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Document Mentions (5 shared documents)
2 mentions1 same-page
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ties Act, (y) a "qualified purchaser" as defined in Section 2(a)(51) of the Investment Company Act and (z) a "qualified client," as defined in the U.S. Investment Advisers Act of 1940, as amended (the "Advisers Act"). There is no public market for the Interests, and no such market is expected to develop in t
S while not accurately characterizing or while failing to adequately disclose the true nature and risks associated with these investments. Although Raymond James' ARS trade confirmations disclosed the risk that ARS auctions could fail and that Raymond James were not obliged to ensure their success, at the p
2 mentions1 same-page
Page ?Same page
ties Act, (y) a "qualified purchaser" as defined in Section 2(a)(51) of the Investment Company Act and (z) a "qualified client," as defined in the U.S. Investment Advisers Act of 1940, as amended (the "Advisers Act"). There is no public market for the Interests, and no such market is expected to develop in t
S while not accurately characterizing or while failing to adequately disclose the true nature and risks associated with these investments. Although Raymond James' ARS trade confirmations disclosed the risk that ARS auctions could fail and that Raymond James were not obliged to ensure their success, at the p
2 mentions1 same-page
Page ?Same page
ties Act, (y) a "qualified purchaser" as defined in Section 2(a)(51) of the Investment Company Act and (z) a "qualified client," as defined in the U.S. Investment Advisers Act of 1940, as amended (the "Advisers Act"). There is no public market for the Interests, and no such market is expected to develop in t
S while not accurately characterizing or while failing to adequately disclose the true nature and risks associated with these investments. Although Raymond James' ARS trade confirmations disclosed the risk that ARS auctions could fail and that Raymond James were not obliged to ensure their success, at the p
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2 mentions1 same-page
Page ?Same page
ties Act, (y) a "qualified purchaser" as defined in Section 2(a)(51) of the Investment Company Act and (z) a "qualified client," as defined in the U.S. Investment Advisers Act of 1940, as amended (the "Advisers Act"). There is no public market for the Interests, and no such market is expected to develop in t
S while not accurately characterizing or while failing to adequately disclose the true nature and risks associated with these investments. Although Raymond James' ARS trade confirmations disclosed the risk that ARS auctions could fail and that Raymond James were not obliged to ensure their success, at the p
2 mentions1 same-page
Page ?Same page
ties Act, (y) a "qualified purchaser" as defined in Section 2(a)(51) of the Investment Company Act and (z) a "qualified client," as defined in the U.S. Investment Advisers Act of 1940, as amended (the "Advisers Act"). There is no public market for the Interests, and no such market is expected to develop in t
S while not accurately characterizing or while failing to adequately disclose the true nature and risks associated with these investments. Although Raymond James' ARS trade confirmations disclosed the risk that ARS auctions could fail and that Raymond James were not obliged to ensure their success, at the p
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Mutual Connections (79)
Entities connected to both U.S. Investment and Raymond James'
Puerto Rico
LOCATION5 w/ U.S.·41 w/ Raymond
the U.S. Investment Company Act
ORGANIZATION24 w/ U.S.·10 w/ Raymond
European Union
ORGANIZATION24 w/ U.S.·10 w/ Raymond
The Confidential Private Placement Memorandum
ORGANIZATION23 w/ U.S.·5 w/ Raymond
iCapital Advisors
ORGANIZATION23 w/ U.S.·5 w/ Raymond
United Kingdom
LOCATION6 w/ U.S.·10 w/ Raymond
Glendower
LOCATION5 w/ U.S.·10 w/ Raymond
Denmark
LOCATION5 w/ U.S.·10 w/ Raymond
Finland
LOCATION5 w/ U.S.·10 w/ Raymond
Raymond James & Associates, Inc.
ORGANIZATION5 w/ U.S.·10 w/ Raymond
Glendower Capital
ORGANIZATION5 w/ U.S.·10 w/ Raymond
Calder
ORGANIZATION6 w/ U.S.·5 w/ Raymond
Keogh
ORGANIZATION6 w/ U.S.·5 w/ Raymond
United States
LOCATION6 w/ U.S.·5 w/ Raymond
Cayman
LOCATION6 w/ U.S.·5 w/ Raymond
Paul Volcker
PERSON6 w/ U.S.·5 w/ Raymond
Luxembourg
LOCATION6 w/ U.S.·5 w/ Raymond
Marla Maples
PERSON6 w/ U.S.·5 w/ Raymond
Slovenia
LOCATION5 w/ U.S.·5 w/ Raymond
U.S. Treasury Regulations
ORGANIZATION5 w/ U.S.·5 w/ Raymond