Jack Phinney No Comments

04-19-2018 Convergence Daily ADV Filing Changes

04-19-2018 Convergence Daily ADV Filing Changes

        10 – New SEC-Registered Investment Advisors
        52 – New Private Funds Disclosed
        18 – Headcount Changes
        10 – C-Suite Appointments
         3 – Regulators and Violations
        52 – New Fund Auditor Appointments
        52 – New Fund Administrator Appointments
        25 – Change in Assets
         6 – Auditor Changes
         2 – Custodian Changes
         4 – Beneficial Ownership
        92 – ScheduleAB Changes
        11 – SEC Admin and Auditor Fund Changes
         2 – SEC-Inactive Advisors
         1 – 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.

Jack Phinney No Comments

04-18-2018 Convergence Daily ADV Filing Changes

04-18-2018 Convergence Daily ADV Filing Changes

         7 – New SEC-Registered Investment Advisors
         3 – New Private Funds Disclosed
        18 – Headcount Changes
         5 – C-Suite Appointments
         1 – Regulators and Violations
         3 – New Fund Auditor Appointments
         3 – New Fund Administrator Appointments
        13 – Change in Assets
         1 – Custodian Changes
         1 – Beneficial Ownership
        70 – ScheduleAB Changes
         2 – SEC-Inactive Advisors
         3 – 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.

Jack Phinney No Comments

04-17-2018 Convergence Daily ADV Filing Changes

04-17-2018 Convergence Daily ADV Filing Changes

         9 – New SEC-Registered Investment Advisors
        10 – New Private Funds Disclosed
        13 – Headcount Changes
         6 – C-Suite Appointments
         3 – Regulators and Violations
         6 – New Fund Auditor Appointments
         6 – New Fund Administrator Appointments
        14 – Change in Assets
         2 – Administrator Changes
         1 – Custodian Changes
         1 – Prime Broker Changes
        93 – ScheduleAB Changes
         1 – SEC Admin and Auditor Fund Changes
         2 – SEC-Inactive Advisors
         1 – 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.

Jack Phinney No Comments

04-15-2018 Convergence Daily ADV Filing Changes

04-15-2018 Convergence Daily ADV Filing Changes

        10 – New SEC-Registered Investment Advisors
        22 – New Private Funds Disclosed
        26 – Headcount Changes
         8 – C-Suite Appointments
        14 – Regulators and Violations
        22 – New Fund Auditor Appointments
        22 – New Fund Administrator Appointments
        33 – Change in Assets
         7 – Administrator Changes
         3 – Auditor Changes
         6 – Custodian Changes
         1 – Prime Broker Changes
         2 – 3rd-Party Marketer Changes
         6 – Beneficial Ownership
        94 – ScheduleAB Changes
         7 – SEC Admin and Auditor Fund Changes
         3 – 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.

Jack Phinney No Comments

04-12-2018 Convergence Daily ADV Filing Changes

04-12-2018 Convergence Daily ADV Filing Changes

         3 – New SEC-Registered Investment Advisors
         2 – New Private Funds Disclosed
        18 – Headcount Changes
         7 – C-Suite Appointments
         3 – Regulators and Violations
         2 – New Fund Auditor Appointments
         2 – New Fund Administrator Appointments
        15 – Change in Assets
         1 – Administrator Changes
         1 – Auditor Changes
         1 – Custodian Changes
        76 – ScheduleAB Changes
         1 – SEC-Inactive Advisors
         1 – 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.

Jack Phinney No Comments

04-11-2018 Convergence Daily ADV Filing Changes

04-11-2018 Convergence Daily ADV Filing Changes

         3 – New SEC-Registered Investment Advisors
         2 – New Private Funds Disclosed
        18 – Headcount Changes
         7 – C-Suite Appointments
         3 – Regulators and Violations
         2 – New Fund Auditor Appointments
         2 – New Fund Administrator Appointments
        15 – Change in Assets
         1 – Administrator Changes
         1 – Auditor Changes
         1 – Custodian Changes
        76 – ScheduleAB Changes
         1 – SEC-Inactive Advisors
         1 – 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.

Jack Phinney No Comments

04-10-2018 Convergence Daily ADV Filing Changes

04-10-2018 Convergence Daily ADV Filing Changes

        15 – New SEC-Registered Investment Advisors
        95 – New Private Funds Disclosed
        21 – Headcount Changes
        10 – C-Suite Appointments
         1 – Regulators and Violations
        14 – New Fund Auditor Appointments
        14 – New Fund Administrator Appointments
        28 – Change in Assets
         3 – Administrator Changes
         5 – Auditor Changes
         4 – Custodian Changes
         1 – Prime Broker Changes
         1 – 3rd-Party Marketer Changes
         2 – Beneficial Ownership
        95 – ScheduleAB Changes
         3 – SEC Admin and Auditor Fund Changes
        13 – SEC-Inactive Advisors
        29 – 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.

Jack Phinney No Comments

03-28-2018 Convergence Daily ADV Filing Changes

03-28-2018 Convergence Daily ADV Filing Changes

        16 – New SEC-Registered Investment Advisors
       269 – New Private Funds Disclosed
      1014 – Headcount Changes
       107 – C-Suite Appointments
       100 – Regulators and Violations
       217 – New Fund Auditor Appointments
       229 – New Fund Administrator Appointments
      1337 – Change in Assets
        69 – Administrator Changes
        59 – Auditor Changes
       166 – Custodian Changes
        43 – Prime Broker Changes
       113 – 3rd-Party Marketer Changes
       417 – Beneficial Ownership
      1343 – ScheduleAB Changes
       169 – SEC Admin and Auditor Fund Changes
        21 – SEC-Inactive Advisors
       218 – 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.

Jack Phinney No Comments

03-25-2018 Convergence Daily ADV Filing Changes

03-25-2018 Convergence Daily ADV Filing Changes

        13 – New SEC-Registered Investment Advisors
        96 – New Private Funds Disclosed
       573 – Headcount Changes
        79 – C-Suite Appointments
        34 – Regulators and Violations
        85 – New Fund Auditor Appointments
        85 – New Fund Administrator Appointments
       679 – Change in Assets
        20 – Administrator Changes
        39 – Auditor Changes
        86 – Custodian Changes
        24 – Prime Broker Changes
        32 – 3rd-Party Marketer Changes
       178 – Beneficial Ownership
       639 – ScheduleAB Changes
        76 – SEC Admin and Auditor Fund Changes
        13 – SEC-Inactive Advisors
        87 – 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.

Jack Phinney No Comments

03-22-2018 Convergence Daily ADV Filing Changes

03-22-2018 Convergence Daily ADV Filing Changes

         7 – New SEC-Registered Investment Advisors
        32 – New Private Funds Disclosed
       363 – Headcount Changes
        41 – C-Suite Appointments
        18 – Regulators and Violations
        32 – New Fund Auditor Appointments
        32 – New Fund Administrator Appointments
       449 – Change in Assets
        20 – Administrator Changes
        18 – Auditor Changes
        48 – Custodian Changes
        23 – Prime Broker Changes
        16 – 3rd-Party Marketer Changes
       107 – Beneficial Ownership
       429 – ScheduleAB Changes
        40 – SEC Admin and Auditor Fund Changes
         5 – SEC-Inactive Advisors
        36 – 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.