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

Chronological List

IAA File Number List

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Release No. Date Details
801-58069
Notice May 30, 2023 The Swarthmore Group, Inc. (Notice)
803-00258
Order March 14, 2023 J.P. Morgan Investment Management Inc. (Order)
803-00248
Order February 22, 2023 AEW Capital Management, L.P. (Order)
803-00258
Notice February 16, 2023 J.P. Morgan Investment Management Inc. (Notice)
803-00256
Order February 14, 2023 Calmwater Asset Management, LLC (Order)
803-00248
Notice January 24, 2023 AEW Capital Management, L.P. (Notice)
803-00256
Notice January 19, 2023 Calmwater Asset Management, LLC (Notice)

File Number List for 2023

Release No. Date Details
803-00258
Order March 14, 2023 J.P. Morgan Investment Management Inc. (Order)
803-00256
Order February 14, 2023 Calmwater Asset Management, LLC (Order)
803-00248
Notice January 24, 2023 AEW Capital Management, L.P. (Notice)
803-00256
Notice January 19, 2023 Calmwater Asset Management, LLC (Notice)
801-58069
Notice May 30, 2023 The Swarthmore Group, Inc. (Notice)