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02-01-2018 Convergence Daily ADV Filing Changes

         4 – New SEC-Registered Investment Advisors
        16 – New Private Funds Disclosed
        91 – Headcount Changes
        24 – C-Suite Appointments
         8 – Regulators and Violations
        16 – New Fund Auditor Appointments
        16 – New Fund Administrator Appointments
       103 – Change in Assets
         9 – Administrator Changes
        11 – Auditor Changes
        16 – Custodian Changes
         3 – Prime Broker Changes
         2 – 3rd-Party Marketer Changes
         9 – Beneficial Ownership
       226 – ScheduleAB Changes
        25 – SEC Admin and Auditor Fund Changes
         7 – SEC-Inactive Advisors
        58 – 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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