# EDGAR Filing Document

**Accession Number:** 0001631813
**File Stem:** 0001631813-23-000001
**Filing Date:** 2023-1
**Character Count:** 9107
**Document Hash:** 60b5a2393d5cd3acde6e8e0b7f4803c1
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001631813-23-000001.hdr.sgml**: 20230123

**ACCESSION NUMBER**: 0001631813-23-000001

**CONFORMED SUBMISSION TYPE**: MA/A

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20230118

**DATE AS OF CHANGE**: 20230123

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** JLT Capital Partners LLC
- **CENTRAL INDEX KEY:** 0001631813
- **IRS NUMBER:** 452136479
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** MA/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 867-01700
- **FILM NUMBER:** 23542716

**BUSINESS ADDRESS:**
- **STREET 1:** 3266 QUILCENE LANE
- **CITY:** NAPLES
- **STATE:** FL
- **ZIP:** 34114
- **BUSINESS PHONE:** 239-970-0606

**MAIL ADDRESS:**
- **STREET 1:** 3266 QUILCENE LANE
- **CITY:** NAPLES
- **STATE:** FL
- **ZIP:** 34114

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

## FORM MA: UNIFORM APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

### Filer and Contact Information

**Filer CIK:** 0001631813

**Filer CCC:** XXXXXXXX

**Contact Name:** James L. Tovey

**Contact Phone:** 239-970-0606

**Contact Email:** jtovey@jltcapitalpartners.com

### Type of Filing

**Selected Filing Type:** Amendment

### Item 1: Identifying Information

**A. Full Legal Name of the Firm:** JLT Capital Partners LLC

**&nbsp;&nbsp;&nbsp;Organization CRD No.:** 158345

**&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:** 45-2136479

**D. Registrations:**

- **Municipal Advisor (Temporary):** SEC File No: 866-01205-00

- **Municipal Advisor:** SEC File No: 867-01700

- **Broker-Dealer:** SEC File No: 008-68892, CRD No: 158345

- **Other:** Description: State of Florida, ID: 1004349

**Additional Registrations:**

- **State of Florida Broker Dealer:** 1004349

- **State of Florida Broker Dealer Branch:** 9923092

**E. Principal Office and Place of Business:** 

**Telephone Number:** 239-970-0105

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

**F. Website:** www.jltcapitalpartners.com

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

**Name:** James Leo Tovey

**Phone Number:** 239-970-0105

**Email:** jtovey@jltcapitalpartners.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:** DE

**D. Date of Organization:** 05-06-2011

**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
Local government investment pools
State government investment pools
Hospitals
Colleges
, Public pension funds, Local government investment pools, State government investment pools, Hospitals, Colleges

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

**J. Compensation Arrangements (Solicitation):** 
Contingent 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:** Broker-dealer municipal securities dealer or government securities broker or dealer

**Total Associated Persons:** 1

### 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?:** Yes

- **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?   |   CRD Number |
|:---|:---|:---|:---|:---|---:|
| James Leo Tovey | Chief Compliance Officer | 05-06-2011      | E - 75% or more   | Yes               |      5160365 |
| Lisa Ann Tovey  | Member                   | 05-06-2011      | NA - less than 5% | No                |    000000000 |

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

| Type   | Ownership   | Owning Entity   | Name            | Title/Status             | Date Acquired   | Ownership Code    | Control Person?   |   CRD Number |
|:---|:---|:---|:---|:---|:---|:---|:---|---:|
|  | Direct      |  | James Leo Tovey | Chief Compliance Officer | 05-06-2011      | E - 75% or more   | Yes               |      5160365 |
|  | Direct      |  | Lisa Ann Tovey  | Member                   | 05-06-2011      | NA - less than 5% | No                |    000000000 |

### Execution Page

**Signature:** James L. Tovey

**Signer Name:** James L. Tovey

**Title:** Managing Principal

**Date:** 01-18-2023

**CRD Number:** 158345