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 Info

    FOR 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 Signature

    For the Commission, by the Division of Investment Management, pursuant to delegated authority.[1]

    Robert W. Errett,

    Deputy Secretary.

    End Signature

    Appendix

    SEC No.Full legal name
    801-29339SUMMIT WEALTH MANAGEMENT.
    801-31049MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED.
    801-34345HUBER JOAN MACMONNIES.
    801-55033FFR ADVISORY LLC.
    801-55695HARTLAND ASSET MANAGEMENT CORP.
    801-57335PAN GEO INVESTMENT INC.
    801-60497GREENWICH ASSET MANAGEMENT GROUP, LLC.
    801-60501UA, LLC.
    801-62656PREMIERSOURCE LLC.
    801-62767STUX CAPITAL MANAGEMENT, LLC.
    801-64854CORESTATES CAPITAL ADVISORS, LLC.
    801-65392MCCONNELL ASSET MANAGEMENT LLC.
    801-65693TITAN CAPITAL GROUP III, LP.
    801-65699BINJAI HILL ASSET MANAGEMENT PTE LTD.
    801-67444CAMLIN ASSET MANAGEMENT, INC.
    801-68936WPN CORP.
    801-69479SUMMIT ASSET STRATEGIES WEALTH MANAGEMENT, LLC.
    801-69850ABLE ALPHA TRADING, LTD.
    801-70243LIGHTSTONE CAPITAL ADVISERS, LLC.
    801-71630HEXAM CAPITAL PARTNERS, LLP.
    801-71642LWA FUND ADVISORS, LLC.
    801-72439EMERGING MANAGERS GROUP, L.P.
    801-72722IGENERATIONS PRIVATE WEALTH MANAGEMENT.
    801-72802401HARMONY LLC.
    801-74225NOGALES INVESTORS MANAGEMENT, LLC.
    801-77991PRAESTO INVESTMENT ADVISORS INC.
    801-78030VIRGINIA FINANCIAL INNOVATION CORP.
    801-78054ATF EXCHANGE, LLC.
    801-78063VIASOURCE FUNDING GROUP, LLC.
    801-78432HANMARU ASSET MANAGEMENT LLC.
    801-78707FINAPORT AMERICAS INVESTMENT ADVISERS, LLC.
    801-78912STERLING MARKETS LLC.
    801-79102SOUTHERN UTAH WEALTH NAVIGATION, LLC.
    801-79138TAM PORTFOLIOS, LLC.
    801-79241RCG CAPITAL MANAGEMENT, LLC.
    801-79574FRANCES, DOVI DOV.
    801-79639MERRIMAN ASSET MANAGEMENT, INC.
    801-80111GINKGO CAPITAL LIMITED.
    801-80121DBA APEX CAPITAL.
    801-80126GLOBAL SELECT ADVISORS LTD.
    801-80237ONEWALL ADVISORS UK LLP.
    801-80333NIGHTHAWK CAPITAL LIMITED.
    801-80532AVIV ASSET MANAGEMENT, LLC.
    801-80773D. L. WATSON & COMPANY, INC.
    801-80849HIGHTOWER FINANCIAL SOLUTIONS LLC.
    801-80870JUTLAND CAPITAL MANAGEMENT LTD.
    801-96231FFI ADVISORS LLC.
    801-96242PRO WEALTH ADVISORS LLC.
    801-100366PEERAGE NOBLE LLC.
    801-106665QUANTUMSHARES, LLC.
    801-106838FUNDAMENTAL CORPORATE CREDIT US LLC.
    Start Printed Page 4718
    801-106839FUNDAMENTAL MANAGERS LLC.
    801-107261GRAHAM WEALTH ADVISORS, LLC.
    801-108797BETASMARTZ ADVISORY LLC.
    801-110135VEST TECHNOLOGIES, INC.
    End Further Info End Preamble

    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