp;&nbsp;Types of Clients:** Not Applicable

**G. Solicitation of Municipal Entities and Obligated Persons - Municipal Entities:** 0

**&nbsp;&nbsp;&nbsp;Obligated Persons:** 0

**&nbsp;&nbsp;&nbsp;Total Solicited:** 0

**H. Types of Persons Solicited:** 
Public pension funds
529 Plans
Local government investment pools
State government investment pools
Hospitals
Colleges
, Public pension funds, 529 Plans, Local government investment pools, State government investment pools, Hospitals, Colleges

**I. Compensation Arrangements (Municipal Advisory):** 
Not Applicable
, Not Applicable

**J. Compensation Arrangements (Solicitation):** 
Fixed Fees
Contingent Fees
, Fixed Fees, Contingent Fees

**K. Does the applicant receive compensation in the context of its municipal advisory business from other than its municipal entity or obligated person clients?:** No

**L. Applicant Business Relating to Municipal Securities:** Solicitation Of IAB

### Item 5: Other Business Activities

- **Broker-Dealer:** Actively Engaged: Yes, Primary Business: Yes

**Is applicant engaged in any other non-municipal advisor business?** No

### Item 6: Financial Industry and Other Activities of Associated Persons

**Types of associated persons:** 

**Total Associated Persons:** 0

### Item 7: Participation or Interest in Client Transactions

- **Buy or sell municipal securities from or to municipal advisory clients for the firm's own account?:** No

- **Buy or sell municipal securities from or to third-parties on behalf of clients?:** No

- **Enter into derivatives transactions with clients for the firm's own account?:** No

- **Recommend to clients to buy/sell securities in which the firm has a financial interest?:** No

- **Recommend to clients products/services of an affiliated person?:** No

- **Recommend to clients securities of an issuer with which the firm has other relationships?:** No

- **Have discretionary authority to buy/sell municipal securities for clients?:** No

- **Have discretionary authority to buy/sell any other securities or investments for clients?:** No

- **Have discretionary authority to determine the broker-dealer to be used for client transactions?:** No

- **Have discretionary authority to determine the commission paid to a broker-dealer?:** No

- **Recommend broker-dealers to clients?:** No

- **&nbsp;&nbsp;&nbsp;If yes, are any of these broker-dealers an associated person of the applicant?:** —

- **Compensate any person for client referrals?:** No

- **Receive compensation from any person for client referrals?:** No

### Item 8: Owners, Officers, and Other Control Persons

**A. (2) Does any person not named in Item 1-A or Schedules A, B, or C, directly or indirectly, control the applicant's management or policies?** No

