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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.
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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) |
Modified: July 28, 2023