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02-02-2018 Convergence Daily ADV Filing Changes

        12 – New SEC-Registered Investment Advisors
        51 – New Private Funds Disclosed
        69 – Headcount Changes
        15 – C-Suite Appointments
         7 – Regulators and Violations
        50 – New Fund Auditor Appointments
        50 – New Fund Administrator Appointments
        88 – Change in Assets
         6 – Administrator Changes
         3 – Auditor Changes
        18 – Custodian Changes
         8 – Prime Broker Changes
         5 – 3rd-Party Marketer Changes
        15 – Beneficial Ownership
       220 – ScheduleAB Changes
        18 – SEC Admin and Auditor Fund Changes
         5 – SEC-Inactive Advisors
        18 – 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.

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