Notice of Intention To Cancel Registrations of Certain Investment Advisers Pursuant to the Investment Advisers Act of 1940, 65234-65237 [2012-26234]

Download as PDF 65234 Federal Register / Vol. 77, No. 207 / Thursday, October 25, 2012 / Notices 6432 General Green Way, Alexandria, VA 22312; or send an email to: PRA_Mailbox@sec.gov. Dated: October 19, 2012. Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2012–26254 Filed 10–24–12; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. IA–3490; October 19, 2012] Notice of Intention To Cancel Registrations of Certain Investment Advisers Pursuant to the Investment Advisers Act of 1940 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. erowe on DSK2VPTVN1PROD with Background On July 21, 2010, President Obama signed into law the Dodd-Frank Wall Street Reform and Consumer Protection Act (‘‘Dodd-Frank Act’’) which, among other things, amended certain provisions of the Act.1 These amendments included provisions that delegate generally to the states regulatory responsibility over certain mid-sized advisers—i.e., those that have between $25 million and $100 million of assets under management.2 These provisions and related rule amendments required a significant number of advisers registered with the Commission to withdraw their registrations with the Commission and to switch to registration with one or more state securities authorities.3 To implement the division of regulatory responsibility mandated by the Dodd-Frank Act, the Commission 1 Dodd-Frank Wall Street Reform and Consumer Protection Act, Public Law 111–203, 124 Stat. 1376 (2010). 2 See section 410 of the Dodd-Frank Act; 15 U.S.C. 80b–3a. 3 For example, section 410 of the Dodd-Frank Act required mid-sized advisers to register with the states: (i) if the adviser is required to be registered as an investment adviser with the securities commissioner of the state in which it maintains its principal office and place of business; and (ii) if registered with that state, the adviser would be subject to examination as an investment adviser by that securities commissioner. 15 U.S.C. 80b– 3a(a)(2). The Commission also amended certain exemptions from the prohibition on Commission registration that were previously adopted under section 203A of the Act. See 17 CFR 275.203a–2. VerDate Mar<15>2010 12:06 Oct 24, 2012 Jkt 229001 adopted rule 203A–5 under the Act.4 Rule 203A–5 required each investment adviser registered with the Commission to file an amended Form ADV in the first quarter of 2012 indicating whether it remained eligible for registration by the Commission. The rule also extended until June 28, 2012 the deadline for advisers no longer eligible for Commission registration to register with the states and withdraw registration with the Commission.5 In conjunction with adopting rule 203A–5 and other rules to implement the Dodd-Frank Act, the Commission stated that it expected to cancel the registration of advisers no longer eligible to register with the Commission that failed to file an amendment or withdraw their registrations in accordance with rule 203A–5.6 Discussion 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.7 Commission staff, in coordination with state securities regulators, contacted SEC-registered investment advisers before and after the filing deadlines to remind them of their filing obligations under rule 203A–5 and to withdraw from Commission registration by filing Form ADV–W if no longer eligible. The registrants listed in the Appendix either have not filed a Form ADV amendment with the Commission in 2012, or have indicated on Form ADV that they are no longer eligible to remain registered with the Commission as investment advisers but have not filed Form ADV–W to withdraw their 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. 4 17 CFR 275.203a–5. 17 CFR 275.203a–5(b), (c). 6 Rules Implementing Amendments to the Investment Advisers Act of 1940, Investment Advisers Act Rel. No. 3221, at 15 (Jun. 22, 2012) [76 FR 42950, 42953–42954 (Jul. 19, 2011)]. 7 15 U.S.C. 80b–3(h). 5 See PO 00000 Frm 00069 Fmt 4703 Sfmt 4703 Any registrant listed in the Appendix that wishes to file a Form ADV amendment indicating that it is eligible for registration or a Form ADV–W to withdraw its registration with the Commission may do so by December 17, 2012. The registrations of registrants whose amended Form ADVs are received by the Commission by December 17, 2012 will not be cancelled, and the registrations of registrants that file Form ADV–W will be withdrawn and will not be cancelled by a Commission order or orders. For more information or for questions about the inclusion of a registrant on this list, contact: Jennifer Porter, Senior Counsel or Melissa Roverts, Branch Chief at (202) 551–6787 (Division of Investment Management, Office of Investment Adviser Regulation). Notice is also given that any interested person may, by December 17, 2012, at 5:30 p.m., submit to the Commission in writing a request for a hearing on the cancellation of a registrant, accompanied by a statement as to the nature of his interest, the reason for such request, and the issues, if any, of fact or law proposed to be controverted, and he may request that he be notified if the Commission should order a hearing thereon. Any such communication should be addressed: Secretary, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549. At any time after December 17, 2012, the Commission may issue an order or orders cancelling the registrations of any or all of the registrants listed in the 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. By the Commission. Elizabeth M. Murphy, Secretary. Appendix 801–68570 12 METER MANAGEMENT, LP 801–72955 3SISTERS SUSTAINABLE MANAGEMENT, LLC 801–71854 ACCESS GLOBAL ADVISORS 801–70973 ADVANCED FINANCIAL SOLUTIONS, INC. 801–71094 AFC ASSET MANAGEMENT SERVICES, INC. 801–67660 ALDUS CAPITAL, LLC 801–71247 ALDWYCH CAPITAL PARTNERS, LLC