86 FR 36 pgs. 11569-11570 - Notice of Intention To Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(H) of the Investment Advisers Act of 1940
Type: NOTICEVolume: 86Number: 36Pages: 11569 - 11570
Pages: 11569, 11570Docket number: [Release No. IA-5688]
FR document: [FR Doc. 2021-03896 Filed 2-24-21; 8:45 am]
Agency: Securities and Exchange Commission
Official PDF Version: PDF Version
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SECURITIES AND EXCHANGE COMMISSION
[Release No. IA-5688]
Notice of Intention To Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(H) of the Investment Advisers Act of 1940
February 22, 2021.
Notice is given that the Securities and Exchange Commission (the " Commission ") intends to issue an order or orders, pursuant to section 203(h) of the Investment Advisers Act of 1940 (the " Act "), cancelling the registrations of the investment advisers whose names appear in the attached Appendix, hereinafter referred to as the " registrants. "
Section 203(h) of the Act provides, in pertinent part, that if the Commission finds that any person registered under section 203, or who has pending an application for registration filed under that section, is no longer in existence, is not engaged in business as an investment adviser, or is prohibited from registering as an investment adviser under section 203A, the Commission shall by order cancel the registration of such person.
Each registrant listed in the attached Appendix either (a) has not filed a Form ADV amendment with the Commission as required by rule 204-1 under the Act? 1 and appears to be no longer engaged in business as an investment adviser or (b) has indicated on Form ADV that it is no longer eligible to remain registered with the Commission as an investment adviser but has not filed Form ADV-W to withdraw its registration. Accordingly, the Commission believes that reasonable grounds exist for a finding that these registrants are no longer in existence, are not engaged in business as investment advisers, or are prohibited from registering as investment advisers under section 203A, and that their registrations should be cancelled pursuant to section 203(h) of the Act.
Footnotes:
1 ?Rule 204-1 under the Act requires any adviser that is required to complete Form ADV to amend the form at least annually and to submit the amendments electronically through the Investment Adviser Registration Depository.
[top] Notice is also given that any interested person may, by March 19, 2021, at 5:30 p.m., submit to the Commission in writing a request for a hearing on the cancellation of the registration of any registrant listed in the attached Appendix, accompanied by a statement as to the nature of such person's interest, the reason for such person's request, and the issues, if any,
At any time after March 19, 2021, the Commission may issue an order or orders cancelling the registrations of any or all of the registrants listed in the attached Appendix, upon the basis of the information stated above, unless an order or orders for a hearing on the cancellation shall be issued upon request or upon the Commission's own motion. Persons who requested a hearing, or who requested to be advised as to whether a hearing is ordered, will receive any notices and orders issued in this matter, including the date of the hearing (if ordered) and any postponements thereof. Any registrant whose registration is cancelled under delegated authority may appeal that decision directly to the Commission in accordance with rules 430 and 431 of the Commission's rules of practice (17 CFR 201.430 and 431).
ADDRESSES:
The Commission: Secretarys-Office@sec.gov.
FOR FURTHER INFORMATION CONTACT:
Lawrence Pace, Senior Counsel, at 202-551-6999; SEC, Division of Investment Management, Investment Adviser Regulation Office, 100 F Street NE, Washington, DC 20549-8549.
Footnotes:
2 ?17 CFR 200.30-5(e)(2).
For the Commission, by the Division of Investment Management, pursuant to delegated authority. 2
J. Matthew DeLesDernier,
Assistant Secretary.
Appendix
| SEC No. | Full legal name |
|---|---|
| 801-80706 | ATLANTIS ASSET MANAGEMENT INTERNATIONAL CORP. |
| 801-80669 | BLUE SHORES CAPITAL MANAGEMENT LLC. |
| 801-107925 | BRISTOL ADVISORS, LLC. |
| 801-28037 | BUSH O'DONNELL INVESTMENT ADVISORS, INC. |
| 801-96240 | CLINK SAVINGS INC. |
| 801-80697 | COPPIN COLLINGS LIMITED. |
| 801-44774 | EAST PACIFIC INVESTMENT CO INC. |
| 801-108051 | EMPEROR TREE CAPITAL LIMITED. |
| 801-107673 | ETHIKA INVESTMENTS, LLC. |
| 801-107890 | EVA CAPITAL MANAGEMENT LP. |
| 801-57393 | FINANCIAL WEST INVESTMENT GROUP, INC. |
| 801-77028 | FINLES N.V. |
| 801-71707 | FINVASIA FINANCIAL SERVICES PVT LTD. |
| 801-79943 | FOREFRONT CAPITAL ADVISORS, LLC. |
| 801-66757 | HARDING ADVISORY LLC. |
| 801-61820 | HIGH PERCH LLC. |
| 801-61381 | INDEPENDENT PORTFOLIO CONSULTANTS, INC. |
| 801-50509 | INTEGRATED WEALTH MANAGEMENT, INC. |
| 801-108178 | IPC PRIVATE WEALTH PARTNERS, LLC. |
| 801-81034 | KATZ FAMILY FINANCIAL ADVISORS, LLC. |
| 801-115109 | KEE MULTI FAMILY OFFICE CORP. |
| 801-68831 | LEBENTHAL ASSET MANAGEMENT, LLC. |
| 801-79208 | LEBENTHAL PARTNERS LLC. |
| 801-78930 | LEBENTHAL WEALTH ADVISORS, LLC. |
| 801-57974 | MARKETOCRACY CAPITAL MANAGEMENT LLC. |
| 801-108510 | MILLENNIUM CAPITAL PARTNERS LTD. |
| 801-111687 | MOONWALK CAPITAL LLC. |
| 801-114916 | POWERSCALE CAPITAL MANAGEMENT, LLC. |
| 801-79356 | QUANTMETRICS CAPITAL MANAGEMENT LLP. |
| 801-36999 | RENN CAPITAL GROUP, INC. |
| 801-110578 | RETIREMENT INCOME SECURITY SOLUTIONS, LLC. |
| 801-78597 | SAPPHIRE CAPITAL MANAGEMENT, LTD. |
| 801-113600 | SECOND NATURE INVESTMENTS LLC. |
| 801-108811 | SL2 INVESTMENTS LLC. |
| 801-115294 | SLATE CREEK CAPITAL, LLC. |
| 801-112406 | SOLARA INVESTMENT ADVISORS LLC. |
| 801-81062 | STARBOARD ASSET MANAGEMENT, INC. |
| 801-107824 | STAUFFER, ADAM WILLIAM. |
| 801-112934 | STOCKPITCH FINANCIAL CORPORATION. |
| 801-47405 | TONG ROBERT WAI. |
| 801-117662 | TRIDENT OS, LLC. |
| 801-117680 | UNICREDIT FINANCIAL SERVICES AND INVESTMENT ADVISOR. |
| 801-113476 | VENROTH PRINCIPAL MANAGEMENT. |
| 801-74490 | WEALTH MANAGEMENT, LLC. |
| 801-110776 | XENON PRIVATE EQUITY LTD. |
[FR Doc. 2021-03896 Filed 2-24-21; 8:45 am]
BILLING CODE 8011-01-P