[Federal Register Volume 89, Number 171 (Wednesday, September 4, 2024)]
[Notices]
[Pages 71961-71962]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2024-19849]
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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.
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\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.
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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,
[[Page 71962]]
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 emailed to the Commission's Secretary at
[email protected].
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: [email protected].
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\
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\2\ 17 CFR 200.30-5(e)(2).
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Sherry R. Haywood,
Assistant Secretary.
Appendix
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SEC No. Full legal name
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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.
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[FR Doc. 2024-19849 Filed 9-3-24; 8:45 am]
BILLING CODE 8011-01-P