Convergence No Comments

03-10-2017 Convergence Daily ADV Filing Changes

15 New SEC-Registered Investment Advisors
25 New Private Funds
3 New Sub-Advised Funds
159 #RIA #Headcount Changes
11 C-Suite Updates
11 #Regulatory Authority Reporting Changes
27 #Auditor Appointments for New #Funds
27 #Administrator Appointments for New #Funds
198 Changes to #RAUM
2 Administrative Services Provider Changes
2 #Auditor Services Provider Changes
15 #Custodial Services Provider Changes
4 #PrimeBrokerage Service Provider Changes
13 #Marketing Services Provider Changes

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.