Search for: "Registered Investment Advisers LLC"
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25 Mar 2014, 10:17 am
On February 25, 2014 the Securities and Exchange Commission (the “SEC”) filed public administrative and cease-and-desist proceedings against Arizona-based Clean Energy Capital, LLC (a registered investment adviser, “CEC”) and its founder and Chief Executive Officer Scott Brittenham charging that CEC and Brittenham committed the following violations with respect to the 20 private equity funds sold and managed by CEC primarily under the name… [read post]
27 Sep 2016, 6:44 am
The first case involved AIM, a Cedar Rapids, Iowa-based registered investment adviser. [read post]
13 Jul 2011, 6:36 pm
Do the managers of real estate investment funds and partnerships need to register as investment advisers either under the pre or post-Dodd-Frank regime? [read post]
27 Sep 2016, 6:44 am
The first case involved AIM, a Cedar Rapids, Iowa-based registered investment adviser. [read post]
30 Oct 2020, 3:21 am
Even though Dykstra is no longer registered as a broker, according to his Investment Adviser Public Disclosure Report he is still a registered investment advisers with two Maitland, Florida, companies: Aegis Wealth Management, LLC (since March 2016) and Alternative Investment Advisors, LLC (since April 2012). [read post]
30 Oct 2020, 3:21 am
Even though Dykstra is no longer registered as a broker, according to his Investment Adviser Public Disclosure Report he is still a registered investment advisers with two Maitland, Florida, companies: Aegis Wealth Management, LLC (since March 2016) and Alternative Investment Advisors, LLC (since April 2012). [read post]
22 Oct 2019, 9:51 am
**In the Matter of Three Bridge Wealth Advisors, LLC, Investment Advisers Act Release No. [read post]
12 Nov 2015, 6:49 am
The adviser at issue, Parallax Capital Partners, LLC, is a registered investment adviser that focuses primarily on mortgage-backed bonds and other similar fixed income securities. [read post]
16 Aug 2021, 8:00 am
A recent example was reported by the Texas State Securities Board, which announced that a Texas fraudster created a website for Prestige Assets Mgnt LLC, a name which is almost identical to that of the registered investment adviser Prestige Asset Management LLC. [1] The regulator alleges that while the website is phony and does not represent a licensed dealer or investment adviser, it was built to look authentic, and actually directed… [read post]
31 Jul 2018, 6:44 am
The SEC’s Orders allege that Schwartz, an investment adviser named HBA Advisors, LLC (“HBA”), and three investment adviser representatives, Jaime Enrique Biel, William M. [read post]
28 Jun 2018, 11:49 am
On June 1, 2018, the Securities and Exchange Commission settled charges with 13 registered investment advisers to private funds: Bachrach Asset Management Inc., Bilgari Capital LLC, Brahma Management Ltd., Bristol Group Inc., CAI Managers & Co. [read post]
1 Sep 2021, 5:45 am
KMS was dually registered as a broker-dealer and investment adviser. [read post]
22 Mar 2017, 6:47 am
Neither Sentinel nor Varrachi was registered as an investment adviser with the SEC or with any state regulatory authority. [read post]
4 Sep 2015, 9:32 am
Last month, the Securities and Exchange Commission (SEC) announced that registered investment adviser Guggenheim Partners Investment Management, LLC had consented to settle charges that it breached its fiduciary duty to its clients in connection with a $50 million loan made by a client to one of Guggenheim's senior executives. [read post]
8 Sep 2011, 3:39 pm
The SEC filed a civil injunctive action in federal district court in Massachusetts against registered investment adviser EagleEye Asset Management, LLC, and its sole principal, Jeffrey A. [read post]
24 Sep 2021, 2:18 pm
Malecki Law is currently representing clients and investigating allegations against the brokerage and investment advisory firm Henley & Company, LLC and its recently deceased financial adviser, Philip Incorvia. [read post]
2 Mar 2009, 2:20 pm
Capital, LLC (M.A.G.), a Los Angeles registered investment adviser, and David F. [read post]
20 Sep 2022, 1:28 pm
BSSF Wealth will assume the name of Lighthouse Wealth Management, which is a Registered Investment Advisor (RIA). [read post]
28 Jun 2018, 11:49 am
L.P., Cherokee Investment Partners LLC, Ecosystem Investment Partners LLC, Elm Partners Management LLC, HEP Management Corp., Prescott General Partners LLC, RLJ Equity Partners LLC, Rose Park Advisors LLC, and Veteri Place Corp. [read post]
28 Oct 2020, 6:32 am
Also, for approximately two weeks in October 2019, Willy was registered with TCFG Investment Advisors, LLC. [read post]
