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04-04-2017 Convergence Daily ADV Filing Changes

10 New SEC-Registered Investment Advisors
16 New Private Funds
1 New Sub-Advised Funds
100 #RIA #Headcount Changes
17 C-Suite Updates
10 #Regulatory Authority Reporting Changes
16 #Auditor Appointments for New #Funds
16 #Administrator Appointments for New #Funds
97 Changes to #RAUM
2 Administrative Services Provider Changes
6 #Auditor Services Provider Changes
11 #Custodial Services Provider Changes
4 #PrimeBrokerage Service Provider Changes
3 #Marketing Services Provider Changes
2 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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