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04-16-2017 Convergence Daily ADV Filing Changes

10 New SEC-Registered Investment Advisors
5 New Private Funds
4 #RIA #Headcount Changes
1 #Regulatory Authority Reporting Changes
5 #Auditor Appointments for New #Funds
5 #Administrator Appointments for New #Funds
5 Changes to #RAUM
1 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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