i ni~rani - SEC · Tidoat andn'Trade lees- 28,39&-12 Communscafiansand data processing 1,924.21. Occupancy 20.698.58 Other Expenses 45,523.89 Totat Operating 9 tpenses 569,306.87

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financial Statements and Supplemental SchedulesRequired by the 11.& Securities sad Exchange Commuss on

Including Independent Auditor's Report. Thereon

For-the Year Ended Deceniber 311, ̀2015

Contents.

IndependentAuditors Report,........ ...... ... ......... ....... ......................... .. .............:....,..,..,..:3

ti tlis. .......... .. .................5

Statement.of Finandat Corxxlflicn ...................... ................................ .. ..... .......................a...,,»..a...a.. 5

Statement of ierations.........a.._..... .a.,,,......6

Statement of Cash WoMrs ......... ............... a.,,..._..:..:........7

Statementof Changes M Ownership £du'rty.. ..,...:,........a.....:..a...a.a........»,.......a .................... .............Et

- I~..lYfi.lYi~.`~Q.~ • .NMaa.N..NiMNN.. ... . ..9

Computation of Net Capital.................. ...:.... ............... .. ... .. 12

Computation of Wet Capital Retlulremervt :...............

Gomputaton-of Aggregate indebtedness. ... ......... . ..... . ........ ..............................22

Computation —mpu atio of Recondliationof Net a pkal m

--a _ ........ .,N.i,: ...... iHisN....,---

............ ... U

Statement Related to Uniform Net Capital Rule...» ........... ... .....,.....,......,........:...:.,,.:..:...12

Exemption Report P.ursuantto SEA Rule ....................................... .3

Auditors Review of Exemption Report Pursuant to SEA Rule 17a--S(d)(i)(i)(8X2)- ....:.,..a .................:....35

SIRC Reoondrodon. . .. - .............. .... ....

Edward Richardson Jr., CPA15565 Nor land Dr WSte 508

South}rel4 hD 4W75248-559-4514

Independent Audit es Report

Board OfDireeaorsRid field Orion hibm ational, Inc..5353 Ncnth Union StreetColorado Springs, G4 W918

Report on the Financial Statenumts

I have : audited the eying statement of fiwincial condition of Rx lfield OrionInternational, Iae. as of

December

31, 2015 and the related statements of incoxne, changes instockholders

equity, changes in liabilities to claims of general I c or% and cash flows for theyear ended. These financial statements ate the responsibi1ity of Richfield Orion Intervotiowd,Inc. maims My responsibility

is

to expws an opium on these financial scents basedon`my

audit.

Auditor's Responsibitg

-I cornducted this audit in. accordance with he suds of the Public Comfy AccmwtingOvers*t Board (United Stems). 'Those standards require #hat I plan and perform, the audit toobtain reasonable ice abut whether die fiaamial stetemetz are free of materialmisstat me t An audit includes ewuninin& on a test basis, evidence supporting the amounts anddisclosures in the financial sments. An audit also includes assessing the. mounting principlesused and significantestimmes made by management, as well as evaluating the ovmt H famamcialstafennentpreseanwion. I believe that my audit provides a reasonable basis for my opmmn

Itn my opinion, the financial statements ireferred to above pmesent fairly, in all material respects,the

financial position of Richfield Orion rational, Inc. as of December 31, 2013, and resultsof its operations and its cash flows to the year #hen ended in.

conformity with accountingprinciples

gonwAy.accepted in

the United States.

Other Mstters

The SupplemeaW Information has

been subjected W audit procedures performed with. audit ofRichfield Orion International, I= financial stat+eraaft. Supplemental Information is therespom'bil ty ofRiehfield Orion >bternafionA

JaG.'s

mmagemea My audit pmeedures includeddetermining whether the Supple me at sl Informadon

reconciles

to the financial sI

i I g

or

the

undo lying

Ming

and

other

fiords

as

applicaW

and

.to test

the

oompleteness and

aoan wy

of

the: information

presented in the Supplemental

Wonmation.

in

fo#m ing my opinion on the Suppkmenh-t. Infomfdan, I evabiaftd whedw the Net CapitalC p an iucltung its form and oontut is pmsented in confammity 17 CYXI # 24017a 5. Inmay - pmic m, r. Net: Capital omputation is .fuo-1 staid, in.allmmterialrespscts, is rebum tothe financial Asa whole.

Edward Rkhudson Jr., CPASotdfetd, )a 48075Febr r M, 2016

whfeld Orion Intunationat, Inc..financhd SMements

State of Rnandal CaindiionAs of aedf0rt ae Year-EMW De=Mber 34 Z S

PROPERTY AN©EMPMENT

ASSETS

TMAL ASSEM

LIABR DIES AND STOCKHOLDEW EQUrTY

CURRMIT LUMILMES

TOTAL LIABILITIES

$ 37,426.79

46,188.47

1,731.334,435.75

894V-34

$ NAM-34

(9.112:66)

}43,476.34

S 89,4.34

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

~1

Revenues

. F1 l

l`'inanaal. StatementsStatement. of Opwadom

As at MdIbr the'Yew-Ended 900Md er 3i, 2015

Commissions Eamed $ 522,689.9SOtter lnoome S 50,296.25.Program Rees 66.781.90

Total Revenues 669.768:10

operating i 5cpensoes

Employee connpenmftn and benefits d72.757.2T

Tidoat andn'Trade lees- 28,39&-12Communscafiansand data processing 1,924.21.

