2021-03896. Notice of Intention To Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(H) of the Investment Advisers Act of 1940
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Start Preamble
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.
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, Start Printed Page 11570of 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 emailed to the Commission's Secretary at Secretarys-Office@sec.gov.
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.
Start Further InfoFOR 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.
Start SignatureFor the Commission, by the Division of Investment Management, pursuant to delegated authority.2
J. Matthew DeLesDernier,
Assistant Secretary.
Appendix
End Further Info End PreambleSEC 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. 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.
Back to Citation[FR Doc. 2021-03896 Filed 2-24-21; 8:45 am]
BILLING CODE 8011-01-P
Document Information
- Published:
- 02/25/2021
- Department:
- Securities and Exchange Commission
- Entry Type:
- Notice
- Document Number:
- 2021-03896
- Pages:
- 11569-11570 (2 pages)
- Docket Numbers:
- Release No. IA-5688
- PDF File:
- 2021-03896.pdf