Document headings vary by document type but may contain
                    the following: the agency or agencies that issued and signed a document
the number of the CFR title and the number of each part
                      the document amends, proposes to amend, or is directly
                      related to
the agency docket number / agency internal file number
the RIN which identifies each regulatory action listed in
                      the Unified Agenda of Federal Regulatory and Deregulatory
                      Actions See the
                    Document Drafting Handbook
                    for more details.
 Securities and Exchange Commission [Release No. IA-5688]
 ADDRESSES: The Commission: 
                        *Secretarys-Office@sec.gov.*
 FOR 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. For the Commission, by the Division of Investment Management, pursuant to delegated authority.2 J. Matthew DeLesDernier, Assistant Secretary.
 Appendix SEC No.
Full legal name801-80706
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
 2.
    
                             17 CFR 200.30-5(e)(2). Back to Citation


[FR Doc. 2021-03896 Filed 2-24-21; 8:45 am] BILLING CODE 8011-01-P