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10-31-2017 Convergence Daily ADV Filing Changes

         6 – New SEC-Registered Investment Advisors
        20 – New Private Funds Disclosed
        35 – Headcount Changes
        13 – C-Suite Appointments
         5 – Regulators and Violations
        20 – New Fund Auditor Appointments
        20 – New Fund Administrator Appointments
        34 – Change in Assets
         3 – Administrator Changes
         2 – Auditor Changes
        10 – Custodian Changes
         4 – Prime Broker Changes
         2 – 3rd-Party Marketer Changes
         9 – Beneficial Ownership
       128 – ScheduleAB Changes
         3 – SEC Admin and Auditor Fund Changes
         4 – SEC-Inactive Advisors
        17 – SEC-Dropped Funds

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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