Jack Phinney No Comments

01-03-2018 Convergence Daily ADV Filing Changes

        17 – New SEC-Registered Investment Advisors
        14 – New Private Funds Disclosed
        66 – Headcount Changes
        15 – C-Suite Appointments
         9 – Regulators and Violations
        16 – New Fund Auditor Appointments
        14 – New Fund Administrator Appointments
        60 – Change in Assets
         1 – Administrator Changes
         2 – Auditor Changes
         2 – Custodian Changes
         2 – 3rd-Party Marketer Changes
        14 – Beneficial Ownership
       176 – ScheduleAB Changes
         4 – SEC Admin and Auditor Fund Changes
        17 – SEC-Inactive Advisors
        39 – SEC-Dropped Funds

ADV disclosures may have a signature date that is earlier than this document’s reporting period. This is due to a delay between the receipt of an ADV filing from an RIA and its release by the SEC. The above content is based on the information that Convergence obtains from an Advisor’s Form ADV. Convergence makes no representation to the accuracy of an Advisor’s data or to any derivative calculations Convergence creates using this data to benchmark Advisors. CMDX is a registered trademark of Convergence, Inc. (c) 2016 All rights reserved.

Leave a Reply

This site uses Akismet to reduce spam. Learn how your comment data is processed.