Investment Advisers Act Applications, Notices and Orders

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.

Additional Archives

Chronological List

IAA File Number List

Release No.

Date

Details
801-56141
Order Oct. 8, 2024 Markston International LLC, Et Al.(Order)
801-56141
Notice Aug. 29, 2024 Markston International LLC, Et Al.(Order)
803-00265
Order June 25, 2024 Jeffrey Management Company  (Order)
803-00265
Notice May 30, 2024 Jeffrey Management Company  (Notice of application for an exemptive order under the Investment Advisers Act of 1940 (the “Advisers Act”) 65Jeffrey Management Company  )
801-64406
Order May 24, 2024 SUNBRIDGE MANAGEMENT INC, et al. (Order Cancelling Registrations of Certain Investment Advisers Pursuant to Section 203(h) of The Investment Advisers)
801-120518
Order Apr. 24, 2024 Hennii Investment Advisory Services, Inc. Order Cancelling Registration Pursuant To Section 203(h) Of The Investment Advisers Act Of 1940)
801-64406
Notice Apr. 23, 2024 SUNBRIDGE MANAGEMENT INC, et al. (Notice of Intention to Cancel Registration Pursuant to Section 203(h) of The Investment Advisers Act of 1940)
801-120518
Notice Mar. 18, 2024 Hennii Investment Advisory Services, Inc. (Notice of Intention to Cancel Registration Pursuant to Section 203(H) of The Investment Advisers Act of 1940)
801-122832
Order Mar. 5, 2024 Vista Financial Advisors, LLC(Order Cancelling Registration Pursuant to Section 203(h) of the Investment Advisors Act of 1940)
801-71955
Order Feb. 22, 2024 HNW MANAGEMENT INC., et al. (Order Cancelling Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
801-71955
Notice Jan. 12, 2024 HNW MANAGEMENT INC., et al. (Notice of Intention to Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940)

File Number List for 2024

Release No.

Date

Details
801-56141
Notice Aug. 29, 2024 Markston International LLC, Et Al.(Order)
801-64406
Order May 24, 2024 SUNBRIDGE MANAGEMENT INC, et al. (Order Cancelling Registrations of Certain Investment Advisers Pursuant to Section 203(h) of The Investment Advisers)
Notice Apr. 23, 2024 SUNBRIDGE MANAGEMENT INC, et al. (Notice of Intention to Cancel Registration Pursuant to Section 203(h) of The Investment Advisers Act of 1940)
801-120518
Order Apr. 24, 2024 Hennii Investment Advisory Services, Inc. Order Cancelling Registration Pursuant To Section 203(h) Of The Investment Advisers Act Of 1940)
Notice Mar. 18, 2024 Hennii Investment Advisory Services, Inc. (Notice of Intention to Cancel Registration Pursuant to Section 203(H) of The Investment Advisers Act of 1940)
801-71955
Order Feb. 22, 2024 HNW MANAGEMENT INC., et al. (Order Cancelling Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
801-71955
Notice Jan. 12, 2024 HNW MANAGEMENT INC., et al. (Notice of Intention to Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940)

Last Reviewed or Updated: Jan. 2, 2025

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