Jack Phinney No Comments

05-16-2017 Convergence Daily ADV Filing Changes

5 New SEC-Registered Investment Advisors
9 New Private Funds
3 New Sub-Advised Funds
13 #RIA #Headcount Changes
9 #Auditor Appointments for New #Funds
9 #Administrator Appointments for New #Funds
19 Changes to #RAUM
2 #Auditor Services Provider Changes
3 #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.

Leave a Reply