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Investment Advisers Act Applications, Notices and Orders Archive: 2018

Jan. 6, 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.

Additional Archives

Chronological List

IAA File Number List

Chronological List

Release No. Date Details
803-00244
IA-5068 Nov. 28, 2018 Apollo Management, L.P. (Notice)
803-00246
Application Oct. 17, 2018 Edmunds Private Capital, LLC (Amended Application)
803-00245
Amended Application Aug. 31, 2018 Generation Investment Management US LLP and Generation Investment Management LLP (Amended Application)
803-00244
Amended Application Aug. 23, 2018 Apollo Management, L.P. (Amended Application)
803-00228
Withdrawal Letter Jul. 17, 2018 Sofinnova Ventures, Inc. (Withdrawal Letter)
803-00240
IA-4937 Jun. 6, 2018 BlackRock Advisors, LLC et al. (Order)
803-00247
Application Jun. 4, 2018 Lewis Family Advisors, LLC(Application)
803-00239
IA-4917 May 29, 2018 1112 Partners, LLC (Order)
803-00240
IA-4912 May 11, 2018 BlackRock Advisors, LLC, et al. (Notice)
803-00239
IA-4902 May 1, 2018 1112 Partners, LLC (Notice)
803-00246
Application Apr. 13, 2018 Edmunds Private Capital, LLC (Amended Application)
803-00240
Amended Application Mar. 28, 2018 Blackrock Advisors, LLC (Amended Application)
803-00239
Application Mar. 9, 2018 1112 Partners, LLC (Amended Application)
803-00245
Application Mar. 1, 2018 Generation Investment Management US LLP and Generation Investment Management LLP (Application)
803-00243
IA-4860 Feb. 27, 2018 Janney Montgomery Scott LLC (Order)
803-00243
IA-4850 Jan. 30, 2018 Janney Montgomery Scott LLC (Notice)
803-00244
Application Jan. 19, 2018 Apollo Management, L.P. (Application)
803-00241
IA-4838 Jan. 3, 2018 PNC Capital Advisors, LLC (Order)

IAA File Number List

Release No. Date Details
803-00247
Application Jun. 4, 2018 Lewis Family Advisors, LLC(Application)
803-00246
Application Oct. 17, 2018 Edmunds Private Capital, LLC (Amended Application)
Application Apr. 13, 2018 Edmunds Private Capital, LLC (Amended Application)
803-00245
Application Mar. 1, 2018 Generation Investment Management US LLP and Generation Investment Management LLP (Application)
Amended Application Aug. 31, 2018 Generation Investment Management US LLP and Generation Investment Management LLP (Amended Application)
803-00244
IA-5068 Nov. 28, 2018 Apollo Management, L.P. (Notice)
Amended Application Aug. 23, 2018 Apollo Management, L.P. (Amended Application)
Application Jan. 19, 2018 Apollo Management, L.P. (Application)
803-00243
IA-4860 Feb. 27, 2018 Janney Montgomery Scott LLC (Order)
IA-4850 Jan. 30, 2018 Janney Montgomery Scott LLC (Notice)
803-00241
IA-4838 Jan. 3, 2018 PNC Capital Advisors, LLC (Order)
803-00240
IA-4937 Jun. 6, 2018 BlackRock Advisors, LLC et al. (Order)
IA-4912 May 11, 2018 BlackRock Advisors, LLC, et al. (Notice)
Amended Application Mar. 28, 2018 Blackrock Advisors, LLC (Amended Application)
803-00239
IA-4917 May 29, 2018 1112 Partners, LLC (Order)
IA-4902 May 1, 2018 1112 Partners, LLC (Notice)
Application Mar. 9, 2018 1112 Partners, LLC (Amended Application)
803-00228
Withdrawal Letter Jul. 17, 2018 Sofinnova Ventures, Inc. (Withdrawal Letter)
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