Investment Advisers Act Applications, Notices and Orders - Archive 2023
Jan. 2, 2025
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
IAA File Number List
Chronological List
|
Release No.
|
Date
|
Details
|
| 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
|
| 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) |
|
Last Reviewed or Updated: July 21, 2025
