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12-01-2017 Convergence Daily ADV Filing Changes

         6 – New SEC-Registered Investment Advisors
        17 – New Private Funds Disclosed
        61 – Headcount Changes
         9 – C-Suite Appointments
         1 – Regulators and Violations
        15 – New Fund Auditor Appointments
        15 – New Fund Administrator Appointments
        29 – Change in Assets
         2 – Administrator Changes
         1 – Auditor Changes
         5 – Custodian Changes
         3 – Prime Broker Changes
         2 – 3rd-Party Marketer Changes
        19 – Beneficial Ownership
       163 – ScheduleAB Changes
        53 – SEC Admin and Auditor Fund Changes
         9 – SEC-Inactive Advisors
         5 – 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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