E:\FR\FM\25OCN1.SGM 25OCN1 erowe on DSK2VPTVN1PROD with Federal Register / Vol. 77, No. 207 / Thursday, October 25, 2012 / Notices 801–71312 ALLIANCE CONSULTING, LLC 801–39288 ALPHA CAPITAL MANAGEMENT INC 801–69679 ALPHA VISTA ADVISORS LLC 801–63858 ALPINE CAPITAL MANAGEMENT, LLC 801–63029 AM INVESTMENT PARTNERS LLC 801–67985 AMERICAN PEGASUS LDG, LLC 801–66956 AMOEBA CAPITAL PARTNERS PTE. LTD. 801–58279 AMUSSEN, HUNSAKER & ASSOCIATES INCORPORATED 801–72517 ANCHOR INVESTMENT PARTNERS LLC 801–74690 ANVIL CAPITAL ADVISORS, LLC 801–69544 APELLES INVESTMENT MANAGEMENT, LP 801–72622 ARCHETYPE ADVISORS, LLC 801–70395 ARTIENCE CAPITAL MANAGEMENT, LLC 801–70301 ASSET MANAGEMENT STRATEGIES, LLC 801–69874 ASSOCIATED PROFESSIONAL INVESTMENTS, LLC 801–69463 ATHENA ASSET MANAGEMENT & RESEARCH, LLC 801–72293 BAG SECURITIES, LLC 801–72112 BAOCHUAN CAPITAL MANAGEMENT, LLC 801–62938 BARRINGTON ASSET MANAGEMENT, INC. 801–60288 BEACON CAPITAL MANAGEMENT LIMITED 801–61433 BERKSHIRE ADVISORS, INC. 801–72146 BETA CAPITAL MANAGEMENT LLC 801–71757 BEYOND CAPITAL FINANCIAL MANAGEMENT GROUP, INC. 801–69391 BILTMORE INVESTMENT MANAGEMENT, LLC 801–56997 BISCAYNE ADVISORS, INC. 801–67617 BLACK KNIGHT ASSET MANAGEMENT 801–71729 BOLI FUND MANAGEMENT, LLC 801–14429 BOWMAN FINANCIAL MANAGEMENT CO INC 801–72221 BOYD INVESTMENT MANAGEMENT, LLC 801–68519 BRADLEY WEALTH MANAGEMENT, LLC 801–63049 BRICOLEUR CAPITAL MANAGEMENT, LLC 801–69628 BRIGHTON WEALTH MANAGEMENT, INC. 801–65969 BROADSTREET CAPITAL PARTNERS, LP 801–63011 BROADWATER CAPITAL MANAGEMENT LLC 801–70514 BRYN MAWR FINANCIAL, LLC 801–67201 BURR & COMPANY, LLC 801–68809 C.S. ANDERSON FINANCIAL SERVICES, INC 801–65805 C2 ASSET MANAGEMENT L.L.C. 801–70179 CABAL CAPITAL MANAGEMENT, LLC 801–70320 CACHE EQUITY LLC 801–30978 CAMBRIDGE FINANCIAL SERVICES, LTD 801–55780 CAMERON, MURPHY & SPANGLER, INC. 801–51319 CANNON TINGEY VerDate Mar<15>2010 12:06 Oct 24, 2012 Jkt 229001 INVESTMENT ADVISORS INC 801–69502 CAPITAL CITY INVESTMENT MANAGEMENT COMPANY, INC. 801–37116 CAPITAL MANAGEMENT CORP OF THE NORTHEAST 801–69804 CAPITAL STRATEGIES FINANCIAL CORPORATION 801–68390 CAPSTONE CAPITAL GROUP 801–69331 CARLTON WEALTH MANAGEMENT LLC 801–66142 CARMICHAEL STRATEGIES LLC 801–71599 CARRINGTON STRATEGIC ADVISORS, LLC 801–65962 CASTLESTONE MANAGEMENT LLC 801–67329 CENTURION INVESTMENT PARTNERS, LLC 801–72550 CENTURY CITY CAPITAL MANAGEMENT, LLC 801–69779 CHELSEA MORGAN ADVISORS LLC 801–68372 CHESTER CAPITAL MANAGEMENT, LLC 801–57162 CHEVY CHASE ASSET MANAGEMENT LLC 801–64167 CHRONIM INVESTMENTS INC. 801–68715 CLEARPATH WEALTH MANAGEMENT, LLC 801–70840 CLOSED-END FUND ADVISORS INC. 801–68833 COAST WEALTH MANAGEMENT, INC. 801–68548 CONCORD ATLANTIC, INC. 801–34934 CONSTITUTION RESEARCH & MANAGEMENT INC 801–61705 COPLEY SQUARE CAPITAL MANAGEMENT, LLC 801–41021 CORDILLERA ASSET MANAGEMENT 801–63182 CORNERSTONE CAPITAL MANAGEMENT 801–55989 CREDICORP SECURITIES INC 801–69969 CREMAC ASSET MANAGEMENT, LLC 801–63124 CURTIS WEALTH MANAGEMENT GROUP, LLC 801–70413 D LITTLE, L.L.C. 801–56278 DANIEL FRISHBERG FINANCIAL SERVICES, INC. 801–72077 DB2 INVESTMENT ADVISORY SERVICES INC. 801–42306 DILMUN INVESTMENTS, INC 801–67499 DISCOVERY FINANCIAL GROUP, LLC 801–56038 DIVELEY LIND & ASSOCIATES LLC 801–70505 DJM WEALTH STRATEGIES, LLC 801–60809 DKR CAPITAL PARTNERS L.P. 801–66443 DKR FUSION MANAGEMENT L.P. 801–72443 DODD, ANDREW JAMES 801–70325 DOUBLE ALPHA GROUP LLC 801–72304 DOWNEY CAPITAL MANAGEMENT, INC. 801–68820 DUNCAN-WILLIAMS, INC. 801–65704 DURHAM ASSET MANAGEMENT L.L.C. 801–57802 DYNAMIC WEALTH MANAGEMENT 801–68994 EAGLEEYE ASSET MANAGEMENT, LLC 801–62482 EFFICIENT PORTFOLIO CONSULTANTS, LLC 801–68115 EMPIRE INVESTING GROUP, PO 00000 Frm 00070 Fmt 4703 Sfmt 4703 65235 LLC 801–57005 EMPIRE INVESTMENT ADVISORS INC 801–65038 ERISEY WEALTH MANAGEMENT LLC 801–63668 EVOLUTION CAPITAL STRATEGIES LLC 801–61152 EXECUTIVE ASSET MANAGEMENT, INC. 801–60991 FAIRSON MANAGEMENT LIMITED 801–64720 FIDUCIARY MANAGEMENT GROUP, LLC 801–71217 FILIPINOFUNDS INVESTMENT MANAGEMENT, LLC 801–68836 FINANCIAL LEGACY ASSOCIATES, LLC 801–24481 FIRST INVESTMENT CORPORATION 801–36095 FLAGSHIP CAPITAL MANAGEMENT INC 801–69662 FLATFEEADVISORS.COM, INC. 801–66649 FORESIGHT ASSET MANAGEMENT, LLC 801–69724 FORT CAPITAL MANAGEMENT, LLC 801–63002 FOSTER INVESTMENT CONSULTING LLC 801–56788 FOUNDING PARTNERS CAPITAL MANAGEMENT COMPANY 801–61582 FPC SERVICES, INCORPORATED 801–69648 FUTURE VALUE CONSULTANTS LIMITED 801–45317 GANUCHEAU CAPITAL MANAGEMENT, INC. 801–19290 GARLIKOV ADVISORS INC 801–65627 GDG ASSET MANAGEMENT LIMITED 801–66112 GELLER & LEHMANN, LLC 801–72754 GILDED ADVISORS LLC 801–69546 GLANZ, DANIEL 801–74448 GLOBAL EVOLUTION USA, LLC 801–69333 GLOBAL PLUS+ INVESTMENT MANAGEMENT, LLC 801–72227 GLOBAL PORTFOLIO MANAGEMENT, LTD. 801–60090 GOLD COAST SECURITIES, INC. 801–74628 GOLDENGROVE LLC 801–62648 GOODSTEIN & ASSOCIATES, LLC 801–72960 GOSLIN III, ALBERT ERNEST 801–71624 GRANT PARK CAPITAL PARTNERS, LLC 801–71579 GRAVITY CAPITAL PARTNERS, LLC 801–67236 GRAYBEARD CAPITAL, LLC 801–69383 GREENWICH CREEK CAPITAL MANAGEMENT, LLC 801–66346 GUALARIO & CO., LLC 801–66823 GUNDERSON CAPITAL MANAGEMENT INC. 801–47199 HANSEN, BRIAN BENNETT 801–69429 HATTINGH, DIEDERIK JOHANNES 801–53254 HAVELL CAPITAL MANAGEMENT LLC 801–69963 HELIOS INVESTMENTS INC 801–68598 HEPWORTH EQUITY PARTNERS, LLC 801–66435 HIGHVIEW POINT PARTNERS, LLC 801–72056 HILL CAPITAL MANAGEMENT LLC E:\FR\FM\25OCN1.SGM 25OCN1 erowe on DSK2VPTVN1PROD with 65236 Federal Register / Vol. 77, No. 207 / Thursday, October 25, 2012 / Notices 801–69123 HILL-TOWNSEND CAPITAL, LLC 801–68714 HOLMAN INVESTMENTS AND PLANNING, LLC 801–67355 HOLTER, WILLIAM LATIMER 801–70767 HORIZON FUNDS MANAGEMENT, LLC 801–71677 HORIZONS WEST CAPITAL PARTNERS, LLC 801–67009 HRJ CAPITAL, L.L.C. 801–71614 INNOVATUM CAPITAL PARTNERS, LLC 801–70807 INSTITUTIONAL BULLION INVESTMENT ADVISORS, LLC 801–67273 INVESTMENT SECURITY GROUP, LLC 801–69098 IRVINGTON CAPITAL LLC 801–51879 