Investment Advisers Act Applications, Notices and Orders
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
IAA File Number List
Chronological List
| Release No. | Date | Details |
801-111664
801-115259
801-117553
801-117568
801-118119
801-118883
801-120703
801-120693
801-120554
801-122088
801-123457
801-128611
801-127643
801-127191
801-127232
801-128224
801-130872 | | Order | Jul. 28, 2026 | Focused Trading and Investments INC et al.
(Order Cancelling Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940) | | 803-00295 | | Order | Jul. 14, 2026 | Benjamin Partners LLC
(Order Under Section 202(A)(11)(H) of The Investment Advisers Act of 1940) | | 803-00295 | | Notice | Jun. 16, 2026 | Benjamin Partners LLC
(Notice of application for an exemptive order under Section 202(a)(11)(H) of the Investment Advisers Act of 1940 (the “Act”).) | 801-111664
801-115259
801-117553
801-117568
801-118119
801-118883
801-120703
801-120693
801-120554
801-122088
801-123457
801-128611
801-127643
801-127191
801-127232
801-128224
801-130872 | | Order | Jul. 28, 2026 | Focused Trading and Investments INC et al.
(Order Cancelling Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940) | | Notice | Apr. 14, 2026 | Focused Trading and Investments INC et al.
(Notice of Intention To Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(h) of The Investment Advisers Act of 1940) |
| 803-00287 | | Order | Jan. 8., 2026 | Parametric Portfolio Associates LLC
(Order Under Section 206A of the Investment Advisers Act of 1940 and Rule 206(4)-5(e) Thereunder Granting an Exemption From Rule 206(4)-5(a)(1) Thereunder) |
| 803-00283 | | Order | Jan. 8., 2026 | True Venture Management, L.L.C.
(Order Under Section 206A of the Investment Advisers Act of 1940 and Rule 206(4)-5(e) Thereunder Granting an Exemption From Rule 206(4)-5(a)(1) Thereunder) |
|
File Number List for 2026
| Release No. | Date | Details |
| 803-00295 | | Notice | Jun. 16, 2026 | Benjamin Partners LLC
(Notice of application for an exemptive order under Section 202(a)(11)(H) of the Investment Advisers Act of 1940 (the “Act”).) | | 803-00287 | | Order | Jan. 8., 2026 | Parametric Portfolio Associates LLC
(Order Under Section 206A of the Investment Advisers Act of 1940 and Rule 206(4)-5(e) Thereunder Granting an Exemption From Rule 206(4)-5(a)(1) Thereunder) |
| 803-00283 | | Order | Jan. 8., 2026 | True Venture Management, L.L.C.
(Order Under Section 206A of the Investment Advisers Act of 1940 and Rule 206(4)-5(e) Thereunder Granting an Exemption From Rule 206(4)-5(a)(1) Thereunder) |
801-111664
801-115259
801-117553
801-117568
801-118119
801-118883
801-120703
801-120693
801-120554
801-122088
801-123457
801-128611
801-127643
801-127191
801-127232
801-128224
801-130872 | | Order | Jul. 28, 2026 | Focused Trading and Investments INC et al.
(Order Cancelling Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940) | | Notice | Apr. 14, 2026 | Focused Trading and Investments INC
(Notice of Intention To Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(h) of The Investment Advisers Act of 1940) |
|
Last Reviewed or Updated: July 28, 2026
