Jack Phinney No Comments

11-22-2017 Convergence Daily ADV Filing Changes

         7 – New SEC-Registered Investment Advisors
        11 – New Private Funds Disclosed
        27 – Headcount Changes
         8 – C-Suite Appointments
         1 – Regulators and Violations
        11 – New Fund Auditor Appointments
        11 – New Fund Administrator Appointments
        23 – Change in Assets
         2 – Administrator Changes
         2 – Auditor Changes
         3 – Custodian Changes
         1 – Prime Broker Changes
         1 – 3rd-Party Marketer Changes
         7 – Beneficial Ownership
        75 – ScheduleAB Changes
         5 – SEC-Inactive Advisors
        10 – 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