Investment Advisers Act Applications, Notices and Orders

First Quarter

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

(Search any column)
Release No. Date Details
803-00247
IA-5704 Mar. 23, 2021 Lewis Family Advisors, LLC (Order)
803-00247
IA-5690 Feb. 24, 2021 Lewis Family Advisors, LLC (Notice)

File Number List for 2021

Release No. Date Details
803-00247
IA-5704 Mar. 23, 2021 Lewis Family Advisors, LLC (Order)
IA-5690 Dec. 8, 2020 Lewis Family Advisors, LLC (Application)