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Investment Advisers Act Applications, Notices and Orders Archive: 2020
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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|
Release No. |
Date |
Details |
|---|---|---|
| 803-00247 | ||
| Amended Application | Dec. 8, 2020 | Lewis Family Advisors, LLC (Application) |
| 803-00252 | ||
| IA-5635 | Dec. 2, 2020 | Arena Holdings Management LLC (Order) |
| 803-00252 | ||
| IA-5624 | Nov. 5, 2020 | Arena Holdings Management LLC (Notice) |
| 803-00253 | ||
| IA-5607 | Oct. 6, 2020 | D.B. Fitzpatrick & Co., Inc. (Notice) |
| 803-00250 | ||
| IA-5565 | Aug. 25, 2020 | Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC (Order) |
| 803-00252 | ||
| Amended Application | Aug. 4, 2020 | Arena Holdings Management LLC (Amended Application) |
| 803-00250 | ||
| IA-5552 | Jul. 28, 2020 | Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC (Notice) |
| 803-00250 | ||
| Application | Jul. 21, 2020 | Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC (amended application) |
| 803-00250 | ||
| Application | Apr. 28, 2020 | Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC (amended application) |
| 803-00246 | ||
| IA-5505 | May 20, 2020 | Edmunds Private Capital, LLC (Order) |
| 803-00253 | ||
| IA-5496 | May 5, 2020 | D.B. Fitzpatrick & Co., Inc. (Order) |
| 803-00246 | ||
| IA-5488 | Apr. 24, 2020 | Edmunds Private Capital, LLC (Notice) |
| 803-00253 | ||
| IA-5475 | Apr. 9, 2020 | D.B. Fitzpatrick & Co., Inc. (Notice) |
| 803-00253 | ||
| Amended Application | Mar. 23, 2020 | D.B. Fitzpatrick & Co., Inc. (Application) |
| 803-00246 | ||
| Application | Jan. 29, 2020 | Edmunds Private Capital, LLC (amended application) |
| 803-00253 | ||
| Application | Jan. 22, 2020 | D.B. Fitzpatrick & Co., Inc. (Application) |
| 803-00248 | ||
| IA-5434 | Jan. 16, 2020 | Inter-American Development Bank (Order) |
File Number List for 2020
|
Release No. |
Date |
Details |
|---|---|---|
| 803-00253 | ||
| IA-5607 | Oct. 6, 2020 | D.B. Fitzpatrick & Co., Inc. (Notice) |
| IA-5496 | May 5, 2020 | D.B. Fitzpatrick & Co., Inc. (Order) |
| IA-5475 | Apr. 9, 2020 | D.B. Fitzpatrick & Co., Inc. (Notice) |
| Amended Application | Mar. 23, 2020 | D.B. Fitzpatrick & Co., Inc. (Application) |
| Application | Jan. 22, 2020 | D.B. Fitzpatrick & Co., Inc. (Application) |
| 803-00252 | ||
| IA-5635 | Dec. 2, 2020 | Arena Holdings Management LLC (Order) |
| IA-5624 | Nov. 5, 2020 | Arena Holdings Management LLC (Notice) |
| Amended Application | Aug. 4, 2020 | Arena Holdings Management LLC (Amended Application) |
| 803-00250 | ||
| IA-5565 | Aug. 25, 2020 | Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC (Order) |
| IA-5552 | Jul. 28, 2020 | Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC (notice) |
| Application | Jul. 21, 2020 | Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC (amended application) |
| Application | Apr. 28, 2020 | Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC (amended application) |
| 803-00248 | ||
| IA-5434 | Jan. 16, 2020 | Inter-American Development Bank (Order) |
| 803-00247 | ||
| Amended Application | Dec. 8, 2020 | Lewis Family Advisors, LLC (Application) |
| 803-00246 | ||
| IA-5505 | May 20, 2020 | Edmunds Private Capital, LLC (Order) |
| IA-5488 | Apr. 24, 2020 | Edmunds Private Capital, LLC (Notice) |
| Application | Jan. 29, 2020 | Edmunds Private Capital, LLC (amended application) |
Modified: July 28, 2023