Convergence No Comments

04-13-2017 Convergence Daily ADV Filing Changes

6 New SEC-Registered Investment Advisors
15 New Private Funds
14 #RIA #Headcount Changes
5 C-Suite Updates
15 #Auditor Appointments for New #Funds
15 #Administrator Appointments for New #Funds
22 Changes to #RAUM
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.

Leave a Reply

This site uses Akismet to reduce spam. Learn how your comment data is processed.