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
801-110419
IA-5219 Apr. 5, 2019 NeoCap, LLC (Notice)
803-00245
IA-5213 Mar. 26, 2019 Generation Investment Management US LLP and Generation Investment Management LLP (Notice)
801-99358
IA-5110 Feb. 12, 2019 Ajenifuja Investments, LLC (Order)
803-00245
Amended Application Jan. 28, 2019 Generation Investment Management US LLP and Generation Investment Management LLP (Application)
803-00244
IA-5102 Jan. 28, 2019 Apollo Management, L.P. (Order)

IAA File Number List

Release No. Date Details
801-110419
IA-5219 Apr. 5, 2019 NeoCap, LLC (Notice)
801-99358
IA-5110 Feb. 12, 2019 Ajenifuja Investments, LLC (Order)
803-00245
IA-5213 Mar. 26, 2019 Generation Investment Management US LLP and Generation Investment Management LLP (Notice)
Amended Application Jan. 28, 2019 Generation Investment Management US LLP and Generation Investment Management LLP (Application)
803-00244
IA-5102 Jan. 28, 2019 Apollo Management, L.P. (Order)