SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


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

803-00214
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)

 

http://www.sec.gov/rules/ia/iaarchive/iaarchive2014.shtml


Modified: 06/18/2018