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
803-00234
IA-4581 Dec. 1, 2016 Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLC (Notice of Application)
803-00235
IA-4580 Dec. 1, 2016 UBS Financial Services Inc. (Notice of Application)
803-00237
IA-4579 Dec. 1, 2016 Robert W. Baird & Co. Incorporated (Notice of Application)
803-00236
IA-4578 Dec. 1, 2016 Merrill Lynch, Pierce, Fenner & Smith Incorporated (Notice of Application)
803-00229
Application Nov. 22, 2016 Brown Advisory LLC (amended application)
803-00233
Application Sep. 20, 2016 Pershing Square Capital Management, L.P. (application)
803-00231
Application Sep. 2, 2016 The Jeffrey Company (application)
803-00230
Application Sep. 2, 2016 Katahdin Asset Management LLC (application)
803-00232
Application Aug. 1, 2016 Lime Rock Management LP (application)
803-00229
Application Jul. 18, 2016 Brown Advisory LLC (application)
803-00227
IA-4444 Jul. 6, 2016 Angelo, Gordon & Co., L.P. (Order)
803-00227
IA-4418 Jun. 10, 2016 Angelo, Gordon & Co., L.P. (Notice of Application)
803-00227
Application May 2, 2016 Angelo Gordon & Co., L.P. (amended application)
803-00222
IA-4355 Mar. 21, 2016 Brookfield Asset Management Private Institutional Capital Adviser US, LLC et. al. (Order)
803-00222
IA-4337 Feb. 22, 2016 Brookfield Asset Management Private Institutional Capital Adviser US, LLC et. al. (Notice of Application)

IAA File Number List

Release No. Date Details
803-00237
IA-4579 Dec. 1, 2016 Robert W. Baird & Co. Incorporated (Notice of Application)
803-00236
IA-4578 Dec. 1, 2016 Merrill Lynch, Pierce, Fenner & Smith Incorporated (Notice of Application)
803-00235
IA-4580 Dec. 1, 2016 UBS Financial Services Inc. (Notice of Application)
803-00234
IA-4581 Dec. 1, 2016 Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLC (Notice of Application)
803-00232
Application Aug. 1, 2016 Lime Rock Management LP (application)
803-02331
Application Sep. 2, 2016 The Jeffrey Company (application)
803-00230
Application Sep. 2, 2016 Katahdin Asset Management LLC (application)
803-00229
Application Nov. 22, 2016 Brown Advisory LLC (amended application)
Application Jul. 18, 2016 Brown Advisory LLC (application)
803-00227
IA-4444 Jul. 6, 2016 Angelo, Gordon & Co., L.P. (Order)
IA-4418 Jun. 10, 2016 Angelo, Gordon & Co., L.P. (Notice of Application)
803-00222
IA-4355 Mar. 21, 2016 Brookfield Asset Management Private Institutional Capital Adviser US, LLC et. al. (Order)
IA-4337 Feb. 22, 2016 Brookfield Asset Management Private Institutional Capital Adviser US, LLC et. al. (Notice of Application)