J A GIBBONS LLC 801–64391 JADIS INVESTMENTS LLC 801–68063 JDM FINANCIAL GROUP LLC 801–66648 JENNINGS INVESTMENT ADVISORS, LLC 801–66895 JERMYN CAPITAL (SINGAPORE) PTE. LTD. 801–71822 JIM POE AND ASSOCIATES INC. 801–71814 JOBES SOLO INVESTMENT GROUP, LLC 801–66643 JOHN R. FIESTA, LLC 801–57979 JOHN SHAW NOTMAN 801–45453 JUMPER GROUP INC 801–66884 K.K. JERMYN CAPITAL 801–72005 KAJO INVESTMENTS, LLC 801–67024 KENNEDY WEALTH MANAGEMENT GROUP LTD. 801–69948 KLARAOS, LLC 801–42331 KOCH ASSET MANAGEMENT LLC 801–69365 KURTIN FINANCIAL ADVISERS, LLC 801–69343 L&P FINANCIAL TRUSTEES LTD 801–73035 LANCELOT CAPITAL LIMITED 801–63887 LANPHIER CAPITAL MANAGEMENT, INC. 801–68524 LEXINGTON INVESTMENT COUNSEL, LLC 801–70312 LIGHTHOUSE CAPITAL PARTNERS, LLC 801–56394 LITCHFIELD & NELSON, INC 801–56364 LITTLEFIELD ASSET MGMT. INC. 801–49599 LONGWOOD INVESTMENT ADVISORS INC 801–37592 M. D. FALK & COMPANY, INC. 801–66388 MACARTHURCOOK INVESTMENT MANAGERS LIMITED 801–74815 MADISONLEE PARTNERS, LLC 801–71939 MANAIA CAPITAL MANAGEMENT, INC. 801–45332 MAPLE LEAF INVESTMENT MANAGEMENT INC 801–71070 MARKS THERIOT WALSTON & COMPANY, INC. 801–55125 MARSDEN CAPITAL MANAGEMENT, LLC. 801–67908 MARTINELLI DISCENZA INVESTMENT COUNSEL, INC. 801–60658 MCW ADVISORS 801–63100 MEREDITH PORTFOLIO MANAGEMENT INC. 801–63422 MERIDIAN ASSET MANAGEMENT LLC 801–70666 MG SULLIVAN, LLC 801–69605 MICOUD INVESTMENTS LIMITED VerDate Mar<15>2010 12:06 Oct 24, 2012 Jkt 229001 801–66328 MIRAMAR ASSET MANAGEMENT, LLC 801–57042 MOHAWK ASSET MANAGEMENT INC 801–71711 MONTGOMERY ASSET MANAGEMENT, LLC 801–42907 NANCY ABRAMS & ASSOCIATES, INC. 801–69301 NEF ADVISORS, LLC 801–72732 NEMAN FINANCIAL, INC. 801–64824 NEXCORE FINANCIAL SERVICES, INCORPORATED 801–72628 NEXTGEN FAMILY OFFICE, LLC 801–65128 NIGHTWATCH CAPITAL ADVISORS, LLC 801–68540 NJR INVESTMENT ADVISORY, INC. 801–69484 NORTH POINT ADVISORS 801–50288 NORTHSTAR CAPITAL INC 801–65702 OLYMPIUS CAPITAL, L.P. 801–23421 OMICRON GROUP LTD 801–71953 ONYX INVESTMENT ADVISORS 801–67259 ORACLE FINANCIAL SERVICES, LLC 801–68545 OSAGE ENERGY PARTNERS, L.P. 801–71098 OUTSTANDING VALUE FINANCIAL MANAGEMENT, LLC 801–65021 PACIFIC FINANCIAL ADVISORS, INC. 801–65166 PARK PLACE CAPITAL LIMITED 801–60542 PATRICK LLOYD BECKER 801–34567 PCA REAL ESTATE ADVISORS, INC. 801–66276 PELION INVESTMENT ADVISORS, INC. 801–65099 PEMIGEWASSET CAPITAL LLC 801–66759 PENSION PERFORMANCE ADVISORS, INC. 801–63878 PERMANENT VALUE INC. 801–72260 PINACULO LLC 801–70132 PLACE, BRYAN, MCNEILL 801–68161 PRESIDIUM PARTNERS, LLC 801–14186 PROFESSIONAL INVESTMENT COUNSEL, INC 801–71591 PROSAPIA CAPITAL MANAGEMENT, LLC 801–62787 QUANTEL ASSOCIATES, INC. 801–63842 QUANTUM FAMILY OFFICE GROUP, LLC 801–68872 QUANTUM WEALTH MANAGEMENT LLC 801–70459 RANDY MEYER INVESTMENT MANAGEMENT, LLC 801–72606 RFG ADVISORY GROUP, LLC 801–44866 RICH INVESTMENTS INC 801–57081 RINCON PACIFIC MANAGEMENT INC 801–64933 RIOUX & COMPANY, LLC 801–68439 RIVERSEDGE CONVERTIBLE PORTFOLIO ADVISORS, LLC 801–70387 ROSE & SKY INVESTMENTS (CAYMAN) LTD 801–62387 RUBY CORPORATION 801–44751 RULAPAUGH STANLEY EUGENE 801–72770 RUTHERFORD, GARY LEE 801–60566 RYAN CAPITAL ADVISORS, LLC 801–72680 S BROWN AND ASSOCIATES, LLC 801–70230 SACHS INVESTMENT GROUP, LLC PO 00000 Frm 00071 Fmt 4703 Sfmt 4703 801–69730 SANCTUARY WEALTH MANAGEMENT, LLC 801–26861 SANDER CAPITAL ADVISORS, INC. 801–51254 SCEPTRE INVESTMENT COUNSEL LIMITED 801–58027 SCHELLER FINANCIAL SERVICES INC. 801–70944 SEDGEFIELD CAPITAL MANAGEMENT, LLC 801–71779 SELECT ASSET MANAGEMENT, LLC 801–64724 SENTINEL WEALTH ADVISORS, LLC 801–63183 SFM, LLC 801–16175 SHEA JOHN A INVESTMENT ADVISOR 801–39915 SK GROUP, INC 801–33087 SMITH WILLIAM BRUCE 801–64817 SMITH, THURMAN LEONARD 801–70455 SOUTHPORT ASSET MANAGEMENT 801–61272 SOVEREIGN INTERNATIONAL ASSET MANAGEMENT, INC. 801–70589 SOVEREIGN PRIVATE WEALTH, INC. 801–67746 STATE CAPITAL WEALTH MANAGEMENT INC 801–25597 STEINE & GOOCH CO INC 801–66434 STEPHEN M. GROSS, INC. 801–47378 STEPHEN P. MOULTON & ASSOCIATES, LTD. 801–24483 STERLING JOHNSTON CAPITAL MANAGEMENT, L.P. 801–69491 STRANBERG CAPITAL LLC 801–36025 STRATEGIS FINANCIAL GROUP, INC 801–74213 TANDRAGEE GLOBAL ADVISORS, LLC 801–53568 TBIG FINANCIAL SERVICES INC 801–28191 THE CARMACK GROUP, INC. 801–68698 THE COLOMA GROUP, L.LC. 801–54184 THE DELANCEY CAPITAL GROUP, LP 801–64694 THE OXFORD PRIVATE CLIENT GROUP, LLC 801–36203 THE SPANGLER GROUP, INC. 801–71205 THE UNIVERSITY FUNDS, LLC 801–66115 THOMSON FINANCIAL ADVISORS LLC. 801–62975 THUNDERSTORM CAPITAL LLC 801–47405 TONG ROBERT WAI 801–65028 TRIBUTARY CAPITAL MANAGEMENT., LLC 801–72696 TRILLION CAPITAL, LLC 801–69905 TRIVELLONI ASSET MANAGEMENT, LLC 801–67142 TWEDDELL GOLDBERG LLC 801–61159 UNIVEST INVESTMENTS, INC. 801–64165 USF SERVICES, LLC 801–71511 VANTAGE POINT ADVISORS, LLC 801–42685 VARN INVESTMENT COUNSEL INC 801–39326 VIRGINIA CAPITAL MANAGEMENT GROUP INC 801–60397 W.WALL AND COMPANY, INC. 801–63137 WALRUS PARTNERS, LLC 801–67403 WASHINGTON CORNER CAPITAL MANAGEMENT, LP 801–62780 WATERS CAPITAL ADVISERS, LLC 801–63026 WATERVILLE INVESTMENTS, INC. E:\FR\FM\25OCN1.SGM 25OCN1 Federal Register / Vol. 77, No. 207 / Thursday, October 25, 2012 / Notices 801–74505 WEALTH FOCUS RESOURCES, LLC 801–69539 WEALTH LTD 801–54769 WEALTH MANAGEMENT LLC 801–62294 WELLS, CANNING & ASSOCIATES INC. 801–48199 WENDEL ANDREW MARTIN 801–40981 WEST ELLIS INVESTMENT MANAGEMENT INC 801–71961 WEST RIDGE REALTY ADVISORS LLC 801–19899 WESTRIDGE CAPITAL MANAGEMENT INC 801–64673 WFP SECURITIES CORPORATION 801–37177 WHB WOLVERINE ASSET MANAGEMENT INC 801–72403 WICKER PARK ADVISORS, LLC 801–16393 WILLIAMSON & SNEED INCORPORATED 801–67795 WILSHIRE–PENNINGTON GROUP, INC. 801–12695 WITTER WILLIAM D INC 801–69064 WORLDWIDE ASSET MANAGEMENT GROUP, LLC 801–70899 WYNNCORR CAPITAL MANAGEMENT, LLC [FR Doc. 2012–26234 Filed 10–24–12; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice. FEDERAL REGISTER CITATION OF PREVIOUS ANNOUNCEMENT: [77 FR 64836, October DATE AND TIME OF PREVIOUSLY ANNOUNCED MEETING: Tuesday, October 23, 2012 at 3:00 p.m. Date and Time Change. The Closed Meeting scheduled for Tuesday, October 23, 2012 at 3:00 p.m., has been changed to Thursday, October 25, 2012 at 10:00 a.m. Commissioner Walter, as duty officer, voted to consider the item listed for the Closed Meeting in closed session, and determined that no earlier notice thereof was possible. