Investment Advisers Act Applications, Notices and Orders Archive: 2014
July 28, 2023
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.
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Chronological List
| Release No. | Date | Details |
|---|---|---|
| 803-00214 | ||
| IA-3990 | Dec. 22, 2014 | William E. Simon & Sons, LLC and New Vernon Advisors, Inc. (Notice of Application) |
| 803-00227 | ||
| Application | Dec. 19, 2014 | Angelo Gordon & Co., L.P. (Application) |
| 803-00217 | ||
| IA-3987 | Dec. 19, 2014 | Crestview Advisors, L.L.C. (Notice of Application) |
| 803-00214 | ||
| Application | Dec. 16, 2014 | William E. Simon & Sons, LLC (Amended Application) |
| 803-00228 | ||
| Application | Nov. 29, 2014 | Sofinnova Ventures, Inc. (Application) |
| 803-00221 | ||
| IA-3969 | Nov. 18, 2014 | Ares Real Estate Management Holdings, LLC (Order) |
| 803-00217 | ||
| Application | Nov. 13, 2014 | Crestview Advisors, L.L.C. (Amended Application) |
| 803-00214 | ||
| Application | Nov. 12, 2014 | William E. Simon & Sons, LLC (Amended Application) |
| 803-00224 | ||
| Application | Oct. 29, 2014 | T. Rowe Price Associates, Inc. and T. Rowe Price International Ltd. (Amended Application) |
| 803-00221 | ||
| IA-3957 | Oct. 22, 2014 | Ares Real Estate Management Holdings, LLC (Notice) |
| 801-35969 | ||
| IA-3925 | Sep. 19, 2014 | Creative Investment Research, Inc. (Order) |
| 803-00225 | ||
| Application | Aug. 28, 2014 | Fidelity Management & Research Company and FMR Co., Inc. (Application) |
| 803-00214 | ||
| Application | Aug. 13, 2014 | William E. Simon & Sons, LLC (Amended Application) |
| 803-00222 | ||
| Application | Aug. 13, 2014 | Brookfield Asset Management Private Institutional Capital Adviser US, LLC and Brookfield Asset Management Private Institutional Capital Adviser (Canada), L.P. (Amended Application) |
| 803-00226 | ||
| Application | Aug. 7, 2014 | D-W Investments LLC (Application) |
| 803-00223 | ||
| Application | Aug. 4, 2014 | Starwood Capital Group Management, LLC (Amended Application) |
| 803-00220 | ||
| Application | Aug. 4, 2014 | Quad-C Management, Inc. (Amended Application) |
| 803-00213 | ||
| IA-3883 | Jul. 29, 2014 | Gruss & Co. Inc. (Order) |
| 803-00212 | ||
| IA-3882 | Jul. 29, 2014 | Duncan Family Office (Order) |
| 803-00221 | ||
| Application | Jul. 15, 2014 | Ares Real Estate Management Holdings, LLC (Amended Application) |
| 803-00217 | ||
| Application | Jul. 11, 2014 | Crestview Advisors, L.L.C. (Amended Application) |
| 803-00212 | ||
| IA-3867 | Jul. 1, 2014 | Duncan Family Office (Notice) |
| 803-00213 | ||
| IA-3866 | Jul. 1, 2014 | Gruss & Co. Inc. (Notice) |
| 803-00224 | ||
| Application | May 6, 2014 | T. Rowe Price Associates, Inc. and T. Rowe Price International Ltd. (Application) |
| 803-00221 | ||
| Application | Apr. 28, 2014 | Ares Real Estate Management Holdings, LLC (Amended Application) |
| 803-00213 | ||
| Application | Apr. 22, 2014 | Gruss & Co. Inc. (Amended Application) |
| 803-00212 | ||
| Application | Apr. 22, 2014 | Duncan Family Office (Amended Application) |
| 803-00214 | ||
| Application | Apr. 1, 2014 | William E. Simon & Sons, LLC (Amended Application) |
| 803-00217 | ||
| Application | Mar. 26, 2014 | Crestview Advisors, L.L.C. (Amended Application) |
| 803-00213 | ||
| Application | Mar. 4, 2014 | Gruss & Co. Inc. (Amended Application) |
| 803-00212 | ||
| Application | Mar. 4, 2014 | Duncan Family Office (Amended Application) |
| 803-00220 | ||
| Application | Feb. 24, 2014 | Quad-C Management, Inc. (Amended Application) |
| 803-00222 | ||
| Application | Feb. 26, 2014 | Brookfield Asset Management Private Institutional Capital Adviser US, LLC and Brookfield Asset Management Private Institutional Capital Adviser (Canada), L.P. (Amended Application) |
| 803-00223 | ||
| Application | Feb. 3, 2014 | Starwood Capital Group Management, LLC (Application) |
