Defendant Name: Colony Capital Investment Advisors, LLC

Defendant Type: Subsidiary of Public Company
Public Company Parent: Digitalbridge Group, Inc.
SIC Code: 8741
CUSIP: 25401T60

Initial Case Details

Legal Case Name In the Matter of Colony Capital Investment Advisors, LLC
First Document Date 03-Sep-2024
Initial Filing Format Administrative Action
File Number 3-22044
Allegation Type Investment Advisers/Investment Companies

Violations Alleged

Other
• Sections 206(2), 206(4) Advisers Act; Rules 206(4)-7, 206(4)-8 Advisers Act

Resolutions

First Resolution Date 03-Sep-2024
Headline Total Penalty and Disgorgement $350,000

Related Documents:

IA-6671 03-Sep-2024 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
On September 3, 2024, the SEC instituted settled administrative and cease-and-desist proceedings against Colony Capital Investment Advisors, LLC, stating: "This matter arises from registered investment adviser Colony’s failures to follow certain contractually agreed procedures governing the timely disclosure of and consent to expenses that Colony allocated to eight private real estate investment funds it managed (the “Funds”) for services provided by affiliates of Colony to the Funds."
IA-6671-s 03-Sep-2024 Administrative Summary
SEC Charges Florida-Based Private Fund Adviser for Disclosure and Approval Failures Concerning Related Party Transactions
On September 3, 2024, the SEC "announced settled charges against registered investment adviser Colony Capital Investment Advisors, LLC, for breaches of its fiduciary duty relating to Colony's failure to follow certain contractually agreed procedures governing the timely disclosure of and consent to expenses that Colony allocated to eight private real estate investment funds it managed."