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Investment Advisers Act Applications, Notices and Orders Archive: 2012
July 28, 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
| Release No. | Date | Details |
|---|---|---|
| 803-00217 | ||
| Application | Nov. 14, 2012 | Crestview Advisors, L.L.C. (Application) |
| 803-00216 | ||
| Application | Nov. 2, 2012 | Highland Capital Management, LLC (Application) |
| 803-00215 | ||
| Application | Oct. 17, 2012 | Davidson Kempner Capital Management LLC (Application) |
| 803-00214 | ||
| Application | June 20, 2012 | William E. Simon & Sons, LLC and New Vernon Advisors, Inc (Application) |
| 803-00212 | ||
| Application | March 27, 2012 | Duncan Family Office (Application) |
| 803-00213 | ||
| Application | Mar. 23, 2012 | Gruss & Co. Inc. (Application) |
IAA File Number List
| Release No. | Date | Details |
|---|---|---|
| 803-00217 | ||
| Application | Nov. 14, 2012 | Crestview Advisors, L.L.C. (Application) |
| 803-00216 | ||
| Application | Nov. 2, 2012 | Highland Capital Management, LLC (Application) |
| 803-00215 | ||
| Application | Oct. 17, 2012 | Davidson Kempner Capital Management LLC (Application) |
| 803-00214 | ||
| Application | June 20, 2012 | William E. Simon & Sons, LLC and New Vernon Advisors, Inc (Application) |
| 803-00213 | ||
| Application | Mar. 23, 2012 | Gruss & Co. Inc. (Application) |
| 803-00212 | ||
| Application | March 27, 2012 | Duncan Family Office (Application) |
Modified: July 28, 2023