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.
Additional Archives
2021 | 2020 | 2019 | 2018 | 2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007
(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) |