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551–5400. erowe on DSK2VPTVN1PROD with Dated: October 23, 2012. Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2012–26402 Filed 10–23–12; 4:15 pm] BILLING CODE 8011–01–P VerDate Mar<15>2010 12:06 Oct 24, 2012 Jkt 229001 [Release No. 34–68073; File No. SR– NASDAQ–2012–098] Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of Shares of the WisdomTree Global Corporate Bond Fund of the WisdomTree Trust October 19, 2012. I. Introduction On August 15, 2012, The NASDAQ Stock Market LLC (‘‘Nasdaq’’ or ‘‘Exchange’’) filed with the Securities and Exchange Commission (‘‘Commission’’), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 a proposed rule change to list and trade the shares (‘‘Shares’’) of the WisdomTree Global Corporate Bond Fund (‘‘Fund’’) of the WisdomTree Trust (‘‘Trust’’) under Nasdaq Rule 5735. The proposed rule change was published for comment in the Federal Register on September 5, 2012.3 The Commission received no comments on the proposal. This order grants approval of the proposed rule change. II. Description of the Proposed Rule Change 23, 2012] STATUS: Closed Meeting. PLACE: 100 F Street NE., Washington, DC. CHANGE IN THE MEETING: SECURITIES AND EXCHANGE COMMISSION The Exchange proposes to list and trade the Shares of the Fund under Nasdaq Rule 5735, which governs the listing and trading of Managed Fund Shares on the Exchange. The Fund will be an actively managed exchange-traded fund (‘‘ETF’’). The Shares will be offered by the Trust, which was established as a Delaware statutory trust on December 15, 2005. The Fund is registered with the Commission as an investment company and has filed a registration statement on Form N–1A with the Commission.4 WisdomTree Asset Management, Inc. is the investment adviser (‘‘Adviser’’) to the Fund,5 and Western Asset Management Company serves as sub-adviser for the Fund (‘‘Sub-Adviser’’).6 The Bank of 1 15 U.S.C. 78s(b)(1). CFR 240.19b–4. 3 See Securities Exchange Act Release No. 67750 (August 29, 2012), 77 FR 54640 (‘‘Notice’’). 4 See Post-Effective Amendment No. 56 to Registration Statement on Form N–1A for the Trust, dated July 1, 2011 (File Nos. 333–132380 and 811– 21864) (‘‘Registration Statement’’). 5 WisdomTree Investments, Inc. is the parent company of the Adviser. 6 The Sub-Adviser is responsible for day-to-day management of the Fund and, as such, typically makes all decisions with respect to portfolio 2 17 PO 00000 Frm 00072 Fmt 4703 Sfmt 4703 65237 New York Mellon is the administrator, custodian, and transfer agent for the Trust, and ALPS Distributors, Inc. serves as the distributor for the Trust.7 The Exchange represents that neither the Adviser nor the Sub-Adviser are affiliated with any broker-dealer.8 WisdomTree Global Corporate Bond Fund The Fund seeks to provide a high level of total return consisting of both income and capital appreciation. To achieve its objective, the Fund will invest in debt securities of corporations that are domiciled or economically tied to countries throughout the world. Global Corporate Debt Specifically, the Fund intends to achieve its investment objectives through direct and indirect investments in Global Corporate Debt. With respect to this proposal, Global Corporate Debt includes fixed-income securities, such as bonds, notes, or other debt obligations, including loan participation notes (‘‘LPNs’’),9 as well as other debt instruments denominated in U.S. dollars or local currencies. Global Corporate Debt also includes fixed income securities or debt obligations that are issued by companies or agencies that may receive financial support or backing from local government. Fixed income securities include Money Market Securities as defined below. holdings. The Adviser has ongoing oversight responsibility. 7 The Commission has issued an order granting certain exemptive relief to the Trust under the Investment Company Act of 1940 (‘‘1940 Act’’). See Investment Company Act Release No. 28471 (October 27, 2008) (File No. 812–13458). In compliance with Nasdaq Rule 5735(b)(5), which applies to Managed Fund Shares based on an international or global portfolio, the Trust’s application for exemptive relief under the 1940 Act states that the Fund will comply with the federal securities laws in accepting securities for deposits and satisfying redemptions with redemption securities, including that the securities accepted for deposits and the securities used to satisfy redemption requests are sold in transactions that would be exempt from registration under the Securities Act of 1933. 8 See Nasdaq Rule 5735(g). The Exchange represents that, in the event (a) the Adviser or the Sub-Adviser becomes newly affiliated with a broker-dealer, or (b) any new adviser or sub-adviser becomes affiliated with a broker-dealer, it will implement a fire wall with respect to such brokerdealer regarding access to information concerning the composition and/or changes to a portfolio, and will be subject to procedures designed to prevent the use and dissemination of material, non-public information regarding such portfolio. In addition, Adviser and/or Sub-Adviser personnel who make decisions regarding the Fund’s portfolio are subject to procedures designed to prevent the use and dissemination of material, non-public information regarding the Fund’s portfolio. 9 The Fund may invest in LPNs with a minimum outstanding principal amount of $200 million that the Adviser or Sub-Adviser deems to be liquid. E:\FR\FM\25OCN1.SGM 25OCN1