Occupancy 20.698.58Other Expenses 45,523.89

Totat Operating 9 tpenses 569,306.87

Operating income`(Los4 100,461.23

Other Income

Interest income 0.93Total Offwr ftoome (Loso '0.93

Net. Income (I-m4 E 1Q~,462a6

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

6

Richfield Orion: intenuMonal, Inc.Fnancial Stat+erne~s

Statement of Cash 'FionrsAseafneftortMYew4nded Docm*en31,MS,

2MS

Cash F9owaProrw Operag Aritisa

;Net intone (Loss] 'i0ty,462.16

AdjuMmentsfa f6condled'lftt Income 0.93

(Lasers to net Cash,. pn rAded by (used'in) operadsg activies:

Deese (Increase) in Operating Awetw

AccounfS PIeteivable (39.497.51)Other (944:55)

increase (Decrease) in Operating L#ar►bilitlesrAccourris Payable 34554.85

Accrued Liabilities 4,742.81Total:Adjustmerds (4,33&47)

Hot Cash nwMe -By (Ulsed in) Opamfin Aofivities 96~32&69

Cash Flows From investing AcliviliesPnoceeecis fr+ocra Sale of Fixed ASsets -

NetCas ̀ Provided Sy (Used in) tmeesling Ac&vMes

Cash Rows 'Firom Financing Activities

Notes Payable Borrowings

Notes Payable-Repayments

Distributions (as,700.00)

Proceeds from Sale of Stock

Treasury StockNet gash Provided By (lised in) Financing Activities (86`700.00)

Not lncreasw(Decrease) in Cash-and. Cash >Equivalents

Cwdi:aand Cash Equivalents at Beginning of Period 27.79&10 ..Cash and Cash fiquivalenW at-End of Period 37,426.79

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

7

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RIND ORION IlNATIONALNOTES TO MNANCL4L STATEN1GlM

Dommber

3I, 2015

9

R3GBI+'Y i MON MERNATIONALNOTES TO FINANCLAL STATEMOUM

December-31,2015

1 =1 i 1 ual it Till ., ..l,

NOTE C— POSSESSION OR CONTROL RLQ

11c:Company does not have airy possession or control of cus6omet's finds or sera it es. There were nomaterial is the_ procedures follnwed in adhering to tie exavtive'pmVisions 0f SEC R le15c3-3(kX2Xu') by promptly uansmitting

all der finds to the clearing broker who carries

thehomer accounts.

NOTE D - RETATM PARTY TRANSACTIONS

As of Decem1w 31, 201511.*c Company shared an mice with a wed patty, Richfield OriowirtsuranceAgeflcy, Inc.1MOU).. ROTA pop ,fbr vew and expenses for flu* motion of the oftim Tfic rm paid underthis anaagement was $ ,200,

10

IUCIWU:L i ORION RMAWATIONALNOM TO MANCIAL STATEAVIM

Oeombe r 31, 2015

NOTE E - OTM CONtr+II"MENTS AND C.ON N43.EXCIES

Conop do of Net Capital rcpocbed 406FC CfiS CIA as of T)e mtmx 31, 201 s S 37,610.00Adjusmeam

12

Ricb. field Orion Iutear tinnsl, Tar. .Svppl euW Sclicdoles Regained by Ruk M-5As of and i the year ended .fiber 31,2815:

ExeinotiveTravisiew Ruh 15c3-3

ihcCompany is c=pt from Ruic 13c3-3 bocause all customW dons arc clew #houghmodus bro~ar on a fft disclosed basis. The same. of the, clearing firm is Tames,

Stmt nib bx{esSnbordinntedu the= of General Giese

Balaaoe of ~h claur~us at ~aauacy 1, 2015 $ -

Additions

Reducdous

Balm,= of such claims at Decembe r 31,201:5 $~„®

13

RIdAdd Orion international, inc.SUpptWIMII%M-- '. Sd'redtdes Ars=rt to SEA Rude 176-5

Of the 5ecavifies aind. Exchange Act of 1934.As ofand fortm YearEwed December 32.2015

Rl"eld Orion International, Incorporated

ROT AFWRA rellfwNwed Broker Dealer, tl tuber SIM

■ 1 Oalcvrood Park P11=6 suite god

~r ox csztxCastle Rack. CO M04

February 3, 2016

FAward-Richardson, Jr. CPA15565-Northland DriveSuite 508 WestSouthfield 1148075

RE_ aemption Sit Me 15c3-3 (k) (2) (i) for M December 31, 2015

Dew i\+ir Ridwdson jr,,.Please be advised that Richfield Orion International, Inc. has complied with Bwm on Rule 15c3-3(k) (2) CH's, for the period of Isnu y 1;1615 ugh Decenihx, 3 t, 2015. Ricbfiield Orion .Irdemaq tonal, hnc.. did not bold customer securities or AM& at any time +crying this period and doesbusirtess on a iunited basis (publicly 'ieg d non uadas RE11'Ss and oil 8t .gas part orshvs)•Richfield Orion Inernational, Inc-"spwbusivess has been of similar nature and has complied to hisexemption sine its kcgY im fiber ;1,1998.

