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Investment Advisers Act Applications, Notices and Orders Archive: 2013
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 |
|---|---|---|
| 803-00221 | ||
| Application | Dec. 23, 2013 | Ares Real Estate Management Holdings, LLC (Application) |
| 803-00220 | ||
| Application | Nov. 14, 2013 | Quad-C Management, Inc. (Application) |
| 803-00215 | ||
| IA-3715 | Nov. 13, 2013 | Davidson Kempner Capital Management LLC (Order) |
| 803-00215 | ||
| IA-3693 | Oct. 17, 2013 | Davidson Kempner Capital Management LLC (Notice) |
| 803-00218 | ||
| Application | Sep. 17, 2013 | TL Ventures Inc. (Application) |
| 803-00215 | ||
| Application | Jul. 25, 2013 | Davidson Kempner Capital Management LLC (Amended Application) |
IAA File Number List
| Release No. | Date | Details |
|---|---|---|
| 803-00221 | ||
| Application | Dec. 23, 2013 | Ares Real Estate Management Holdings, LLC (Application) |
| 803-00220 | ||
| Application | Nov. 14, 2013 | Quad-C Management, Inc. (Application) |
| 803-00218 | ||
| Application | Sep. 17, 2013 | TL Ventures Inc. (Application) |
| 803-00215 | ||
| IA-3715 | Nov. 13, 2013 | Davidson Kempner Capital Management LLC (Order) |
| IA-3693 | Oct. 17, 2013 | Davidson Kempner Capital Management LLC (Notice) |
| Application | Jul. 25, 2013 | Davidson Kempner Capital Management LLC (Amended Application) |
Modified: July 28, 2023