Agencies

[Federal Register Volume 77, Number 207 (Thursday, October 25, 2012)]
[Notices]
[Pages 65234-65237]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2012-26234]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. IA-3490; October 19, 2012]


Notice of Intention To Cancel Registrations of Certain Investment 
Advisers Pursuant to the Investment Advisers Act of 1940

    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.

Background

    On July 21, 2010, President Obama signed into law the Dodd-Frank 
Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act'') 
which, among other things, amended certain provisions of the Act.\1\ 
These amendments included provisions that delegate generally to the 
states regulatory responsibility over certain mid-sized advisers--i.e., 
those that have between $25 million and $100 million of assets under 
management.\2\ These provisions and related rule amendments required a 
significant number of advisers registered with the Commission to 
withdraw their registrations with the Commission and to switch to 
registration with one or more state securities authorities.\3\
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    \1\ Dodd-Frank Wall Street Reform and Consumer Protection Act, 
Public Law 111-203, 124 Stat. 1376 (2010).
    \2\ See section 410 of the Dodd-Frank Act; 15 U.S.C. 80b-3a.
    \3\ For example, section 410 of the Dodd-Frank Act required mid-
sized advisers to register with the states: (i) if the adviser is 
required to be registered as an investment adviser with the 
securities commissioner of the state in which it maintains its 
principal office and place of business; and (ii) if registered with 
that state, the adviser would be subject to examination as an 
investment adviser by that securities commissioner. 15 U.S.C. 80b-
3a(a)(2). The Commission also amended certain exemptions from the 
prohibition on Commission registration that were previously adopted 
under section 203A of the Act. See 17 CFR 275.203a-2.
---------------------------------------------------------------------------

    To implement the division of regulatory responsibility mandated by 
the Dodd-Frank Act, the Commission adopted rule 203A-5 under the 
Act.\4\ Rule 203A-5 required each investment adviser registered with 
the Commission to file an amended Form ADV in the first quarter of 2012 
indicating whether it remained eligible for registration by the 
Commission. The rule also extended until June 28, 2012 the deadline for 
advisers no longer eligible for Commission registration to register 
with the states and withdraw registration with the Commission.\5\ In 
conjunction with adopting rule 203A-5 and other rules to implement the 
Dodd-Frank Act, the Commission stated that it expected to cancel the 
registration of advisers no longer eligible to register with the 
Commission that failed to file an amendment or withdraw their 
registrations in accordance with rule 203A-5.\6\
---------------------------------------------------------------------------

    \4\ 17 CFR 275.203a-5.
    \5\ See 17 CFR 275.203a-5(b), (c).
    \6\ Rules Implementing Amendments to the Investment Advisers Act 
of 1940, Investment Advisers Act Rel. No. 3221, at 15 (Jun. 22, 
2012) [76 FR 42950, 42953-42954 (Jul. 19, 2011)].
---------------------------------------------------------------------------

Discussion

    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.\7\
---------------------------------------------------------------------------

    \7\ 15 U.S.C. 80b-3(h).
---------------------------------------------------------------------------

