# EDGAR Filing Document

**Accession Number:** 0000864049
**File Stem:** 0000864049-23-000004
**Filing Date:** 2023-3
**Character Count:** 13972
**Document Hash:** 253e7ba6608992a2d4d6bd61639bdc75
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000864049-23-000004.hdr.sgml**: 20230329

**ACCESSION NUMBER**: 0000864049-23-000004

**CONFORMED SUBMISSION TYPE**: X-17A-5

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230329

**DATE AS OF CHANGE**: 20230329

**EFFECTIVENESS DATE**: 20230329

**PERIOD START**: 20220101

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** BLEY INVESTMENT GROUP, INC.
- **CENTRAL INDEX KEY:** 0000864049
- **IRS NUMBER:** 752478239
- **STATE OF INCORPORATION:** TX
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** X-17A-5
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 008-42701
- **FILM NUMBER:** 23775181

**BUSINESS ADDRESS:**
- **STREET 1:** 6300 RIDGLEA PLACE
- **STREET 2:** SUITE 615
- **CITY:** FORT WORTH
- **STATE:** TX
- **ZIP:** 76116
- **BUSINESS PHONE:** 801-949-5577

**MAIL ADDRESS:**
- **STREET 1:** 6300 RIDGLEA PLACE
- **STREET 2:** SUITE 615
- **CITY:** FORT WORTH
- **STATE:** TX
- **ZIP:** 76116

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** BLEY INVESTMENTS GROUP, INC.
- **DATE OF NAME CHANGE:** 20021206

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** ASSET INCOME SECURITIES INC /TX/                        /BD
- **DATE OF NAME CHANGE:** 19930921

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** ASSURANCE INCOME SECURITIES INC                         /BD
- **DATE OF NAME CHANGE:** 19920127

### Attached PDF Documents

**Attachment 1:** `publicbley20221.pdf`

FOR PUBLIC RELEASE

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

OMB APPROVAL

OMB Number: 3235-0123

Expires: Oct. 31, 2023

Estimated average burden

hours per response: 12

# ANNUAL REPORTS

# FORM X-17A-5

# PART III

SEC FILE NUMBER

8-42701

# FACING PAGE

Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934

| FILING FOR THE PERIOD BEGINNING | 01/01/22 | AND ENDING | 12/31/22 |
| --- | --- | --- | --- |
|  | MM/DD/YY |  | MM/DD/YY |

# A. REGISTRANT IDENTIFICATION

NAME OF FIRM: Bley Investment Group, Inc.

TYPE OF REGISTRANT (check all applicable boxes):

☑ Broker-dealer

☐ Security-based swap dealer

☐ Major security-based swap participant

☐ Check here if respondent is also an OTC derivatives dealer

ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.)

6300 RIDGLEA PLACE, SUITE 615

| (No. and Street) |  |  |
| --- | --- | --- |
| FORT WORTH | TX | 76116 |
| (City) | (State) | (Zip Code) |

PERSON TO CONTACT WITH REGARD TO THIS FILING

PAIGE PIERCE

817-732-2442

paige@bleyinvestments.com

(Name)

(Area Code - Telephone Number)

(Email Address)

# B. ACCOUNTANT IDENTIFICATION

INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*

Tuttle & Bond, PLLC

| (Name - if individual, state last, first, and middle name) |  |  |  |
| --- | --- | --- | --- |
| 2954 Goehmann Lane | Fredericksburg | TX | 78624 |
| (Address) | (City) | (State) | (Zip Code) |
| 03/19/2019 |  | 6543 |  |
| (Date of Registration with PCAOB)(if applicable) |  | (PCAOB Registration Number, if applicable) |  |

# FOR OFFICIAL USE ONLY

* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(1)(ii), if applicable.

Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

# FOR PUBLIC RELEASE

# OATH OR AFFIRMATION

I, PAIGE PIERCE ____, swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of Bley Investment Group, Inc. ____, as of DECEMBER 31 ____, 2022 ____, is true and correct. I further swear (or affirm) that neither the company nor any partner, officer, director, or equivalent person, as the case may be, has any proprietary interest in any account classified solely as that of a customer.

