Jack Phinney No Comments

11-29-2017 Convergence Daily ADV Filing Changes

         4 – New SEC-Registered Investment Advisors
        14 – New Private Funds Disclosed
        32 – Headcount Changes
         9 – C-Suite Appointments
         4 – Regulators and Violations
        14 – New Fund Auditor Appointments
        14 – New Fund Administrator Appointments
        34 – Change in Assets
         1 – Administrator Changes
         3 – Auditor Changes
         5 – Custodian Changes
         3 – Prime Broker Changes
         4 – 3rd-Party Marketer Changes
        17 – Beneficial Ownership
        83 – ScheduleAB Changes
         3 – SEC Admin and Auditor Fund Changes
         4 – 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

This site uses Akismet to reduce spam. Learn how your comment data is processed.