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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Published

June 7, 2023

Issuing agencies

Securities and Exchange Commission

Full Text

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<title>Federal Register, Volume 88 Issue 109 (Wednesday, June 7, 2023)</title>
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[Federal Register Volume 88, Number 109 (Wednesday, June 7, 2023)]
[Notices]
[Pages 37296-37297]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2023-12106]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. IA-6322]

Notice of Intention To Cancel Registrations of Certain Investment
Advisers Pursuant to Section 203(H) of the Investment Advisers Act of
1940

June 1, 2023.
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 June 26,
2023, 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, 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 <a href="/cdn-cgi/l/email-protection#7320161001160712010a005e3c15151a1016330016105d141c05"><span class="__cf_email__" data-cfemail="3c6f595f4e59485d4e454f11735a5a555f597c4f595f125b534a">[email&#160;protected]</span></a>.
At any time after June 26, 2023, 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: <a href="/cdn-cgi/l/email-protection#fdae989e8f98899c8f848ed0b29b9b949e98bd8e989ed39a928b"><span class="__cf_email__" data-cfemail="f9aa9c9a8b9c8d988b808ad4b69f9f909a9cb98a9c9ad79e968f">[email&#160;protected]</span></a>.

FOR FURTHER INFORMATION CONTACT: Priscilla Dao, Senior Counsel, or
Scott Jameson, 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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801-72074......................... BAY MUTUAL FINANCIAL LLC.
801-75390......................... PROPHECY ASSET MANAGEMENT LP.
801-71058......................... FUSION ANALYTICS INVESTMENT PARTNERS
LLC.
801-72514......................... PLATINUM MANAGEMENT (NY) LLC.
801-67384......................... ASSET MANAGEMENT ADVISORY GROUP LLC.
801-66695......................... COASTAL PARTNERS LTD.
801-70770......................... AZZARA THOMAS PETER.
801-116672........................ BRYAN ADVISORY SERVICES, LLC.
801-74069......................... ACCIPITER CAPITAL MANAGEMENT, LLC.

[[Page 37297]]

801-80422......................... MILLER, JOHN, STENNING.
801-101538........................ KENT COSTELLO.
801-107076........................ DVDENDO, INC.
801-112509........................ INVICTUS CAPITAL INVESTORS.
801-108994........................ CAPITECT, INC.
801-112008........................ ALPHAMALL LLC.
801-111893........................ BARREL PARK INVESTMENTS, LLC.
801-114014........................ INVESTIFAI LLC.
801-114489........................ SAVYON ASSET MANAGEMENT ADVISORY,
LLC.
801-117990........................ ALTERNATIVE ASSET MANAGEMENT, LLC.
801-117752........................ VITA INTELLECTUS INSTITUTIONAL, INC.
801-118705........................ CARTA FINANCIERA SA.
801-118711........................ DAYUAN INFORMATION TECH LIMITED.
801-119791........................ AN IDEAL LIFE FINANCIAL PLANNING,
LLC.
801-120471........................ CLOUT CAPITAL ADVISORS LLC.
801-121726........................ UNION ACQUISITION GROUP, LLC.
801-122357........................ JORDAN CHAPLIN.
801-126261........................ ALL BLUE LABS MANAGEMENT, LLC.
801-126071........................ PF ADVISORS, LLC.
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[FR Doc. 2023-12106 Filed 6-6-23; 8:45 am]
BILLING CODE 8011-01-P

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