Form 40-202A applications under the Investment Advisers Act
Form 40-202A: applications asking the SEC to declare a person not within the intent of the definition of investment adviser.
curl -H "Authorization: Bearer $SECFEED_KEY" \ "https://secfeedapi.com/v1/filings?query=formType:%2240-202A%22&size=2"
import os, requests
r = requests.get(
"https://secfeedapi.com/v1/filings",
params={'query': 'formType:"40-202A"', 'size': '2'},
headers={"Authorization": f"Bearer {os.environ['SECFEED_KEY']}"},
)
print(r.json())What is 40-202A?
EDGAR describes 40-202A as an application to designate the applicant a person not within the intent of the Investment Advisers Act of 1940. The Advisers Act lets the Commission exclude persons from the definition of investment adviser by order, and this submission type carries those requests.
Applicants have included development banks, family offices before the family office rule, and firms whose advisory activity is incidental. Most filings on EDGAR are scanned paper documents.
Firms or institutions asking the SEC to exclude them from the definition of investment adviser.
When the applicant seeks the order, with amendments as the staff comments.
Filings per year
Every 40-202A filing on EDGAR, counted from the SecFeed index, amendments included. Updated daily.
What is inside
| Section | Contents |
|---|---|
| Applicant | Who is applying and its business. |
| Relief requested | The order sought under the Advisers Act. |
| Representations | Facts showing why registration is not needed. |
Get 40-202A data with SecFeed
Search the filings with formType:"40-202A", read any document as text or PDF, and use these APIs for structured data:
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Latest 40-202A filings
| Company | Form | Filed | |
|---|---|---|---|
| Lewis Family Advisors LLC | 40-202A/A | 2020-12-08 | EDGAR ↗ |
| Arena Holdings Management LLC | 40-202A/A | 2020-08-04 | EDGAR ↗ |
| Arena Holdings Management LLC | 40-202A | 2019-11-13 | EDGAR ↗ |
| L.R. Burtschy & Co | 40-202A/A | 2019-10-07 | EDGAR ↗ |
| Inter-American Development Bank | 40-202A/A | 2019-10-01 | EDGAR ↗ |
| Lewis Family Advisors LLC | 40-202A/A | 2019-08-30 | EDGAR ↗ |
| Lewis Family Advisors LLC | 40-202A/A | 2019-08-30 | EDGAR ↗ |
| Inter-American Development Bank | 40-202A | 2019-06-07 | EDGAR ↗ |
Use cases
- Research which entities obtained Advisers Act exclusions
- Historical research on family office exemptions
Related forms
FAQ
Why are most 40-202A filings images?
Many were submitted on paper and scanned into EDGAR, so they appear as auto-generated paper documents.
Is this the same as registering as an adviser?
No. It is a request not to be treated as an investment adviser at all.
Every 40-202A filing, one API call away
500 free calls a month. JSON, CSV, PDF and a Python SDK.