    Commission staff, in coordination with state securities regulators, 
contacted SEC-registered investment advisers before and after the 
filing deadlines to remind them of their filing obligations under rule 
203A-5 and to withdraw from Commission registration by filing Form ADV-
W if no longer eligible. The registrants listed in the Appendix either 
have not filed a Form ADV amendment with the Commission in 2012, or 
have indicated on Form ADV that they are no longer eligible to remain 
registered with the Commission as investment advisers but have not 
filed Form ADV-W to withdraw their 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.
    Any registrant listed in the Appendix that wishes to file a Form 
ADV amendment indicating that it is eligible for registration or a Form 
ADV-W to withdraw its registration with the Commission may do so by 
December 17, 2012. The registrations of registrants whose amended Form 
ADVs are received by the Commission by December 17, 2012 will not be 
cancelled, and the registrations of registrants that file Form ADV-W 
will be withdrawn and will not be cancelled by a Commission order or 
orders. For more information or for questions about the inclusion of a 
registrant on this list, contact: Jennifer Porter, Senior Counsel or 
Melissa Roverts, Branch Chief at (202) 551-6787 (Division of Investment 
Management, Office of Investment Adviser Regulation).
    Notice is also given that any interested person may, by December 
17, 2012, at 5:30 p.m., submit to the Commission in writing a request 
for a hearing on the cancellation of a registrant, accompanied by a 
statement as to the nature of his interest, the reason for such 
request, and the issues, if any, of fact or law proposed to be 
controverted, and he may request that he be notified if the Commission 
should order a hearing thereon. Any such communication should be 
addressed: Secretary, Securities and Exchange Commission, 100 F Street 
NE., Washington, DC 20549.
    At any time after December 17, 2012, the Commission may issue an 
order or orders cancelling the registrations of any or all of the 
registrants listed in the 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.

    By the Commission.
Elizabeth M. Murphy,
Secretary.

Appendix

801-68570 12 METER MANAGEMENT, LP
801-72955 3SISTERS SUSTAINABLE MANAGEMENT, LLC
801-71854 ACCESS GLOBAL ADVISORS
801-70973 ADVANCED FINANCIAL SOLUTIONS, INC.
801-71094 AFC ASSET MANAGEMENT SERVICES, INC.
801-67660 ALDUS CAPITAL, LLC
801-71247 ALDWYCH CAPITAL PARTNERS, LLC

[[Page 65235]]

801-71312 ALLIANCE CONSULTING, LLC
801-39288 ALPHA CAPITAL MANAGEMENT INC
801-69679 ALPHA VISTA ADVISORS LLC
801-63858 ALPINE CAPITAL MANAGEMENT, LLC
801-63029 AM INVESTMENT PARTNERS LLC
801-67985 AMERICAN PEGASUS LDG, LLC
801-66956 AMOEBA CAPITAL PARTNERS PTE. LTD.
801-58279 AMUSSEN, HUNSAKER & ASSOCIATES INCORPORATED
801-72517 ANCHOR INVESTMENT PARTNERS LLC
801-74690 ANVIL CAPITAL ADVISORS, LLC
801-69544 APELLES INVESTMENT MANAGEMENT, LP
801-72622 ARCHETYPE ADVISORS, LLC
801-70395 ARTIENCE CAPITAL MANAGEMENT, LLC
801-70301 ASSET MANAGEMENT STRATEGIES, LLC
801-69874 ASSOCIATED PROFESSIONAL INVESTMENTS, LLC
801-69463 ATHENA ASSET MANAGEMENT & RESEARCH, LLC
801-72293 BAG SECURITIES, LLC
801-72112 BAOCHUAN CAPITAL MANAGEMENT, LLC
801-62938 BARRINGTON ASSET MANAGEMENT, INC.
801-60288 BEACON CAPITAL MANAGEMENT LIMITED
801-61433 BERKSHIRE ADVISORS, INC.
801-72146 BETA CAPITAL MANAGEMENT LLC
801-71757 BEYOND CAPITAL FINANCIAL MANAGEMENT GROUP, INC.
801-69391 BILTMORE INVESTMENT MANAGEMENT, LLC
801-56997 BISCAYNE ADVISORS, INC.
801-67617 BLACK KNIGHT ASSET MANAGEMENT
801-71729 BOLI FUND MANAGEMENT, LLC
801-14429 BOWMAN FINANCIAL MANAGEMENT CO INC
801-72221 BOYD INVESTMENT MANAGEMENT, LLC
801-68519 BRADLEY WEALTH MANAGEMENT, LLC
801-63049 BRICOLEUR CAPITAL MANAGEMENT, LLC
801-69628 BRIGHTON WEALTH MANAGEMENT, INC.
