89 FR 171 pgs. 71961-71962 - Notice of Intention To Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940
Type: NOTICEVolume: 89Number: 171Pages: 71961 - 71962
Pages: 71961, 71962Docket number: [Release No. IA-6668]
FR document: [FR Doc. 2024-19849 Filed 9-3-24; 8:45 am]
Agency: Securities and Exchange Commission
Official PDF Version: PDF Version
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SECURITIES AND EXCHANGE COMMISSION
[Release No. IA-6668]
Notice of Intention To Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisers Act of 1940
August 29, 2024.
Notice is given that the Securities and Exchange Commission (the " Commission ") intends to issue an order, 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 September 23, 2024, 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 September 23, 2024, 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:
Priscilla Dao, Senior Counsel, at 202-551-6825; SEC, Division of Investment Management, Chief Counsel's Office, 100 F Street NE, Washington, DC 20549-8549.
For the Commission, by the Division of Investment Management, pursuant to delegated authority. 2
Footnotes:
2 ?17 CFR 200.30-5(e)(2).
Sherry R. Haywood,
Assistant Secretary.
Appendix
| SEC No. | Full legal name |
|---|---|
| 801-56141 | MARKSTON INTERNATIONAL LLC. |
| 801-54866 | LINDNER CAPITAL ADVISORS, INC. |
| 801-66530 | INVESTMENT MANAGEMENT ADVISORS, INC. |
| 801-108088 | FIDUCIARY CAPITAL ADVISORS INC. |
| 801-19890 | COBEY JACOBSON & GORDON INC. |
| 801-63230 | VANTAGE ADVISORS, LLC. |
| 801-73943 | TOURADJI CAPITAL MANAGEMENT LP. |
| 801-69184 | CONFIDENTIAL PLANNING I, LLC. |
| 801-90167 | FORESIGHT WEALTH MANAGEMENT, LLC. |
| 801-74413 | NUKU ASSET INC. |
| 801-99347 | WORTH CONSIDERING, INC. |
| 801-74005 | HARBINGER CAPITAL PARTNERS LLC. |
| 801-77260 | FOUR WOOD CAPITAL ADVISORS LLC. |
| 801-113353 | JASPER ASSET MANAGEMENT, LLC. |
| 801-111045 | SMARTMONEY.CO, LLC. |
| 801-109971 | E*HEDGE SECURITIES, INC. |
| 801-112086 | HIGH HURDLE CAPITAL LLC. |
| 801-112865 | MATRIX ADVISORY INC. |
| 801-113083 | THE PARKRIDGE COMPANIES, LLC. |
| 801-117231 | PERSONAL ADVISER INC. |
| 801-119829 | HERCULES INVESTMENTS LLC. |
| 801-117917 | LOOP INVESTING TECHNOLOGIES LLC. |
| 801-121545 | BREACHER CAPITAL ADVISORS, LLC. |
| 801-119748 | OATH ADVISORS LLC. |
| 801-119266 | MIX CAPITAL LTD. |
| 801-120546 | DNDRO INC. |
| 801-121332 | CMPD WEALTH, CORP. |
| 801-122121 | AE ADVISORS LLC. |
| 801-123314 | SAFAHI CORP. |
| 801-123265 | MAYA ADVISORS, L.L.C. |
| 801-127103 | HORIZON FINANCIAL MANAGEMENT INC. |
| 801-128112 | KEYTRENDS INVESTMENTS LLC. |
| 801-127612 | VANCE FUNDS LIMITED. |
| 801-128646 | M26 CAPITAL, LLC. |
| 801-119809 | CERTEZA FUND ADVISORS LLC. |
| 801-123697 | DIGITAL FUNDS LLC. |
| 801-111839 | MAUND & JONES LLC. |
[FR Doc. 2024-19849 Filed 9-3-24; 8:45 am]
BILLING CODE 8011-01-P