| 801-56141 |
| Notice |
Aug. 29, 2024 |
Markston International LLC, Et Al.(Order) |
| 803-00265 |
| Order |
June 25, 2024 |
Jeffrey Management Company (Order) |
| 803-00265 |
| Notice |
May 30, 2024 |
Jeffrey Management Company (Notice of application for an exemptive order under the Investment Advisers Act of 1940 (the “Advisers Act”) 65Jeffrey Management Company ) |
| 801-64406 |
| Order |
May 24, 2024 |
SUNBRIDGE MANAGEMENT INC, et al. (Order Cancelling Registrations of Certain Investment Advisers Pursuant to Section 203(h) of The Investment Advisers) |
| 801-120518 |
| Order |
Apr. 24, 2024 |
Hennii Investment Advisory Services, Inc. Order Cancelling Registration Pursuant To Section 203(h) Of The Investment Advisers Act Of 1940) |
| 801-64406 |
| Notice |
Apr. 23, 2024 |
SUNBRIDGE MANAGEMENT INC, et al. (Notice of Intention to Cancel Registration Pursuant to Section 203(h) of The Investment Advisers Act of 1940) |
| 801-120518 |
| Notice |
Mar. 18, 2024 |
Hennii Investment Advisory Services, Inc. (Notice of Intention to Cancel Registration Pursuant to Section 203(H) of The Investment Advisers Act of 1940) |
| 801-122832 |
| Order |
Mar. 5, 2024 |
Vista Financial Advisors, LLC(Order Cancelling Registration Pursuant to Section 203(h) of the Investment Advisors Act of 1940) |
| 801-71955 |
| Order |
Feb. 22, 2024 |
HNW MANAGEMENT INC., et al. (Order Cancelling Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940) |
| 801-71955 |
| Notice |
Jan. 12, 2024 |
HNW MANAGEMENT INC., et al. (Notice of Intention to Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940) |
| 801-122832 |
| Notice |
Dec. 18, 2023 |
Vista Financial Advisors, LLC (Notice of Intention to Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940) |
| 801-127334 |
| Order |
Dec. 4, 2023 |
Ramos, Mario (Order Cancelling Registration Pursuant to Section 203(H) of the Investment) |
| 801-127334 |
| Notice |
Nov. 7, 2023 |
Ramos, Mario (Notice of Intention to Cancel Registration Pursuant to Section 203(H) of The Investment Advisers Act of 1940) |
| 801-58069 |
| Order |
June 27, 2023 |
The Swarthmore Group, Inc. (Order Cancelling Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940) |
| 801-58069 |
| Notice |
May 30, 2023 |
The Swarthmore Group, Inc. (Notice) |
| 803-00258 |
| Order |
March 14, 2023 |
J.P. Morgan Investment Management Inc. (Order) |
| 803-00248 |
| Order |
February 22, 2023 |
AEW Capital Management, L.P. (Order) |
| 803-00258 |
| Notice |
February 16 2023 |
J.P. Morgan Investment Management Inc. (Notice) |
| 803-00256 |
| Order |
February 14, 2023 |
Calmwater Asset Management, LLC (Order) |
| 803-00248 |
| Notice |
January 24, 2023 |
AEW Capital Management, L.P. (Notice) |
| 803-00256 |
| Notice |
January 19, 2023 |
Calmwater Asset Management, LLC (Notice) |
File Number List for 2023
|
Release No.
|
Date
|
Details
|
| 801-56141 |
| Notice |
Aug. 29, 2024 |
Markston International LLC, Et Al.(Order) |
| 801-64406 |
| Order |
May 24, 2024 |
SUNBRIDGE MANAGEMENT INC, et al. (Order Cancelling Registrations of Certain Investment Advisers Pursuant to Section 203(h) of The Investment Advisers) |
| Notice |
Apr. 23, 2024 |
SUNBRIDGE MANAGEMENT INC, et al. (Notice of Intention to Cancel Registration Pursuant to Section 203(h) of The Investment Advisers Act of 1940) |
| 801-120518 |
| Order |
Apr. 24, 2024 |
Hennii Investment Advisory Services, Inc. Order Cancelling Registration Pursuant To Section 203(h) Of The Investment Advisers Act Of 1940) |
| Notice |
Mar. 18, 2024 |
Hennii Investment Advisory Services, Inc. (Notice of Intention to Cancel Registration Pursuant to Section 203(H) of The Investment Advisers Act of 1940) |
| 801-71955 |
| Order |
Feb. 22, 2024 |
HNW MANAGEMENT INC., et al. (Order Cancelling Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940) |
| 801-71955 |
| Notice |
Jan. 12, 2024 |
HNW MANAGEMENT INC., et al. (Notice of Intention to Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940) |
| 803-127334 |
| Notice |
Nov 7, 2023 |
Mario Ramos (Notice of Intention to Cancel Registration Pursuant to Section 203(H) of The Investment Advisers Act of 1940) |
| 803-00258 |
| Order |
March 14, 2023 |
J.P. Morgan Investment Management Inc. (Order) |
| 803-00256 |
| Order |
February 14, 2023 |
Calmwater Asset Management, LLC (Order) |
| 803-00248 |
| Notice |
January 24, 2023 |
AEW Capital Management, L.P. (Notice) |
| 803-00256 |
| Notice |
January 19, 2023 |
Calmwater Asset Management, LLC (Notice) |
| 801-122832 |
| Notice |
Dec. 18, 2023 |
Vista Financial Advisors, LLC (Notice of Intention to Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940) |
| 801-58069 |
| Order |
June 27, 2023 |
The Swarthmore Group, Inc. (Order Cancelling Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940) |
| Notice |
May 30, 2023 |
The Swarthmore Group, Inc. (Notice) |
|