801-65969 BROADSTREET CAPITAL PARTNERS, LP
801-63011 BROADWATER CAPITAL MANAGEMENT LLC
801-70514 BRYN MAWR FINANCIAL, LLC
801-67201 BURR & COMPANY, LLC
801-68809 C.S. ANDERSON FINANCIAL SERVICES, INC
801-65805 C2 ASSET MANAGEMENT L.L.C.
801-70179 CABAL CAPITAL MANAGEMENT, LLC
801-70320 CACHE EQUITY LLC
801-30978 CAMBRIDGE FINANCIAL SERVICES, LTD
801-55780 CAMERON, MURPHY & SPANGLER, INC.
801-51319 CANNON TINGEY INVESTMENT ADVISORS INC
801-69502 CAPITAL CITY INVESTMENT MANAGEMENT COMPANY, INC.
801-37116 CAPITAL MANAGEMENT CORP OF THE NORTHEAST
801-69804 CAPITAL STRATEGIES FINANCIAL CORPORATION
801-68390 CAPSTONE CAPITAL GROUP
801-69331 CARLTON WEALTH MANAGEMENT LLC
801-66142 CARMICHAEL STRATEGIES LLC
801-71599 CARRINGTON STRATEGIC ADVISORS, LLC
801-65962 CASTLESTONE MANAGEMENT LLC
801-67329 CENTURION INVESTMENT PARTNERS, LLC
801-72550 CENTURY CITY CAPITAL MANAGEMENT, LLC
801-69779 CHELSEA MORGAN ADVISORS LLC
801-68372 CHESTER CAPITAL MANAGEMENT, LLC
801-57162 CHEVY CHASE ASSET MANAGEMENT LLC
801-64167 CHRONIM INVESTMENTS INC.
801-68715 CLEARPATH WEALTH MANAGEMENT, LLC
801-70840 CLOSED-END FUND ADVISORS INC.
801-68833 COAST WEALTH MANAGEMENT, INC.
801-68548 CONCORD ATLANTIC, INC.
801-34934 CONSTITUTION RESEARCH & MANAGEMENT INC
801-61705 COPLEY SQUARE CAPITAL MANAGEMENT, LLC
801-41021 CORDILLERA ASSET MANAGEMENT
801-63182 CORNERSTONE CAPITAL MANAGEMENT
801-55989 CREDICORP SECURITIES INC
801-69969 CREMAC ASSET MANAGEMENT, LLC
801-63124 CURTIS WEALTH MANAGEMENT GROUP, LLC
801-70413 D LITTLE, L.L.C.
801-56278 DANIEL FRISHBERG FINANCIAL SERVICES, INC.
801-72077 DB2 INVESTMENT ADVISORY SERVICES INC.
801-42306 DILMUN INVESTMENTS, INC
801-67499 DISCOVERY FINANCIAL GROUP, LLC
801-56038 DIVELEY LIND & ASSOCIATES LLC
801-70505 DJM WEALTH STRATEGIES, LLC
801-60809 DKR CAPITAL PARTNERS L.P.
801-66443 DKR FUSION MANAGEMENT L.P.
801-72443 DODD, ANDREW JAMES
801-70325 DOUBLE ALPHA GROUP LLC
801-72304 DOWNEY CAPITAL MANAGEMENT, INC.
801-68820 DUNCAN-WILLIAMS, INC.
801-65704 DURHAM ASSET MANAGEMENT L.L.C.
801-57802 DYNAMIC WEALTH MANAGEMENT
801-68994 EAGLEEYE ASSET MANAGEMENT, LLC
801-62482 EFFICIENT PORTFOLIO CONSULTANTS, LLC
801-68115 EMPIRE INVESTING GROUP, LLC
801-57005 EMPIRE INVESTMENT ADVISORS INC
801-65038 ERISEY WEALTH MANAGEMENT LLC
801-63668 EVOLUTION CAPITAL STRATEGIES LLC
801-61152 EXECUTIVE ASSET MANAGEMENT, INC.
801-60991 FAIRSON MANAGEMENT LIMITED
801-64720 FIDUCIARY MANAGEMENT GROUP, LLC
801-71217 FILIPINOFUNDS INVESTMENT MANAGEMENT, LLC
801-68836 FINANCIAL LEGACY ASSOCIATES, LLC
801-24481 FIRST INVESTMENT CORPORATION
801-36095 FLAGSHIP CAPITAL MANAGEMENT INC
801-69662 FLATFEEADVISORS.COM, INC.
801-66649 FORESIGHT ASSET MANAGEMENT, LLC
801-69724 FORT CAPITAL MANAGEMENT, LLC
801-63002 FOSTER INVESTMENT CONSULTING LLC
801-56788 FOUNDING PARTNERS CAPITAL MANAGEMENT COMPANY
801-61582 FPC SERVICES, INCORPORATED
801-69648 FUTURE VALUE CONSULTANTS LIMITED
801-45317 GANUCHEAU CAPITAL MANAGEMENT, INC.
801-19290 GARLIKOV ADVISORS INC
801-65627 GDG ASSET MANAGEMENT LIMITED
801-66112 GELLER & LEHMANN, LLC
801-72754 GILDED ADVISORS LLC
801-69546 GLANZ, DANIEL
801-74448 GLOBAL EVOLUTION USA, LLC
801-69333 GLOBAL PLUS+ INVESTMENT MANAGEMENT, LLC
801-72227 GLOBAL PORTFOLIO MANAGEMENT, LTD.
801-60090 GOLD COAST SECURITIES, INC.
801-74628 GOLDENGROVE LLC
801-62648 GOODSTEIN & ASSOCIATES, LLC
801-72960 GOSLIN III, ALBERT ERNEST
801-71624 GRANT PARK CAPITAL PARTNERS, LLC
801-71579 GRAVITY CAPITAL PARTNERS, LLC
801-67236 GRAYBEARD CAPITAL, LLC
801-69383 GREENWICH CREEK CAPITAL MANAGEMENT, LLC
801-66346 GUALARIO & CO., LLC
801-66823 GUNDERSON CAPITAL MANAGEMENT INC.
801-47199 HANSEN, BRIAN BENNETT
801-69429 HATTINGH, DIEDERIK JOHANNES
801-53254 HAVELL CAPITAL MANAGEMENT LLC
801-69963 HELIOS INVESTMENTS INC
801-68598 HEPWORTH EQUITY PARTNERS, LLC
801-66435 HIGHVIEW POINT PARTNERS, LLC
801-72056 HILL CAPITAL MANAGEMENT LLC

