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10-01-2017 Convergence Daily ADV Filing Changes

        22 – New SEC-Registered Investment Advisors
       117 – New Private Funds Disclosed
       184 – Headcount Changes
        90 – C-Suite Appointments
        21 – Regulators and Violations
       110 – New Fund Auditor Appointments
       113 – New Fund Administrator Appointments
       225 – Change in Assets
        28 – Administrator Changes
        21 – Auditor Changes
        36 – Custodian Changes
        14 – Prime Broker Changes
        17 – 3rd-Party Marketer Changes
        29 – Beneficial Ownership
       882 – 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.

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