pooled investment vehicle
(10) Pooled investment vehicle .— The term “pooled investment vehicle” means— (A) any investment company, as defined in section 3(a) of the Investment Company Act of 1940 ( 15 U.S.C. 80a–3(a) ); or (B) any company that— (i) would be an investment company under that section but for the exclusion provided from that definition by paragraph (1) or (7) of section 3(c) of that Act ( 15 U.S.C. 80a–3(c) ); and (ii) is identified by its legal name by the applicable investment adviser in its Form ADV (or successor form) filed with the Securities and Exchange Commission.