Investment Advisers Act Applications, Notices and Orders Archive: 2015
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.
Additional Archives
2023 | 2022 | 2021 | 2020 | 2019 | 2018 | 2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007
Chronological List
Release No. | Date | Details |
---|---|---|
803-00225 | ||
IA-4254 | Nov. 3, 2015 | Fidelity Management & Research Company and FMR Co., Inc. (Order) |
803-00225 | ||
IA-4220 | Oct. 8, 2015 | Fidelity Management & Research Company and FMR Co., Inc. (Notice) |
803-00222 | ||
Application | Oct. 7, 2015 |
Brookfield Asset Management Private Institutional Capital Adviser US, LLC and Brookfield Asset Management Private Institutional Capital Adviser (Canada), L.P. (amended application) |
803-00225 | ||
Application | Sep. 24, 2015 |
Fidelity Management & Research Company and FMR Co., Inc. |
803-00223 | ||
IA-4203 | Sep. 22, 2015 |
Starwood Capital Group Management, LLC (Order) |
803-00223 | ||
IA-4182 | Aug. 26, 2015 |
Starwood Capital Group Management, LLC (Notice of Application) |
803-00219 | ||
IA-4172 | Aug. 14, 2015 | Crescent Capital Group, LP (Order) |
803-00223 | ||
Application | Jul. 24, 2015 | Starwood Capital Group Management, LLC (amended application) (Amendment No. 4) |
803-00219 | ||
IA-4140 | Jul. 14, 2015 | Crescent Capital Group, LP (Notice of Application) |
803-00227 | ||
Application | May 26, 2015 | Angelo Gordon & Co., L.P. (amended application) |
803-00226 | ||
IA-4090 | May 19, 2015 | D-W Investments LLC (Order) |
803-00225 | ||
Application | May 11, 2015 | Fidelity Management & Research Company and FMR Co., Inc. (amended application) (Amendment No. 1) |
803-00223 | ||
Application | May 6, 2015 | Starwood Capital Group Management, LLC (amended application) (Amendment No. 3) |
803-00226 | ||
IA-4066 | Apr. 20, 2015 | D-W Investments LLC (Notice of Application) |
803-00223 | ||
Application | May 6, 2015 | Starwood Capital Group Management, LLC (amended application) (Amendment No. 3) |
803-00224 | ||
IA-4058 | Apr. 8, 2015 | T. Rowe Price Associates, Inc. and T. Rowe Price International Ltd (Order Under Section 206A of the Investment Advisers Act of 1940 and Rule 206(4)-5(e) Thereunder Granting an Exemption from Rule 206(4)-5(a)(1) Thereunder) |
803-00226 | ||
Application | Mar. 30, 2015 | D-W Investments LLC (Amended Application) |
803-00224 | ||
IA-4046 | Mar. 12, 2015 | T. Rowe Price Associates, Inc. and T. Rowe Price International Ltd (Notice of Application) |
803-00219 | ||
Application | Mar. 11, 2015 | Crescent Capital Group, LP (amended application) (Amendment No. 1) |
803-00226 | ||
Application | Jan. 26, 2015 | D-W Investments LLC (Amended Application) |
803-00223 | ||
Application | Jan. 22, 2015 | Starwood Capital Group Management, LLC (Amended Application) |
803-00214 | ||
IA-4001 | Jan. 20, 2015 | William E. Simon & Sons, LLC (Order) |
803-00217 | ||
IA-3997 | Jan. 14, 2015 | Crestview Advisors, L.L.C. (Order Under Section 206A of the Investment Advisers Act of 1940 and Rule 206(4)-5(e) Thereunder Granting an Exemption From Rule 206(4)-5(a)(1) Thereunder) |
803-00220 | ||
Application | Jan. 6, 2015 | Quad-C Management, Inc. (Amended Application) |
IAA File Number List
Release No. | Date | Details |
---|---|---|
803-00227 | ||
Application | May 26, 2015 | Angelo Gordon & Co., L.P. (amended application) |
803-00226 | ||
IA-4090 | May 19, 2015 | D-W Investments LLC (Order) |
IA-4066 | Apr. 20, 2015 | D-W Investments LLC (Notice of Application) |
Application | Mar. 30, 2015 | D-W Investments LLC (Amended Application) |
Application | Jan. 26, 2015 | D-W Investments LLC (Amended Application) |
803-00225 | ||
IA-4254 | Nov. 3, 2015 | Fidelity Management & Research Company and FMR Co., Inc. (Order) |
IA-4220 | Oct. 8, 2015 | Fidelity Management & Research Company and FMR Co., Inc. (Notice) |
Application | Sep. 24, 2015 | Fidelity Management & Research Company and FMR Co., Inc. (second amended and restated application) (Amendment No. 2) |
Application | May 11, 2015 | Fidelity Management & Research Company and FMR Co., Inc. (amended application) (Amendment No. 1) |
803-00224 | ||
IA-4058 | Apr. 8, 2015 | T. Rowe Price Associates, Inc. and T. Rowe Price International Ltd (Order Under Section 206A of the Investment Advisers Act of 1940 and Rule 206(4)-5(e) Thereunder Granting an Exemption from Rule 206(4)-5(a)(1) Thereunder) |
IA-4046 | Mar. 12, 2015 | T. Rowe Price Associates, Inc. and T. Rowe Price International Ltd (Notice of Application) |
803-00223 | ||
IA-4203 | Sep. 22, 2015 |
Starwood Capital Group Management, LLC (Order) |
IA-4182 | Aug. 26, 2015 |
Starwood Capital Group Management, LLC (Notice of Application) |
Application | Jul. 24, 2015 | Starwood Capital Group Management, LLC (amended application) (Amendment No. 4) |
Application | May 6, 2015 | Starwood Capital Group Management, LLC (amended application) (Amendment No. 3) |
Application | Jan. 22, 2015 | Starwood Capital Group Management, LLC (Amended Application) |
803-00222 | ||
Application | Oct. 7, 2015 |
Brookfield Asset Management Private Institutional Capital Adviser US, LLC and Brookfield Asset Management Private Institutional Capital Adviser (Canada), L.P. (Amended Application) |
803-00220 | ||
Application | Jan. 6, 2015 | Quad-C Management, Inc. (amended application) |
803-00219 | ||
IA-4172 | Aug. 14, 2015 | Crescent Capital Group, LP (Order) |
IA-4140 | Jul. 14, 2015 | Crescent Capital Group, LP (Notice of Application) |
Application | Mar. 11, 2015 | Crescent Capital Group, LP (amended application) (Amendment No. 1) |
803-00217 | ||
IA-3997 | Jan. 14, 2015 | Crestview Advisors, L.L.C. (Order Under Section 206A of the Investment Advisers Act of 1940 and Rule 206(4)-5(e) Thereunder Granting an Exemption From Rule 206(4)-5(a)(1) Thereunder) |
Last Reviewed or Updated: June 26, 2024