J. Brett Stuart; the president of Richfield Orion hamaaonal, Inc. has made zvailable to EdwawdRichardson all records and iu£oraaion imcTuding all tians firm ategulatory agenciesreceived through the date of this review December 31, 2015.

1. Brett Stuart has been responsible for compliance with the eomption provision throughout Vie:fiscal year_ Also, thtre were not any kraw events or other factors that might have affecmd RichfieldOrion tonal, Inc.'s compliance with this eamption.

If you would bilce additional informadon or have any gtpeSd*M feel fMel to call me directly ax (724)240-8055.

Very tom' yot

J. PresidentRichfield Orion tonal, IDC.

14

REPORT ON BROKER DEA1IR R1TON

for the year ended Demmber 31,2015

IS

E 22 21115.

BoWdO.Mhusors. .Richfield Orion:bicEmatiom4kic.5353. North Union StreetSuitt 0-1Colorado Spriong 6 CO X9 8

Edward Richardson, .ir ; CPA

Edward Richard m Jr:, CPA15565 Ww*lmd Some :508 Wen

SouMcK NM 49075

16

REPORT ON SI PC ASSESS VI M RFCONCR IATION

Fort eyear ended Demmber 3I, 201..

17

Edward Rte, Jr., CPA15565 Ncmhland Suite 508 West

SouMcK Phi. 48075

February 22, 2016

Board ofDkworsRkhfreld

Orion

hAernadonal, be.5353 Nearly

tlaion StreetSuite Ci-1Colorado Springs, CO $10918

INDEPENDENT ACCOUNTANT'S A( REE 43Pt3N PROCEDUM REPORT ON SCHEDULE OF

ASSESSMENT AND PA'St1►dENTS

In accord vvM Rule 17a-S 4) under tht Socu iiaes

LxchmW Acct of 1934, vt have performed fire

procedures amnnerated bciow wish meet to the Schedule of Assessment and Paymentsj'fransitiouA Asst iliation, (Form S FC-7) to the Sec u -cs Investor Protection Corporation(SIZE for the.period January 1, 2015 to X7eoember 31 , 2015, which wane agreed to by Richfield Orionh9madonai, bac. and the Securities and E=b=V Cbmmissi Fiaarrca: cial Ianu!dry RgpdatoryAu&xity, Inc. and the SIPC, solely to assist you and other specified parties m evabating Richfield OrionbUmsional,

btc.'s c omplinnee with the applicable instructions of the Transitional Assessment

Rceoncilhdon (Form SWC-7). Richfield. Orion httereadant lat.'s mutagement is responsilie forRimed Orion. Ioaer ional, Inc. compliance wi& chase requirements. This age= upon pr000dures

meant was conducted in accordance with attestation standards abblisbed by the American Instituteof C=dfied Public Ao mft ds. The sufficiency of theca pr+owdores is solelyr the rcsponsMity of thoseparties specified is this rtport: ConsctluamtlY, we male no remotion repmN ►g the,surfficiency of theproc?edu= d scrod blow dAa for the purpose for which this report has been mxpemd or far anyod= purpose. ne pars vvem performed and our findinp are as follows:

1_ Compared the iistusd assesses u payments repro on Form SVC-7 vvidr: dre respective cashdisbuisemen record entries, including

elueck amour t of 5489.00..

2. Compared audited Total Revenue for the period of January 01, 2015 ftva& *e mbar 31,2015

(fiscal yaw -end)

with the amounts

reported on

Foram

SIP C-7

7

for

the

same peariod

notiung

no

reportable differences.

3.

Compared

=Y

adjusmem reported

FormR SWC-7

with

suppa mg

schedules

and

work

papas, to

the

eXW sw*

exists,

noting

no

dam.

4,

("rowed

the ariffimnotical,

aca=y of

&t calculations reflected on Form

SIPC-7.

noting

no

difference&

5.

If

apglicabl-

compared

the

amount

of

any overpayment

applied too the

cam x i

assessment

with

the Fonn

SWC-7

on which it

was originally computiod.

,A,c

cordimg

to

our

fn

&nM

Ricbftld

Orion bee

rnafional,

Inc.

had

no rcportaffilc dim.

is

T was nab eag wd to, a nd did not oondact as examinadon, the objective of which vm id be the aWressionofanlvpWm. compbance. AccosdbWg y, do not eqrm swh an I pertomedaddhiaWprocxucs, otitiar matbors might have comae, to my ata that would have:bceQ rued to y(ft

This is n mdod solely for the k mnfion :and use .of the vocifiod peaUes listed above and is wtkftnded to be and sitould x" be used by anyone offer dm these spadfied per..

l;ebivary 22, 2016

29