[[Page 65236]]

801-69123 HILL-TOWNSEND CAPITAL, LLC
801-68714 HOLMAN INVESTMENTS AND PLANNING, LLC
801-67355 HOLTER, WILLIAM LATIMER
801-70767 HORIZON FUNDS MANAGEMENT, LLC
801-71677 HORIZONS WEST CAPITAL PARTNERS, LLC
801-67009 HRJ CAPITAL, L.L.C.
801-71614 INNOVATUM CAPITAL PARTNERS, LLC
801-70807 INSTITUTIONAL BULLION INVESTMENT ADVISORS, LLC
801-67273 INVESTMENT SECURITY GROUP, LLC
801-69098 IRVINGTON CAPITAL LLC
801-51879 J A GIBBONS LLC
801-64391 JADIS INVESTMENTS LLC
801-68063 JDM FINANCIAL GROUP LLC
801-66648 JENNINGS INVESTMENT ADVISORS, LLC
801-66895 JERMYN CAPITAL (SINGAPORE) PTE. LTD.
801-71822 JIM POE AND ASSOCIATES INC.
801-71814 JOBES SOLO INVESTMENT GROUP, LLC
801-66643 JOHN R. FIESTA, LLC
801-57979 JOHN SHAW NOTMAN
801-45453 JUMPER GROUP INC
801-66884 K.K. JERMYN CAPITAL
801-72005 KAJO INVESTMENTS, LLC
801-67024 KENNEDY WEALTH MANAGEMENT GROUP LTD.
801-69948 KLARAOS, LLC
801-42331 KOCH ASSET MANAGEMENT LLC
801-69365 KURTIN FINANCIAL ADVISERS, LLC
801-69343 L&P FINANCIAL TRUSTEES LTD
801-73035 LANCELOT CAPITAL LIMITED
801-63887 LANPHIER CAPITAL MANAGEMENT, INC.
801-68524 LEXINGTON INVESTMENT COUNSEL, LLC
801-70312 LIGHTHOUSE CAPITAL PARTNERS, LLC
801-56394 LITCHFIELD & NELSON, INC
801-56364 LITTLEFIELD ASSET MGMT. INC.
801-49599 LONGWOOD INVESTMENT ADVISORS INC
801-37592 M. D. FALK & COMPANY, INC.
801-66388 MACARTHURCOOK INVESTMENT MANAGERS LIMITED
801-74815 MADISONLEE PARTNERS, LLC
801-71939 MANAIA CAPITAL MANAGEMENT, INC.
801-45332 MAPLE LEAF INVESTMENT MANAGEMENT INC
801-71070 MARKS THERIOT WALSTON & COMPANY, INC.
801-55125 MARSDEN CAPITAL MANAGEMENT, LLC.
801-67908 MARTINELLI DISCENZA INVESTMENT COUNSEL, INC.
801-60658 MCW ADVISORS
801-63100 MEREDITH PORTFOLIO MANAGEMENT INC.
801-63422 MERIDIAN ASSET MANAGEMENT LLC
801-70666 MG SULLIVAN, LLC
801-69605 MICOUD INVESTMENTS LIMITED
801-66328 MIRAMAR ASSET MANAGEMENT, LLC
801-57042 MOHAWK ASSET MANAGEMENT INC
801-71711 MONTGOMERY ASSET MANAGEMENT, LLC
801-42907 NANCY ABRAMS & ASSOCIATES, INC.
801-69301 NEF ADVISORS, LLC
801-72732 NEMAN FINANCIAL, INC.
801-64824 NEXCORE FINANCIAL SERVICES, INCORPORATED
801-72628 NEXTGEN FAMILY OFFICE, LLC
801-65128 NIGHTWATCH CAPITAL ADVISORS, LLC
801-68540 NJR INVESTMENT ADVISORY, INC.
801-69484 NORTH POINT ADVISORS
801-50288 NORTHSTAR CAPITAL INC
801-65702 OLYMPIUS CAPITAL, L.P.
801-23421 OMICRON GROUP LTD
801-71953 ONYX INVESTMENT ADVISORS
801-67259 ORACLE FINANCIAL SERVICES, LLC
801-68545 OSAGE ENERGY PARTNERS, L.P.
801-71098 OUTSTANDING VALUE FINANCIAL MANAGEMENT, LLC
801-65021 PACIFIC FINANCIAL ADVISORS, INC.
801-65166 PARK PLACE CAPITAL LIMITED
801-60542 PATRICK LLOYD BECKER
801-34567 PCA REAL ESTATE ADVISORS, INC.
801-66276 PELION INVESTMENT ADVISORS, INC.
801-65099 PEMIGEWASSET CAPITAL LLC
801-66759 PENSION PERFORMANCE ADVISORS, INC.
801-63878 PERMANENT VALUE INC.
801-72260 PINACULO LLC
801-70132 PLACE, BRYAN, MCNEILL
801-68161 PRESIDIUM PARTNERS, LLC
801-14186 PROFESSIONAL INVESTMENT COUNSEL, INC
801-71591 PROSAPIA CAPITAL MANAGEMENT, LLC
801-62787 QUANTEL ASSOCIATES, INC.
801-63842 QUANTUM FAMILY OFFICE GROUP, LLC
801-68872 QUANTUM WEALTH MANAGEMENT LLC
801-70459 RANDY MEYER INVESTMENT MANAGEMENT, LLC
801-72606 RFG ADVISORY GROUP, LLC
801-44866 RICH INVESTMENTS INC
801-57081 RINCON PACIFIC MANAGEMENT INC
801-64933 RIOUX & COMPANY, LLC
801-68439 RIVERSEDGE CONVERTIBLE PORTFOLIO ADVISORS, LLC
801-70387 ROSE & SKY INVESTMENTS (CAYMAN) LTD
801-62387 RUBY CORPORATION
801-44751 RULAPAUGH STANLEY EUGENE
801-72770 RUTHERFORD, GARY LEE
801-60566 RYAN CAPITAL ADVISORS, LLC
801-72680 S BROWN AND ASSOCIATES, LLC
801-70230 SACHS INVESTMENT GROUP, LLC
801-69730 SANCTUARY WEALTH MANAGEMENT, LLC
801-26861 SANDER CAPITAL ADVISORS, INC.
801-51254 SCEPTRE INVESTMENT COUNSEL LIMITED
801-58027 SCHELLER FINANCIAL SERVICES INC.
801-70944 SEDGEFIELD CAPITAL MANAGEMENT, LLC
801-71779 SELECT ASSET MANAGEMENT, LLC
801-64724 SENTINEL WEALTH ADVISORS, LLC
801-63183 SFM, LLC
801-16175 SHEA JOHN A INVESTMENT ADVISOR
801-39915 SK GROUP, INC
801-33087 SMITH WILLIAM BRUCE
801-64817 SMITH, THURMAN LEONARD
801-70455 SOUTHPORT ASSET MANAGEMENT
801-61272 SOVEREIGN INTERNATIONAL ASSET MANAGEMENT, INC.
801-70589 SOVEREIGN PRIVATE WEALTH, INC.
801-67746 STATE CAPITAL WEALTH MANAGEMENT INC
801-25597 STEINE & GOOCH CO INC
801-66434 STEPHEN M. GROSS, INC.
801-47378 STEPHEN P. MOULTON & ASSOCIATES, LTD.
801-24483 STERLING JOHNSTON CAPITAL MANAGEMENT, L.P.
801-69491 STRANBERG CAPITAL LLC
801-36025 STRATEGIS FINANCIAL GROUP, INC
801-74213 TANDRAGEE GLOBAL ADVISORS, LLC
801-53568 TBIG FINANCIAL SERVICES INC
801-28191 THE CARMACK GROUP, INC.
801-68698 THE COLOMA GROUP, L.LC.
801-54184 THE DELANCEY CAPITAL GROUP, LP
801-64694 THE OXFORD PRIVATE CLIENT GROUP, LLC
801-36203 THE SPANGLER GROUP, INC.
801-71205 THE UNIVERSITY FUNDS, LLC
801-66115 THOMSON FINANCIAL ADVISORS LLC.
801-62975 THUNDERSTORM CAPITAL LLC
801-47405 TONG ROBERT WAI
801-65028 TRIBUTARY CAPITAL MANAGEMENT., LLC
801-72696 TRILLION CAPITAL, LLC
801-69905 TRIVELLONI ASSET MANAGEMENT, LLC
801-67142 TWEDDELL GOLDBERG LLC
801-61159 UNIVEST INVESTMENTS, INC.
801-64165 USF SERVICES, LLC
801-71511 VANTAGE POINT ADVISORS, LLC
801-42685 VARN INVESTMENT COUNSEL INC
801-39326 VIRGINIA CAPITAL MANAGEMENT GROUP INC
801-60397 W.WALL AND COMPANY, INC.
801-63137 WALRUS PARTNERS, LLC
801-67403 WASHINGTON CORNER CAPITAL MANAGEMENT, LP
801-62780 WATERS CAPITAL ADVISERS, LLC
801-63026 WATERVILLE INVESTMENTS, INC.

[[Page 65237]]

801-74505 WEALTH FOCUS RESOURCES, LLC
801-69539 WEALTH LTD
801-54769 WEALTH MANAGEMENT LLC
801-62294 WELLS, CANNING & ASSOCIATES INC.
801-48199 WENDEL ANDREW MARTIN
801-40981 WEST ELLIS INVESTMENT MANAGEMENT INC
801-71961 WEST RIDGE REALTY ADVISORS LLC
801-19899 WESTRIDGE CAPITAL MANAGEMENT INC
801-64673 WFP SECURITIES CORPORATION
801-37177 WHB WOLVERINE ASSET MANAGEMENT INC
801-72403 WICKER PARK ADVISORS, LLC
801-16393 WILLIAMSON & SNEED INCORPORATED
801-67795 WILSHIRE-PENNINGTON GROUP, INC.
801-12695 WITTER WILLIAM D INC
801-69064 WORLDWIDE ASSET MANAGEMENT GROUP, LLC
801-70899 WYNNCORR CAPITAL MANAGEMENT, LLC
[FR Doc. 2012-26234 Filed 10-24-12; 8:45 am]
BILLING CODE 8011-01-P
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