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Investment Advisers Act Applications, Notices and Orders

This page lists certain notices, orders, and applications filed under the Investment Advisers Act (IAA) issued after January 1, 2006. For other materials related to the Commission's oversight and regulation of the investment management industry, investment companies (including mutual funds), and investment advisers, see the Division of Investment Management.

Chronological List

IAA File Number List

Additional Archives


Chronological List

Release No. Date Details

803-00227
Application May 26, 2015 Angelo Gordon & Co., L.P. (amended application)

803-00226
IA-4090 May 19, 2015 D-W Investments LLC (Order)

803-00225
Application May 11, 2015 Fidelity Management & Research Company and FMR Co., Inc. (amended application) (Amendment No. 1)

803-00223
Application May 6, 2015 Starwood Capital Group Management, LLC (amended application) (Amendment No. 3)

803-00226
IA-4066 Apr. 20, 2015 D-W Investments LLC (Notice of Application)

803-00223
Application May 6, 2015 Starwood Capital Group Management, LLC (amended application) (Amendment No. 3)

803-00224
IA-4058 Apr. 8, 2015 T. Rowe Price Associates, Inc. and T. Rowe Price International Ltd (Order Under Section 206A of the Investment Advisers Act of 1940 and Rule 206(4)-5(e) Thereunder Granting an Exemption from Rule 206(4)-5(a)(1) Thereunder)

803-00226
Application Mar. 30, 2015 D-W Investments LLC (Amended Application)

803-00224
IA-4046 Mar. 12, 2015 T. Rowe Price Associates, Inc. and T. Rowe Price International Ltd (Notice of Application)

803-00219
Application Mar. 11, 2015 Crescent Capital Group, LP (amended application) (Amendment No. 1)

803-00226
Application Jan. 26, 2015 D-W Investments LLC (Amended Application)

803-00223
Application Jan. 22, 2015 Starwood Capital Group Management, LLC (Amended Application)

803-00214
IA-4001 Jan. 20, 2015 William E. Simon & Sons, LLC (Order)

803-00217
IA-3997 Jan. 14, 2015 Crestview Advisors, L.L.C. (Order Under Section 206A of the Investment Advisers Act of 1940 and Rule 206(4)-5(e) Thereunder Granting an Exemption From Rule 206(4)-5(a)(1) Thereunder)

803-00220
Application Jan. 6, 2015 Quad-C Management, Inc. (Amended Application)


IAA File Number List
Release No. Date Details

803-00227
Application May 26, 2015 Angelo Gordon & Co., L.P. (amended application)

803-00226
IA-4090 May 19, 2015 D-W Investments LLC (Order)
IA-4066 Apr. 20, 2015 D-W Investments LLC (Notice of Application)
Application Mar. 30, 2015 D-W Investments LLC (Amended Application)
Application Jan. 26, 2015 D-W Investments LLC (Amended Application)

803-00225
Application May 11, 2015 Fidelity Management & Research Company and FMR Co., Inc. (amended application) (Amendment No. 1)

803-00224
IA-4058 Apr. 8, 2015 T. Rowe Price Associates, Inc. and T. Rowe Price International Ltd (Order Under Section 206A of the Investment Advisers Act of 1940 and Rule 206(4)-5(e) Thereunder Granting an Exemption from Rule 206(4)-5(a)(1) Thereunder)
IA-4046 Mar. 12, 2015 T. Rowe Price Associates, Inc. and T. Rowe Price International Ltd (Notice of Application)

803-00223
Application May 6, 2015 Starwood Capital Group Management, LLC (amended application) (Amendment No. 3)
Application Jan. 22, 2015 Starwood Capital Group Management, LLC (Amended Application)

803-00220
Application Jan. 6, 2015 Quad-C Management, Inc. (Amended Application)

803-00219
Application Mar. 11, 2015 Crescent Capital Group, LP (amended application) (Amendment No. 1)

803-00217
IA-3997 Jan. 14, 2015 Crestview Advisors, L.L.C. (Order Under Section 206A of the Investment Advisers Act of 1940 and Rule 206(4)-5(e) Thereunder Granting an Exemption From Rule 206(4)-5(a)(1) Thereunder)

 

http://www.sec.gov/rules/iareleases.shtml


Modified: 06/24/2015