![img-0.jpeg](img-0.jpeg)

![img-1.jpeg](img-1.jpeg)

Agustina Lopez
Notary Public

# This filing** contains (check all applicable boxes):

☑ (a) Statement of financial condition.
☐ (b) Notes to consolidated statement of financial condition.
☐ (c) Statement of income (loss) or, if there is other comprehensive income in the period(s) presented, a statement of comprehensive income (as defined in § 210.1-02 of Regulation S-X).
☐ (d) Statement of cash flows.
☐ (e) Statement of changes in stockholders' or partners' or sole proprietor's equity.
☐ (f) Statement of changes in liabilities subordinated to claims of creditors.
☐ (g) Notes to consolidated financial statements.
☐ (h) Computation of net capital under 17 CFR 240.15c3-1 or 17 CFR 240.18a-1, as applicable.
☐ (i) Computation of tangible net worth under 17 CFR 240.18a-2.
☐ (j) Computation for determination of customer reserve requirements pursuant to Exhibit A to 17 CFR 240.15c3-3.
☐ (k) Computation for determination of security-based swap reserve requirements pursuant to Exhibit B to 17 CFR 240.15c3-3 or Exhibit A to 17 CFR 240.18a-4, as applicable.
☐ (l) Computation for Determination of PAB Requirements under Exhibit A to § 240.15c3-3.
☐ (m) Information relating to possession or control requirements for customers under 17 CFR 240.15c3-3.
☐ (n) Information relating to possession or control requirements for security-based swap customers under 17 CFR 240.15c3-3(p)(2) or 17 CFR 240.18a-4, as applicable.
☐ (o) Reconciliations, including appropriate explanations, of the FOCUS Report with computation of net capital or tangible net worth under 17 CFR 240.15c3-1, 17 CFR 240.18a-1, or 17 CFR 240.18a-2, as applicable, and the reserve requirements under 17 CFR 240.15c3-3 or 17 CFR 240.18a-4, as applicable, if material differences exist, or a statement that no material differences exist.
☐ (p) Summary of financial data for subsidiaries not consolidated in the statement of financial condition.
☑ (q) Oath or affirmation in accordance with 17 CFR 240.17a-5, 17 CFR 240.17a-12, or 17 CFR 240.18a-7, as applicable.
☐ (r) Compliance report in accordance with 17 CFR 240.17a-5 or 17 CFR 240.18a-7, as applicable.
☐ (s) Exemption report in accordance with 17 CFR 240.17a-5 or 17 CFR 240.18a-7, as applicable.
☐ (t) Independent public accountant's report based on an examination of the statement of financial condition.
☑ (u) Independent public accountant's report based on an examination of the financial report or financial statements under 17 CFR 240.17a-5, 17 CFR 240.18a-7, or 17 CFR 240.17a-12, as applicable.
☐ (v) Independent public accountant's report based on an examination of certain statements in the compliance report under 17 CFR 240.17a-5 or 17 CFR 240.18a-7, as applicable.
☐ (w) Independent public accountant's report based on a review of the exemption report under 17 CFR 240.17a-5 or 17 CFR 240.18a-7, as applicable.
☐ (x) Supplemental reports on applying agreed-upon procedures, in accordance with 17 CFR 240.15c3-1e or 17 CFR 240.17a-12, as applicable.
☐ (y) Report describing any material inadequacies found to exist or found to have existed since the date of the previous audit, or a statement that no material inadequacies exist, under 17 CFR 240.17a-12(k).
☐ (z) Other: ____

**To request confidential treatment of certain portions of this filing, see 17 CFR 240.17a-5(e)(3) or 17 CFR 240.18a-7(d)(2), as applicable.

Bley Investment Group, Inc.

Independent Auditor's Opinion

For the Year-ended December 31, 2022

3

TuttleBond
Certified Public Accountants

# REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM

To Director and Shareholder of Bley Investment Group, Inc.

# Opinion on The Financial Statements

We have audited the accompanying statement of financial condition of Bley Investment Group, Inc. (the "Company") as of December 31, 2022, and the related statements of operations, stockholder's equity and cash flows for the year then ended, including the related notes (collectively referred to as "financial statements"). In our opinion, the financial statements present fairly, in all material respects, the financial position of the Company as of December 31, 2022, and the results of its operations and its cash flows for the year then ended in conformity with accounting principles generally accepted in the United States of America.

# Basis for Opinion

These financial statements are the responsibility of the Company's management. Our responsibility is to express an opinion on the Company's financial statements based on our audit. We are a public accounting firm registered with the Public Company Accounting Oversight Board (United States) (PCAOB) and are required to be independent with respect to the Company in accordance with the U.S. federal securities laws and the applicable rules and regulations of the Securities and Exchange Commission and the PCAOB.