**B. (1) Is any person in Schedule A, B, or C, or in Section 8-A of Schedule D a public reporting company?** No

### Item 9: Disclosure Information

**Criminal Disclosure:**

- **Applicant/Advisory Affiliate Convicted/Pled Guilty to Felony?:** No

- **Applicant/Advisory Affiliate Charged with Felony?:** No

- **Organization Convicted/Pled Guilty to Felony?:** No

- **Organization Charged with Felony?:** No

**Regulatory Disclosure:**

- **SEC/CFTC Found False Statement?:** No

- **SEC/CFTC Found Violation?:** No

- **SEC/CFTC Found Cause of Denial/Suspension?:** No

- **SEC/CFTC Entered Order?:** No

- **SEC/CFTC Imposed Civil Penalty?:** No

- **SRO Found Unethical Conduct?:** No

- **SRO Found Violation?:** No

- **SRO Found Cause of Denial/Suspension?:** No

- **SRO Barred/Suspended/Fined > $2,500?:** No

- **SRO Denied/Suspended/Revoked Registration?:** No

- **Foreign Authority Found False Statement?:** No

- **Foreign Authority Found Violation?:** No

- **Foreign Authority Found Cause of Suspension?:** No

- **Foreign Authority Disciplined?:** No

- **Authorization to Act as Attorney/Accountant Revoked?:** No

- **Subject of a Regulatory Complaint?:** No

**Civil Disclosure:**

- **Enjoined in Connection with Municipal Advisory Activity?:** No

- **Found to Have Violated Regulations?:** No

- **Civil Proceeding Dismissed Pursuant to Settlement?:** No

- **Named in Civil Proceeding Alleging Violation?:** No

### Item 10: Small Businesses

**Does the applicant have annual receipts of less than $7,000,000?** Yes

**Is the applicant affiliated with a person that has annual receipts of more than $7,000,000?** No

### Schedule A: Direct Owners and Executive Officers

| Name                    | Title/Status             | Date Acquired   | Ownership Code            | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|
| IMPACTU INVESTMENTS LLC | MANAGEMENT COMPANY       | 01-01-2023      | C - 25% but less than 50% | Yes               | 83-1327729   |  |
| Sandra Powers Murphy    | OSJ Manager              | 01-01-2023      | C - 25% but less than 50% | No                |  | 2280973      |
| DANIEL JR ANTENOR       | CHIEF OPERATIONS OFFICER | 01-01-2023      | C - 25% but less than 50% | No                |  | 5839052      |
| HEIDI T DISTANTE        | LIMITED PARTNER          | 01-01-2023      | C - 25% but less than 50% | Yes               |  | 6661540      |
| STEPHEN ALFRED DISTANTE | CEO                      | 01-01-2023      | NA - less than 5%         | Yes               |  | 2206574      |
| Michelle Denise Thomas  | CHIEF COMPLIANCE OFFICER | 01-02-2024      | NA - less than 5%         | No                |  | 5088131      |
| MEGAN LYNN PLAPP        | FINOP, POO, PFO, CFO     | 01-01-2023      | NA - less than 5%         | No                |  | 6790596      |
| JOSEPH JOHN TRIFILETTI  | PRESIDENT                | 01-01-2023      | NA - less than 5%         | Yes               |  | 5295897      |

### Schedule B: Indirect Owners

| Owning Entity             | Name                    | Title/Status   | Date Acquired   | Ownership Code   | Control Person?   |
|:---|:---|:---|:---|:---|:---|
| IMPACT U. INVESTMENTS LLC | STEPHEN ALFRED DISTANTE | OWNER          | 01-01-2023      | E - 75% or more  | Yes               |

### Schedule C: Amendments to Schedules A and B

| Type   | Ownership   | Owning Entity             | Name                    | Title/Status             | Date Acquired   | Ownership Code            | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|
|  | Direct      |  | IMPACTU INVESTMENTS LLC | MANAGEMENT COMPANY       | 01-01-2023      | C - 25% but less than 50% | Yes               | 83-1327729   |  |
| Delete | Direct      |  | Sandra Powers Murphy    | OSJ Manager              | 01-01-2023      | C - 25% but less than 50% | No                |  | 2280973      |
|  | Direct      |  | DANIEL JR ANTENOR       | CHIEF OPERATIONS OFFICER | 01-01-2023      | C - 25% but less than 50% | No                |  | 5839052      |
|  | Direct      |  | HEIDI T DISTANTE        | LIMITED PARTNER          | 01-01-2023      | C - 25% but less than 50% | Yes               |  | 6661540      |
|  | Direct      |  | STEPHEN ALFRED DISTANTE | CEO                      | 01-01-2023      | NA - less than 5%         | Yes               |  | 2206574      |
|  | Direct      |  | Michelle Denise Thomas  | CHIEF COMPLIANCE OFFICER | 01-02-2024      | NA - less than 5%         | No                |  | 5088131      |
|  | Direct      |  | MEGAN LYNN PLAPP        | FINOP, POO, PFO, CFO     | 01-01-2023      | NA - less than 5%         | No                |  | 6790596      |
|  | Direct      |  | JOSEPH JOHN TRIFILETTI  | PRESIDENT                | 01-01-2023      | NA - less than 5%         | Yes               |  | 5295897      |
|  | Indirect    | IMPACT U. INVESTMENTS LLC | STEPHEN ALFRED DISTANTE | OWNER                    | 01-01-2023      | E - 75% or more           | Yes               |  | 2206574      |

### Execution Page

**Signature:** Yacine Hadji

**Signer Name:** Yacine Hadji

**Title:** Licensing Specialist

**Date:** 04-02-2026