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Investment Advisers Act Applications, Notices and Orders Archive: 2019
Jan. 6, 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 |
|---|---|---|
| 803-00248 | ||
| IA-5420 | Dec. 20, 2019 | Inter-American Development Bank (Notice) |
| 803-00246 | ||
| Application | Dec. 19, 2019 | Edmunds Private Capital, LLC (amended application) |
| 803-00252 | ||
| Application | Nov. 13, 2019 | Arena Holdings Management LLC (Application) |
| 803-00249 | ||
| Application | Oct. 7, 2019 | L.R. Burtschy & Company (amended application) |
| 803-00248 | ||
| Amended Application | Oct. 1, 2019 | Inter-American Development Bank (Application) |
| 803-00246 | ||
| Application | Sep. 23, 2019 | Edmunds Private Capital, LLC (amended application) |
| 803-00247 | ||
| Amended Application | Aug. 30, 2019 | Lewis Family Advisors (Application) |
| 803-00250 | ||
| Application | Jun. 25, 2019 | Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC (Application) |
| 803-00248 | ||
| Application | Jun. 11, 2019 | Inter-American Development Bank (Application) |
| 803-00249 | ||
| Application | May 22, 2019 | L.R. Burtschy & Company (Application) |
| 801-110419 | ||
| IA-5235 | May 15, 2019 | NeoCap, LLC (Order) |
| 803-00245 | ||
| IA-5227 | Apr. 23, 2019 | Generation Investment Management US LLP and Generation Investment Management LLP (Order) |
| 803-00246 | ||
| Application | Apr. 11, 2019 | Edmunds Private Capital, LLC (amended application) |
| 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 |
|---|---|---|
| 803-00252 | ||
| Application | Nov. 13, 2019 | Arena Holdings Management LLC (Application) |
| 803-00250 | ||
| Application | Jun. 25, 2019 | Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC (Application) |
| 803-00249 | ||
| Amended Application | October 7, 2019 | L.R. Burtschy & Company (Amended Application) |
| Application | May 22, 2019 | L.R. Burtschy & Company (Application) |
| 803-00248 | ||
| IA-5420 | Dec. 20, 2019 | Inter-American Development Bank (Notice) |
| Application | Oct. 1, 2019 | Inter-American Development Bank (Amended Application) |
| Application | Jun. 11, 2019 | Inter-American Development Bank (Application) |
| 803-00247 | ||
| Amended Application | Aug. 30, 2019 | Lewis Family Advisors (Application) |
| 803-00246 | ||
| Application | Dec. 19, 2019 | Edmunds Private Capital, LLC (amended application) |
| Application | Sep. 23, 2019 | Edmunds Private Capital, LLC (amended application) |
| Application | Apr. 11, 2019 | Edmunds Private Capital, LLC (amended application) |
| 803-00245 | ||
| IA-5227 | Apr. 23, 2019 | Generation Investment Management US LLP and Generation Investment Management LLP (Order) |
| 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) |
| 801-110419 | ||
| IA-5235 | May 15, 2019 | NeoCap, LLC (Order) |
| IA-5219 | Apr. 5, 2019 | NeoCap, LLC (Notice) |
| 801-99358 | ||
| IA-5110 | Feb. 12, 2019 | Ajenifuja Investments, LLC (Order) |
Modified: Sept. 28, 2023