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11-30-2017 Convergence Daily ADV Filing Changes

         4 – New SEC-Registered Investment Advisors
        16 – New Private Funds Disclosed
        26 – Headcount Changes
         9 – C-Suite Appointments
        12 – Regulators and Violations
        16 – New Fund Auditor Appointments
        17 – New Fund Administrator Appointments
        43 – Change in Assets
         2 – Administrator Changes
         3 – Auditor Changes
         3 – Custodian Changes
         2 – Prime Broker Changes
         2 – Beneficial Ownership
       130 – ScheduleAB Changes
         8 – SEC Admin and Auditor Fund Changes
        10 – SEC-Inactive Advisors
        12 – 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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