2018-01948. Notice of Intention To Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisors Act of 1940
-
Start Preamble
January 26, 2018.
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 and appears to be no longer 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.
Notice is also given that any interested person may, by February 26, 2018, at 5:30 p.m., submit to the Commission in writing a request for a hearing on the cancellation of the Start Printed Page 4717registration 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, of fact or law proposed to be controverted, and the writer may request to be notified if the Commission should order a hearing thereon. Any such communication should be addressed to the SEC's Secretary at the address below.
At any time after February 26, 2018, 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 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: Secretary, U.S. Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549-1090.
Start Further InfoFOR FURTHER INFORMATION CONTACT:
Matthew Cook, Attorney Adviser, at 202-551-6999; SEC, Division of Investment Management, Office of Investment Adviser Regulation, 100 F Street NE, Washington, DC 20549-8549.
Start SignatureFor the Commission, by the Division of Investment Management, pursuant to delegated authority.[1]
Robert W. Errett,
Deputy Secretary.
Appendix
End Further Info End PreambleSEC No. Full legal name 801-29339 SUMMIT WEALTH MANAGEMENT. 801-31049 MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED. 801-34345 HUBER JOAN MACMONNIES. 801-55033 FFR ADVISORY LLC. 801-55695 HARTLAND ASSET MANAGEMENT CORP. 801-57335 PAN GEO INVESTMENT INC. 801-60497 GREENWICH ASSET MANAGEMENT GROUP, LLC. 801-60501 UA, LLC. 801-62656 PREMIERSOURCE LLC. 801-62767 STUX CAPITAL MANAGEMENT, LLC. 801-64854 CORESTATES CAPITAL ADVISORS, LLC. 801-65392 MCCONNELL ASSET MANAGEMENT LLC. 801-65693 TITAN CAPITAL GROUP III, LP. 801-65699 BINJAI HILL ASSET MANAGEMENT PTE LTD. 801-67444 CAMLIN ASSET MANAGEMENT, INC. 801-68936 WPN CORP. 801-69479 SUMMIT ASSET STRATEGIES WEALTH MANAGEMENT, LLC. 801-69850 ABLE ALPHA TRADING, LTD. 801-70243 LIGHTSTONE CAPITAL ADVISERS, LLC. 801-71630 HEXAM CAPITAL PARTNERS, LLP. 801-71642 LWA FUND ADVISORS, LLC. 801-72439 EMERGING MANAGERS GROUP, L.P. 801-72722 IGENERATIONS PRIVATE WEALTH MANAGEMENT. 801-72802 401HARMONY LLC. 801-74225 NOGALES INVESTORS MANAGEMENT, LLC. 801-77991 PRAESTO INVESTMENT ADVISORS INC. 801-78030 VIRGINIA FINANCIAL INNOVATION CORP. 801-78054 ATF EXCHANGE, LLC. 801-78063 VIASOURCE FUNDING GROUP, LLC. 801-78432 HANMARU ASSET MANAGEMENT LLC. 801-78707 FINAPORT AMERICAS INVESTMENT ADVISERS, LLC. 801-78912 STERLING MARKETS LLC. 801-79102 SOUTHERN UTAH WEALTH NAVIGATION, LLC. 801-79138 TAM PORTFOLIOS, LLC. 801-79241 RCG CAPITAL MANAGEMENT, LLC. 801-79574 FRANCES, DOVI DOV. 801-79639 MERRIMAN ASSET MANAGEMENT, INC. 801-80111 GINKGO CAPITAL LIMITED. 801-80121 DBA APEX CAPITAL. 801-80126 GLOBAL SELECT ADVISORS LTD. 801-80237 ONEWALL ADVISORS UK LLP. 801-80333 NIGHTHAWK CAPITAL LIMITED. 801-80532 AVIV ASSET MANAGEMENT, LLC. 801-80773 D. L. WATSON & COMPANY, INC. 801-80849 HIGHTOWER FINANCIAL SOLUTIONS LLC. 801-80870 JUTLAND CAPITAL MANAGEMENT LTD. 801-96231 FFI ADVISORS LLC. 801-96242 PRO WEALTH ADVISORS LLC. 801-100366 PEERAGE NOBLE LLC. 801-106665 QUANTUMSHARES, LLC. 801-106838 FUNDAMENTAL CORPORATE CREDIT US LLC. Start Printed Page 4718 801-106839 FUNDAMENTAL MANAGERS LLC. 801-107261 GRAHAM WEALTH ADVISORS, LLC. 801-108797 BETASMARTZ ADVISORY LLC. 801-110135 VEST TECHNOLOGIES, INC. Footnotes
[FR Doc. 2018-01948 Filed 1-31-18; 8:45 am]
BILLING CODE 8011-01-P
Document Information
- Published:
- 02/01/2018
- Department:
- Securities and Exchange Commission
- Entry Type:
- Notice
- Document Number:
- 2018-01948
- Pages:
- 4716-4718 (3 pages)
- Docket Numbers:
- Investment Advisers Act Release No. 4849
- EOCitation:
- of 2018-01-26
- PDF File:
- 2018-01948.pdf