Gabby Riggione No Comments

09-28-2017 Convergence Daily ADV Filing Changes

         5 – New SEC-Registered Investment Advisors
        35 – New Private Funds Disclosed
        90 – Headcount Changes
        20 – C-Suite Appointments
        12 – Regulators and Violations
        38 – New Fund Auditor Appointments
        35 – New Fund Administrator Appointments
        88 – Change in Assets
         2 – Administrator Changes
         3 – Auditor Changes
         7 – Custodian Changes
         1 – Prime Broker Changes
         8 – 3rd-Party Marketer Changes
        12 – Beneficial Ownership
       192 – ScheduleAB Changes

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