Comments on Investment Adviser Performance Compensation

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Date Received
Date Letter Type Commenter Name
Public Comment Laura Swenson
Public Comment Carew Carswell
Public Comment Alvin Suvil
Public Comment David S. Massey, NASAA President and Deputy Securities Commissioner, North Carolina Department of the Secretary of State
Public Comment Dennis M. Kelleher, President & CEO and Stephen W. Hall, Securities Specialist, Better Markets, Inc.
Public Comment Georg Merkl, Binz, Switzerland
Public Comment Kathy D. Ireland, Associate General Counsel, Investment Adviser Association
Public Comment Kevin R. Keller, CAE, Chief Executive Officer, Certified Financial Planner Board of Standards, Inc.
Public Comment Sean Caplice, Gunderson Dettmer Stough Villeneuve Franklin & Hachigian LLP
Public Comment Stuart J. Kaswell, Executive Vice President & Managing Director, General Counsel, Managed Funds Association
Public Comment Cory Bennet
Public Comment Ron Cuningham
Public Comment Edward Crane
Public Comment Molly Huntsman
Public Comment Troy M. Clark
Public Comment Joseph V. Delaney, Member of FINRA, Newport Beach, California
Public Comment Roger Alsop
Public Comment Gregory Thornton, Director, Thornton Capital Management, LLC, Fort Collins, Colorado
Public Comment Matthew Gee
Public Comment Douglas Wood
Public Comment Paul LeCoque, Danville, California
Public Comment Gregory A. Peeke, CFA, Manhattan Beach, California
Public Comment Ryan D., Los Angeles, California
Public Comment Hyonmyong Cho, Portfolio Manager, Greenlaw International LP, Santa Fe, New Mexico
Public Comment Brian Caine, Solana Beach, California
Public Comment Chris Ma
Public Comment Douglas Estadt, Hoboken, New Jersey
Public Comment Jeremy Hellman, CFA, Midlothian, Virginia
Public Comment John N. McCorvie, Partner, Peak Asset Management, LLC, Louisville, Colorado
Public Comment Brad D. Hoyt, IEEE, Portland, Oregon

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-17-11
Release Number
IA-3198
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