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03-12-2017 Convergence Daily ADV Filing Changes

9 New SEC-Registered Investment Advisors
23 New Private Funds
5 New Sub-Advised Funds
190 #RIA #Headcount Changes
7 C-Suite Updates
2 #Regulatory Authority Reporting Changes
23 #Auditor Appointments for New #Funds
24 #Administrator Appointments for New #Funds
231 Changes to #RAUM
7 Administrative Services Provider Changes
12 #Auditor Services Provider Changes
20 #Custodial Services Provider Changes
7 #PrimeBrokerage Service Provider Changes
11 #Marketing Services Provider Changes
4 New Civil, Criminal, and Regulatory #Violations

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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