We conducted our audit of these financial statements in accordance with standards of the PCAOB. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free from material misstatement, whether due to error or fraud. The Company is not required to have, nor were we engaged to perform, an audit of its internal control over financial reporting. As part of our audits we are required to obtain an understanding of internal control over financial reporting but not for the purpose of expressing an opinion on the effectiveness of the Company's internal control over financial reporting. Accordingly, we express no such opinion.

Our audit included performing procedures to assess the risks of material misstatement of the financial statements, whether due to error or fraud, and performing procedures that respond to those risks. Such procedures included examining, on a test basis, evidence regarding the amounts and disclosures in the financial statements. Our audit also included evaluating the accounting principles used and significant estimates made by management, as well as, evaluating the overall presentation of the financial statements. We believe that the audit provides a reasonable basis for our opinion.

# Report on Supplementary Information

The accompanying information contained in the Supplementary Information section has been subjected to audit procedures performed in conjunction with the audit of the Company's financial statement. The supplemental information is the responsibility of the Company's management. Our audit procedures included determining whether the supplemental information reconciles to the financial statements or the underlying accounting and other records, as applicable, and performing procedures to test the completeness and accuracy of the information presented in the supplemental information. In forming our opinion on the supplemental information, we evaluated whether the supplemental information, including its form and content, is presented in conformity with Rule 17a-5 under the Securities Exchange Act of 1934 and, if applicable, under Regulation 1.10 under the Commodity Exchange Act. In our opinion, the information contained in the Supplementary Information section is fairly stated, in all material respects, in relation to the financial statements as a whole.

Fredericksburg, Texas
March 28, 2023

We have served as the Bley Investment Group, Inc.'s auditor since 2019.

4

# Bley Investment Group, Inc.

# Financial Statements

# Statement of Financial Condition

# For the year ended December 31, 2022

|  | Dec 31, 22 |
| --- | --- |
| ASSETS |  |
| Current Assets |  |
| Cash |  |
| Checking/Savings | $108,945 |
| Money Market - Pershing | 5,860 |
| Total Cash | $114,805 |
| Accounts Receivable |  |
| Commissions receivable | 16,536 |
| Total Accounts Receivable | $16,536 |
| Other Current Assets |  |
| Prepaid assets | 1,297 |
| Total Other Current Assets | $1,297 |
| Total Current Assets | $132,637 |
| Other Assets |  |
| Fixed Assets (net) | 2,902 |
| Deposits | 76,145 |
| Goodwill | 45,000 |
| Total Other Assets | $124,047 |
| TOTAL ASSETS | $256,684 |
| LIABILITIES & EQUITY |  |
| Liabilities (all current) |  |
| Accruals | 2,750 |
| Payroll Liabilities | 530 |
| Federal income tax payable | 9,247 |
| Deferred tax liability | 3,971 |
| TOTAL LIABILITIES | $16,498 |
| Equity |  |
| Common Stock | 1,000 |
| Additional Paid-In Capital | 197,131 |
| Prior Period Adjustments | 297 |
| Retained Earnings | 17,046 |
| Net Income | 24,712 |
| Total Equity | $240,186 |
| TOTAL LIABILITIES & EQUITY | $256,684 |

The accompanying notes are an integral part of these financial statements.

5

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

## FORM X-17A-5

### ANNUAL AUDITED REPORT

### Filer Information

**Filer CIK:** 0000864049

**Filer CCC:** XXXXXXXX

**Is this a LIVE or TEST filing?:** LIVE

**Would you like a Return Copy?:** No

### Submission Information

**Report Period Begin Date:** 01-01-2022

**Report Period End Date:** 12-31-2022

**Type of Registrant:** Broker-dealer

**Any material weaknesses identified?:** No

### Registrant Identification

**Name of Broker-Dealer:** BLEY INVESTMENT GROUP, INC.

**Business Address:** 6300 RIDGLEA PLACE, SUITE 615, FORT WORTH, TX, 76116

**Contact Person:** paige pierce

**Contact Phone:** 8177322442

### Independent Public Accountant Identification

**Accountant Name:** tuttle & bond pllc

**Accountant Address:** 2954 Goehmann Lane, Fredericksburg, TX, 78624

**Accountant Type:** Certified Public Accountant

### OATH OR AFFIRMATION

I, **paige pierce**, swear (or affirm) that, to the best of my knowledge and belief, the accompanying financial statements and supporting schedules pertaining to the firm of **BLEY INVESTMENT GROUP, INC.**, as of **12-31-2022**, are true and correct.

**Signature:** paige pierce

**Title:** president & ceo

**Notarized:** Yes