Investment Advisers Act Applications, Notices and Orders Archive: 2016

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
803-00234
IA-4598 Dec. 28, 2016 Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLC (Order)
803-00235
IA-4597 Dec. 28, 2016 UBS Financial Services Inc. (Order)
803-00237
IA-4596 Dec. 28, 2016 Robert W. Baird & Co. Incorporated (Order)
803-00236
IA-4595 Dec. 28, 2016 Merrill Lynch, Pierce, Fenner & Smith Incorporated (Order)
803-00238
Application Dec. 20, 2016 Stephens Inc. (application)
803-00231
Application Dec. 14, 2016 The Jeffrey Company (amended application)
803-00230
Application Dec. 14, 2016 Katahdin Asset Management LLC (amended application)
803-00234
IA-4581 Dec. 1, 2016 Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLC (Notice of Application)
803-00235
IA-4580 Dec. 1, 2016 UBS Financial Services Inc. (Notice of Application)
803-00237
IA-4579 Dec. 1, 2016 Robert W. Baird & Co. Incorporated (Notice of Application)
803-00236
IA-4578 Dec. 1, 2016 Merrill Lynch, Pierce, Fenner & Smith Incorporated (Notice of Application)
803-00237
Application Nov. 23, 2016 Robert W. Baird & Co. Incorporated (amended application)
803-00236
Application Nov. 23, 2016 Merrill Lynch, Pierce, Fenner & Smith Incorporated (application)
803-00235
Application Nov. 22, 2016 UBS Financial Services Inc. (application)
803-00234
Application Nov. 22, 2016 Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLC (application)
803-00229
Application Nov. 22, 2016 Brown Advisory LLC (amended application)
803-00237
Application Oct. 14, 2016 Robert W. Baird & Co. Incorporated (application)
803-00233
Application Sep. 20, 2016 Pershing Square Capital Management, L.P. (application)
803-00231
Application Sep. 2, 2016 The Jeffrey Company (application)
803-00230
Application Sep. 2, 2016 Katahdin Asset Management LLC (application)
803-00232
Application Aug. 1, 2016 Lime Rock Management LP (application)
803-00229
Application Jul. 18, 2016 Brown Advisory LLC (application)
803-00227
IA-4444 Jul. 6, 2016 Angelo, Gordon & Co., L.P. (Order)
803-00227
IA-4418 Jun. 10, 2016 Angelo, Gordon & Co., L.P. (Notice of Application)
803-00227
Application May 2, 2016 Angelo Gordon & Co., L.P. (amended application)
803-00222
IA-4355 Mar. 21, 2016 Brookfield Asset Management Private Institutional Capital Adviser US, LLC et. al. (Order)
803-00222
IA-4337 Feb. 22, 2016 Brookfield Asset Management Private Institutional Capital Adviser US, LLC et. al. (Notice of Application)

IAA File Number List

Release No. Date Details
803-00238
Application Dec. 20, 2016 Stephens Inc. (application)
803-00237
IA-4596 Dec. 28, 2016 Robert W. Baird & Co. Incorporated (Order)
IA-4579 Dec. 1, 2016 Robert W. Baird & Co. Incorporated (Notice of Application)
Application Nov. 23, 2016 Robert W. Baird & Co. Incorporated (amended application)
Application Oct. 14, 2016 Robert W. Baird & Co. Incorporated (application)
803-00236
IA-4595 Dec. 28, 2016 Merrill Lynch, Pierce, Fenner & Smith Incorporated (Order)
IA-4578 Dec. 1, 2016 Merrill Lynch, Pierce, Fenner & Smith Incorporated (Notice of Application)
Application Nov. 23, 2016 Merrill Lynch, Pierce, Fenner & Smith Incorporated (application)
803-00235
IA-4597 Dec. 28, 2016 UBS Financial Services Inc. (Order)
IA-4580 Dec. 1, 2016 UBS Financial Services Inc. (Notice of Application)
Application Nov. 22, 2016 UBS Financial Services Inc. (application)
803-00234
IA-4598 Dec. 28, 2016 Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLC (Order)
IA-4581 Dec. 1, 2016 Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLC (Notice of Application)
Application Nov. 22, 2016 Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLC (application)
803-00232
Application Aug. 1, 2016 Lime Rock Management LP (application)
803-00231
Application Sep. 2, 2016 The Jeffrey Company (application)
803-00230
Application Sep. 2, 2016 Katahdin Asset Management LLC (application)
803-00229
Application Nov. 22, 2016 Brown Advisory LLC (amended application)
Application Jul. 18, 2016 Brown Advisory LLC (application)
803-00227
IA-4444 Jul. 6, 2016 Angelo, Gordon & Co., L.P. (Order)
IA-4418 Jun. 10, 2016 Angelo, Gordon & Co., L.P. (Notice of Application)
803-00222
IA-4355 Mar. 21, 2016 Brookfield Asset Management Private Institutional Capital Adviser US, LLC et. al. (Order)
IA-4337 Feb. 22, 2016 Brookfield Asset Management Private Institutional Capital Adviser US, LLC et. al. (Notice of Application)