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.

Chronological List

IAA File Number List

Additional Archives

Chronological List

Release No. Date Details
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)
801-29339, et al.
IA-4867 Mar. 8, 2018 Summit Wealth Management, et al. (Order)
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
803-00245
Application Mar. 1, 2018 Generation Investment Management US LLP and Generation Investment Management LLP (Application)
803-00244
Application Jan. 19, 2018 Apollo Management, L.P. (Application)
801-29339, et al.
IA-4867 Mar. 8, 2018 Summit Wealth Management, et al. (Order)