Investment Advisers Act Applications, Notices and Orders Archive: 2016
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 |
---|---|---|
803-00234 | ||
IA-4598 | Dec. 28, 2016 | Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLC (Order) |
803-00235 | ||
IA-4597 | Dec. 28, 2016 | UBS Financial Services Inc. (Order) |
803-00237 | ||
IA-4596 | Dec. 28, 2016 | Robert W. Baird & Co. Incorporated (Order) |
803-00236 | ||
IA-4595 | Dec. 28, 2016 | Merrill Lynch, Pierce, Fenner & Smith Incorporated (Order) |
803-00238 | ||
Application | Dec. 20, 2016 | Stephens Inc. (application) |
803-00231 | ||
Application | Dec. 14, 2016 | The Jeffrey Company (amended application) |
803-00230 | ||
Application | Dec. 14, 2016 | Katahdin Asset Management LLC (amended application) |
803-00234 | ||
IA-4581 | Dec. 1, 2016 | Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLC (Notice of Application) |
803-00235 | ||
IA-4580 | Dec. 1, 2016 | UBS Financial Services Inc. (Notice of Application) |
803-00237 | ||
IA-4579 | Dec. 1, 2016 | Robert W. Baird & Co. Incorporated (Notice of Application) |
803-00236 | ||
IA-4578 | Dec. 1, 2016 | Merrill Lynch, Pierce, Fenner & Smith Incorporated (Notice of Application) |
803-00237 | ||
Application | Nov. 23, 2016 | Robert W. Baird & Co. Incorporated (amended application) |
803-00236 | ||
Application | Nov. 23, 2016 | Merrill Lynch, Pierce, Fenner & Smith Incorporated (application) |
803-00235 | ||
Application | Nov. 22, 2016 | UBS Financial Services Inc. (application) |
803-00234 | ||
Application | Nov. 22, 2016 | Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLC (application) |
803-00229 | ||
Application | Nov. 22, 2016 | Brown Advisory LLC (amended application) |
803-00237 | ||
Application | Oct. 14, 2016 | Robert W. Baird & Co. Incorporated (application) |
803-00233 | ||
Application | Sep. 20, 2016 | Pershing Square Capital Management, L.P. (application) |
803-00231 | ||
Application | Sep. 2, 2016 | The Jeffrey Company (application) |
803-00230 | ||
Application | Sep. 2, 2016 | Katahdin Asset Management LLC (application) |
803-00232 | ||
Application | Aug. 1, 2016 | Lime Rock Management LP (application) |
803-00229 | ||
Application | Jul. 18, 2016 | Brown Advisory LLC (application) |
803-00227 | ||
IA-4444 | Jul. 6, 2016 | Angelo, Gordon & Co., L.P. (Order) |
803-00227 | ||
IA-4418 | Jun. 10, 2016 | Angelo, Gordon & Co., L.P. (Notice of Application) |
803-00227 | ||
Application | May 2, 2016 | Angelo Gordon & Co., L.P. (amended application) |
803-00222 | ||
IA-4355 | Mar. 21, 2016 | Brookfield Asset Management Private Institutional Capital Adviser US, LLC et. al. (Order) |
803-00222 | ||
IA-4337 | Feb. 22, 2016 | Brookfield Asset Management Private Institutional Capital Adviser US, LLC et. al. (Notice of Application) |
IAA File Number List
Release No. | Date | Details |
---|---|---|
803-00238 | ||
Application | Dec. 20, 2016 | Stephens Inc. (application) |
803-00237 | ||
IA-4596 | Dec. 28, 2016 | Robert W. Baird & Co. Incorporated (Order) |
IA-4579 | Dec. 1, 2016 | Robert W. Baird & Co. Incorporated (Notice of Application) |
Application | Nov. 23, 2016 | Robert W. Baird & Co. Incorporated (amended application) |
Application | Oct. 14, 2016 | Robert W. Baird & Co. Incorporated (application) |
803-00236 | ||
IA-4595 | Dec. 28, 2016 | Merrill Lynch, Pierce, Fenner & Smith Incorporated (Order) |
IA-4578 | Dec. 1, 2016 | Merrill Lynch, Pierce, Fenner & Smith Incorporated (Notice of Application) |
Application | Nov. 23, 2016 | Merrill Lynch, Pierce, Fenner & Smith Incorporated (application) |
803-00235 | ||
IA-4597 | Dec. 28, 2016 | UBS Financial Services Inc. (Order) |
IA-4580 | Dec. 1, 2016 | UBS Financial Services Inc. (Notice of Application) |
Application | Nov. 22, 2016 | UBS Financial Services Inc. (application) |
803-00234 | ||
IA-4598 | Dec. 28, 2016 | Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLC (Order) |
IA-4581 | Dec. 1, 2016 | Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLC (Notice of Application) |
Application | Nov. 22, 2016 | Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLC (application) |
803-00232 | ||
Application | Aug. 1, 2016 | Lime Rock Management LP (application) |
803-00231 | ||
Application | Sep. 2, 2016 | The Jeffrey Company (application) |
803-00230 | ||
Application | Sep. 2, 2016 | Katahdin Asset Management LLC (application) |
803-00229 | ||
Application | Nov. 22, 2016 | Brown Advisory LLC (amended application) |
Application | Jul. 18, 2016 | Brown Advisory LLC (application) |
803-00227 | ||
IA-4444 | Jul. 6, 2016 | Angelo, Gordon & Co., L.P. (Order) |
IA-4418 | Jun. 10, 2016 | Angelo, Gordon & Co., L.P. (Notice of Application) |
803-00222 | ||
IA-4355 | Mar. 21, 2016 | Brookfield Asset Management Private Institutional Capital Adviser US, LLC et. al. (Order) |
IA-4337 | Feb. 22, 2016 | Brookfield Asset Management Private Institutional Capital Adviser US, LLC et. al. (Notice of Application) |
Last Reviewed or Updated: June 26, 2024