| 803-00222 | ||
| Application | Jan. 29, 2014 | Brookfield Asset Management Private Institutional Capital Adviser US, LLC and Brookfield Asset Management Private Institutional Capital Adviser (Canada), L.P. (Application) |
IAA File Number List
| Release No. | Date | Details |
|---|---|---|
| 803-00228 | ||
| Application | Nov. 29, 2014 | Sofinnova Ventures, Inc. (Application) |
| 803-00227 | ||
| Application | Dec. 19, 2014 | Angelo Gordon & Co., L.P. (Application) |
| 803-00226 | ||
| Application | Aug. 7, 2014 | D-W Investments LLC (Application) |
| 803-00225 | ||
| Application | Aug. 28, 2014 | Fidelity Management & Research Company and FMR Co., Inc. (Application) |
| 803-00224 | ||
| Application | Oct. 29, 2014 | T. Rowe Price Associates, Inc. and T. Rowe Price International Ltd. (Amended Application) |
| Application | May 6, 2014 | T. Rowe Price Associates, Inc. and T. Rowe Price International Ltd. (Application) |
| 803-00223 | ||
| Application | Aug. 4, 2014 | Starwood Capital Group Management, LLC (Amended Application) |
| Application | Feb. 3, 2014 | Starwood Capital Group Management, LLC (Application) |
| 803-00222 | ||
| Application | Aug. 13, 2014 | Brookfield Asset Management Private Institutional Capital Adviser US, LLC and Brookfield Asset Management Private Institutional Capital Adviser (Canada), L.P. (Amended Application) |
| Application | Feb. 26, 2014 | Brookfield Asset Management Private Institutional Capital Adviser US, LLC and Brookfield Asset Management Private Institutional Capital Adviser (Canada), L.P. (Amended Application) |
| Application | Jan. 29, 2014 | Brookfield Asset Management Private Institutional Capital Adviser US, LLC and Brookfield Asset Management Private Institutional Capital Adviser (Canada), L.P. (Application) |
| 803-00221 | ||
| IA-3969 | Nov. 18, 2014 | Ares Real Estate Management Holdings, LLC (Order) |
| IA-3957 | Oct. 22, 2014 | Ares Real Estate Management Holdings, LLC (Notice) |
| Application | Jul. 15, 2014 | Ares Real Estate Management Holdings, LLC (Amended Application) |
| Application | Apr. 28, 2014 | Ares Real Estate Management Holdings, LLC (Amended Application) |
| 803-00220 | ||
| Application | Aug. 4, 2014 | Quad-C Management, Inc. (Amended Application) |
| Application | Feb. 24, 2014 | Quad-C Management, Inc. (Amended Application) |
| 803-00217 | ||
| IA-3987 | Dec. 19, 2014 | Crestview Advisors, L.L.C. (Notice of Application) |
| Application | Nov. 13, 2014 | Crestview Advisors, L.L.C. (Amended Application) |
| Application | Jul. 11, 2014 | Crestview Advisors, L.L.C. (Amended Application) |
| Application | Mar. 26, 2014 | Crestview Advisors, L.L.C. (Amended Application) |
| 803-00214 | ||
| IA-4001 | Jan. 20, 2015 | William E. Simon & Sons, LLC (Order) |
| IA-3990 | Dec. 22, 2014 | William E. Simon & Sons, LLC and New Vernon Advisors, Inc. (Notice of Application) |
| Application | Dec. 16, 2014 | William E. Simon & Sons, LLC (Amended Application) |
| Application | Nov. 12, 2014 | William E. Simon & Sons, LLC (Amended Application) |
| Application | Aug. 13, 2014 | William E. Simon & Sons, LLC (Amended Application) |
| Application | Apr. 1, 2014 | William E. Simon & Sons, LLC (Amended Application) |
| 803-00213 | ||
| IA-3883 | Jul. 29, 2014 | Gruss & Co. Inc. (Order) |
| IA-3866 | Jul. 1, 2014 | Gruss & Co. Inc. (Notice) |
| Application | Apr. 22, 2014 | Gruss & Co. Inc. (Amended Application) |
| Application | Mar. 4, 2014 | Gruss & Co. Inc. (Amended Application) |
| 803-00212 | ||
| IA-3882 | Jul. 29, 2014 | Duncan Family Office (Order) |
| IA-3867 | Jul. 1, 2014 | Duncan Family Office (Notice) |
| Application | Apr. 22, 2014 | Duncan Family Office (Amended Application) |
| Application | Mar. 4, 2014 | Duncan Family Office (Amended Application) |
| 801-35969 | ||
| IA-3925 | Sep. 19, 2014 | Creative Investment Research, Inc. (Order) |
Last Reviewed or Updated: Jan. 2, 2025