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01-31-2018 Convergence Daily ADV Filing Changes

         6 – New SEC-Registered Investment Advisors
        14 – New Private Funds Disclosed
        70 – Headcount Changes
        17 – C-Suite Appointments
         5 – Regulators and Violations
        10 – New Fund Auditor Appointments
        10 – New Fund Administrator Appointments
        80 – Change in Assets
         2 – Administrator Changes
         9 – Auditor Changes
         7 – Custodian Changes
         2 – Prime Broker Changes
         4 – 3rd-Party Marketer Changes
        16 – Beneficial Ownership
       185 – ScheduleAB Changes
         9 – SEC Admin and Auditor Fund Changes
         6 – SEC-Inactive Advisors
         9 – 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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