Search for: "Investment Management Company LLC"
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20 Nov 2016, 12:50 pm
New Mountain Finance Corporation (NYSE: NMFC) is a closed-end, non-diversified management investment company that has elected to be treated as a business development company under the Investment Company Act of 1940, according to their website. [read post]
16 Jun 2018, 1:49 pm
Current Arete Wealth Management, LLC (Arete Wealth) broker Alvery Bartlett (Bartlett) has been subject to three customer complaints. [read post]
2 Aug 2023, 10:30 am
Investments: An LLC can be used to pool the funds of multiple individuals and invest in assets with a larger volume. [read post]
25 Jan 2022, 2:30 am
However, the economic environment at the time of the merger, size of the companies and management of the merger process all play a part in future returns for shareholders. [read post]
Derivative Use by Investment Companies Will be Harder to Oversee in Coming Years, Warns SEC Official
10 May 2011, 10:38 pm
Ervin is the senior adviser to the SEC’s Division of Investment Management director. [read post]
26 Jan 2012, 8:26 am
If you have questions about investments you made with Sonenshine & Company LLC, the securities attorneys of The White Law Group may be able to help. [read post]
9 Oct 2009, 12:39 pm
Sources: SEC, StarTribune.com _________________________________________________________________________ If you are a Lancelot Investment Management LLC or Petters Company Inc. [read post]
1 Apr 2022, 12:16 pm
While not all-inclusive due to the fact that M&A+I events are not always publicly disclosed and some announcements may not represent event completion, the abridged listing of M&A+I events maintained by ComplexDiscovery notes key industry events by sharing event date, company involvement, and known event amounts. [read post]
24 Sep 2020, 5:09 pm
While Port shunned outside investment and kept Rocket Matter relatively small, Clio grew to become the 800-pound gorilla of practice management — a path capped last year by its $250 million Series D funding round, one of the largest investments ever for a legal technology company. [read post]
27 Apr 2016, 2:13 pm
According to their website, “Passco Companies, LLC is a nationally recognized market leader in the acquisition, development, and management of multifamily and commercial properties throughout the U.S. [read post]
12 Oct 2021, 8:04 am
Incorvia’s fraudulent practices, including allowing him to freely run his own business, Jefferson Resources, Inc., out of the satellite branch office of Henley’s affiliate, SEC-registered investment advisory firm, Henley & Company Wealth Management, LLC, located at 10 Beatty Road, Shoreham, New York. [read post]
2 Feb 2021, 7:41 am
His previous employers include Worden Capital Management LLC (CRD#:148366) and Legend Securities, Inc. [read post]
12 Sep 2018, 7:29 am
The SEC has filed fraud charges against hedge fund adviser Gregory Lemelson and his Massachusetts based investment advisory firm Lemelson Capital Management LLC. [read post]
21 May 2008, 8:00 pm
Like partnerships, LLCs are simply owned by the members and/or the managers of the company. [read post]
9 Nov 2014, 2:52 pm
LLCs are given broad rights to specify what fiduciary duties managers or managing members owe to the company or other members. [read post]
25 Oct 2023, 12:36 pm
“Retail and institutional investors rely on accurate disclosures of the companies that make up a closed-end or mutual fund’s portfolio to evaluate a current or prospective investment in the fund,” said Andrew Dean, Co-Chief of the Enforcement Division’s Asset Management Unit. [read post]
6 Jan 2020, 1:32 pm
He and his associate Christopher Parris solicited investments in their companies, which were supposedly involved in financial services, insurance, and real estate, including First Nationle Solution LLC, Percipience Global Corp., and United RL Capital Services. [read post]
22 May 2009, 1:06 am
The US Securities and Exchange Commission is suing the defendants, which include Kiselak, who is now a money manager, his Texas-based investment firm Kiselak Capital Group LLC, Jeffrey Sykes, and Gemstar Capital Group Inc, a venture capital company. [read post]
4 Nov 2013, 7:41 am
Fourth: establishing company credibility information sharing system with electronic online license management capability. [read post]
23 Jun 2023, 2:23 pm
The firm reportedly manages $28.7 million and provides investment advisory services. [read post]
