Gabby Riggione No Comments

11-15-2017 Convergence Daily ADV Filing Changes

         6 – New SEC-Registered Investment Advisors
         2 – New Private Funds Disclosed
        27 – Headcount Changes
         7 – C-Suite Appointments
         2 – New Fund Auditor Appointments
         2 – New Fund Administrator Appointments
        14 – Change in Assets
         2 – Auditor Changes
         2 – Custodian Changes
         2 – 3rd-Party Marketer Changes
         1 – Beneficial Ownership
       101 – ScheduleAB Changes
         1 – SEC Admin and Auditor Fund Changes
         3 – SEC-Inactive Advisors
         2 – 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.

Leave a Reply