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03-30-2017 Convergence Daily ADV Filing Changes

8 New SEC-Registered Investment Advisors
380 New Private Funds
19 New Sub-Advised Funds
1473 #RIA #Headcount Changes
247 #Regulatory Authority Reporting Changes
381 #Auditor Appointments for New #Funds
381 #Administrator Appointments for New #Funds
1806 Changes to #RAUM
72 Administrative Services Provider Changes
98 #Auditor Services Provider Changes
305 #Custodial Services Provider Changes
94 #PrimeBrokerage Service Provider Changes
162 #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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